| Notice of the China Securities Regulatory Commission on Requesting Public Comments on the Measures for the Administration of Foreign-Funded Futures Companies (Consultation Paper) | | 中国证监会关于就《外商投资期货公司管理办法（征求意见稿）》公开征求意见的通知 |
For the purposes of implementing the decisions and arrangements made by the CPC Central Committee and the State Council on further expanding the opening-up of the financial industry, attracting good-quality overseas financial institutions to invest in futures companies in an orderly manner, and enhancing the capability to serve the real economy and international competitiveness of China's futures industry, the China Securities Regulatory Commission has developed the Measures for the Administration of Foreign-Funded Futures Companies (Consultation Paper) together with relevant ministries and commissions, and hereby requests public comments thereon. The public may submit their comments by the following means and methods: | |
为贯彻落实党中央、国务院关于进一步扩大金融业对外开放的决策部署，有序引入优质境外金融机构投资期货公司，提升我国期货业服务实体经济能力和国际竞争力，我会会同相关部委制定《外商投资期货公司管理办法（征求意见稿）》，现向社会公开征求意见。公众可通过以下途径和方式提出反馈意见： |
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| 1. Visit the official website of the Legislative Affairs Office of the State Council at http://www.chinalaw.gov.cn, and submit comments through the “Requests for Comments on Legislation” column of the main menu on the home page. | | 1.登陆中国政府法制信息网（网址：http：//www.chinalaw.gov.cn），进入首页主菜单的“立法意见征集”栏目提出意见。 |
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| 2. Visit the website of the China Securities Regulatory Commission at http://www.csrc.gov.cn, and submit comments by clicking the “Measures for the Administration of Foreign-Funded Securities Companies (Consultation Paper)” on the right side of the home page. | | 2.登陆中国证监会网站（网址：http：//www.csrc.gov.cn），进入首页右侧点击“《外商投资期货公司管理办法（征求意见稿）》”提出意见。 |
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| 3. By fax: 010-88060548. | | 3.传真：010-88060548。 |
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| 4. By e-mail: qihuobu@csrc.gov.cn. | | 4.电子邮箱：qihuobu@csrc.gov.cn。 |
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| 5. Mailing address: Futures Department of the China Securities Regulatory Commission, Fukai Building, 19 Jinrong Street, Xicheng District, Beijing, 100033. | | 5.通信地址：北京市西城区金融大街19号富凯大厦中国证监会期货部，邮政编码：100033。 |
Deadline for submission of comments: June 4, 2018. | |
意见反馈截止时间为2018年6月4日。 |
China Securities Regulatory Commission | |
中国证监会 |
May 4, 2018 | |
2018年5月4日 |
Annex 1: Consultation Paper of the Measures for the Administration of Foreign-Funded Futures Companies | |
附件1：《外资投资期货公司管理办法》征求意见稿 |
Annex 2: Explanations on Drafting the Measures for the Administration of Foreign-Funded Futures Companies | |
附件2：《外资投资期货公司管理办法》起草说明 |
Measures for the Administration of Foreign-Funded Futures Companies (Consultation Paper) | |
外商投资期货公司管理办法 |
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（征求意见稿） |
| Article 1 For the purposes of satisfying the requirements for the opening-up of the futures market, and strengthening and improving the supervision and administration of foreign-funded futures companies, these Measures are developed in accordance with the relevant provisions of the Company Law and the Regulation on the Administration of Futures Trading. | |
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| | 第一条 为了适应期货市场对外开放的需要，加强和完善对外商投资期货公司的监督管理，根据《公司法》和《期货交易管理条例》的有关规定，制定本办法。 |
| Article 2 For the purposes of these Measures, “foreign-funded futures company” means a futures company of which 5% or more equities is held (directly held or indirectly controlled) by a single overseas shareholder or by multiple overseas shareholders with affiliations. | |
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| | 第二条 本办法所称外商投资期货公司是指单一或有关联关系的多个境外股东持有（直接持有或间接控制）公司5%以上股权的期货公司。 |
| Article 3 The China Securities Regulatory Commission (“CSRC”) and its local offices shall conduct the supervision and administration of foreign-funded futures companies in accordance with the law. | |
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| | 第三条 中国证券监督管理委员会（以下简称中国证监会）及其派出机构依法对外商投资期货公司实施监督管理。 |
| Article 4 The names, organizational forms, registered capital, formation of organizations, and functions, among others, of foreign-funded futures companies shall comply with the Company Law, the Regulation on the Administration of Futures Trading, the Measures for the Supervision and Administration of Futures Companies, other laws and regulations and the relevant provisions of the CSRC. | |
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| | 第四条 外商投资期货公司的名称、组织形式、注册资本、组织机构的设立及职责等，应当符合《公司法》、《期货交易管理条例》、《期货公司监督管理办法》等法律、法规和中国证监会的有关规定。 |
| Article 5 An overseas shareholder directly holding 5% or more equities of a futures company shall meet the following conditions in addition to the conditions set forth in Articles 7 and 9 of the Measures for the Supervision and Administration of Futures Companies: | |
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| | 第五条 直接持有期货公司5%以上股权的境外股东，除应符合《期货公司监督管理办法》第七条和第九条规定的条件外，还应当具备下列条件： |
| (1) It is a financial institution that has engaged in business operation for five consecutive years or more, and has not received any major punishment from the regulatory authority or administrative or judicial authority of the country or region where it is located in the last three years. | |
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| | （一）持续经营5年以上的金融机构，近3年未受到所在国家或者地区监管机构或者行政、司法机关的重大处罚； |
| (2) The management has good professional qualities and management capabilities. | |
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| | （二）管理层具有良好的专业素质和管理能力； |
| (3) It has sound internal control rules and a risk management system. | |
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| | （三）具有健全的内部控制制度和风险管理体系； |
| (4) It has a good international reputation and business performance, its business scale, revenue and profit have ranked top in the world in the last three years, and its long-term credits have remained at high levels in the last three years. | |
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| | （四）具有良好的国际声誉和经营业绩，近3年业务规模、收入、利润居于国际前列，近3年长期信用均保持在高水平； |
| (5) It meets other prudential conditions prescribed by the CSRC. | |
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Where multiple overseas shareholders with affiliations accumulatively hold 5% or more equities of the futures company, each shareholder shall meet the conditions listed in the preceding paragraph of this Article. | | （五）中国证监会规定的其他审慎性条件。 |
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有关联关系的多个境外股东合计持有期货公司5%以上股权的，每个股东均应具备本条上款所列条件。 |
| Article 6 Except the indirect holding of equities of futures companies through domestic securities companies and other circumstances prescribed by the CSRC, it shall be converted to direct shareholding if an overseas investor actually controls 5% or more equities of a futures company through investment relations, agreements or other arrangements. | |
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An overseas investor that actually controls 5% or more equities of a futures company shall meet the conditions prescribed in Article 5 of these Measures. | | 第六条 除通过境内证券公司间接持有期货公司股权及中国证监会规定的其他情形外，境外投资者通过投资关系、协议或其他安排，实际控制期货公司5%以上股权的，应转为直接持股。 |
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实际控制期货公司5%以上股权的境外投资者，应当符合本办法第五条规定的条件。 |
| Article 7 Overseas shareholders shall make capital contribution in convertible currencies. The proportion of equities of a foreign-funded futures company held by overseas shareholders accumulatively shall comply with the arrangements of the state on the opening-up of the futures industry. | |
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| | 第七条 境外股东应当以自由兑换货币出资。境外股东累计持有的外商投资期货公司股权比例，应当符合国家关于期货业对外开放的安排。 |
| Article 8 The directors, supervisors and senior executives of a foreign-funded futures company shall meet the office conditions prescribed by the CSRC. | |
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The senior executives of the foreign-funded futures company must perform their functions within the territory of China. The number of senior executives with the nationality of the People's Republic of China appointed by a foreign-funded futures company shall not be less than one third of the total number of the senior executives. | | 第八条 外商投资期货公司的董事、监事和高级管理人员应当具备中国证监会规定的任职条件。 |
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外商投资期货公司的高级管理人员须在境内实地履职。外商投资期货公司任用具有中华人民共和国国籍的高级管理人员数量不得低于高级管理人员总数的三分之一。 |
| Article 9 An overseas institution that plans to form a foreign-funded futures company shall undergo registration formalities at the company registration authority and file an application with the CSRC. It shall, in addition to the application materials prescribed in the Measures for the Supervision and Administration of Futures Companies to the CSRC, submit the following materials: | |
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| | 第九条 境外机构设立外商投资期货公司，应当在公司登记机关登记注册，并向中国证监会提出申请。除应向中国证监会提交《期货公司监督管理办法》规定的申请材料外，还应提交下列材料： |
| (1) Audited financial statements of the overseas institution in the three years prior to the application. | |
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| | （一）申请前3年该境外机构经审计的财务报表；
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