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| Announcement of the Supreme People's Court | | 最高人民法院公告 |
(No.10 [2003] of the Supreme People's Court) | |
（法释[2003]10号） |
The Provisions of the Supreme People's Court on Several Issues Concerning the Trial of Futures Dispute Cases, which were adopted at the 1270th meeting of the Judicial Committee of the Supreme People's Court on May 16, 2003, are hereby promulgated and shall take effect as off July 1, 2003. | |
《最高人民法院关于审理期货纠纷案件若干问题的规定》已于２００３年５月１６日由最高人民法院审判委员会第１２７０次会议通过。现予公布，自２００３年７月１日起施行。 |
The Supreme People's Court | |
最高人民法院 |
June 18, 2003 | |
二00三年六月十八日 |
Provisions of the Supreme People's Court on Several Issues Concerning the Trial of Futures Dispute Cases | |
最高人民法院关于审理期货纠纷案件若干问题的规定 |
(Adopted at the 1270th meeting of the Judicial Committee of the Supreme People's Court on May 16, 2003) | |
（2003年5月16日最高人民法院审判委员会第1270次会议通过） |
In order to correctly try the futures dispute cases, the present Provisions on several issues concerning the trial of futures dispute cases are enacted in accordance with the relevant laws and regulations, such as the General Principles of Civil Law of the People's Republic of China, the Contract Law of the People's Republic of China, and the Civil Procedure Law of the People's Republic of China, etc., and in light of the trial practice experience. | |
为了正确审理期货纠纷案件，根据《中华人民共和国民法通则》、《中华人民共和国合同法》、《中华人民共和国民事诉讼法》等有关法律、行政法规的规定，结合审判实践经验，对审理期货纠纷案件的若干问题制定本规定。 |
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| 1. General Provisions | | 一、一般规定 |
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| Article 1 In the trial of futures dispute cases, the people's courts shall, according to law, protect the legitimate rights and interests of the parties concerned, correctly determine their risks and liabilities, and maintain the order of the futures market. | | 第一条 人民法院审理期货纠纷案件，应当依法保护当事人的合法权益，正确确定其应承担的风险责任，并维护期货市场秩序。 |
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| Article 2 In the trial of futures dispute cases, the people's courts shall determine the liabilities of the delinquent party strictly in accordance with the stipulations in the contract agreed upon by the parties, except that such stipulations go against the compulsory provisions of the laws and administrative regulations. | | 第二条 人民法院审理期货合同纠纷案件，应当严格按照当事人在合同中的约定确定违约方承担的责任，当事人的约定违反法律、行政法规强制性规定的除外。 |
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| Article 3 In the trial of the cases concerning disputes over futures infringement and invalid futures transaction contracts, the people's courts shall determine the civil liabilities of the wrongdoer on the basis of whether the parties have faults, as well as the natures and seriousness of the faults, and the causality between the fault and the loss. | | 第三条 人民法院审理期货侵权纠纷和无效的期货交易合同纠纷案件，应当根据各方当事人是否有过错，以及过错的性质、大小，过错和损失之间的因果关系，确定过错方承担的民事责任。 |
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| 2. Jurisdiction | | 二、管辖 |
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| Article 4 The people's courts shall determine the jurisdictions over futures dispute cases in accordance with Articles 24, 25, and 29 of the Civil Procedure Law. | | 第四条 人民法院应当依据民事诉讼法第二十四条、第二十五条和第二十九条的规定确定期货纠纷案件的管辖。 |
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| Article 5 Where the futures transaction takes place in the branch, such as branch company or business department, of a futures company, the domicile of the said branch shall be the loci solutionis. | | 第五条 在期货公司的分公司、营业部等分支机构进行期货交易的，该分支机构住所地为合同履行地。 |
Where any dispute arises from the delivery of material goods, the domicile of the futures exchange shall be the loci solutionis. | |
因实物交割发生纠纷的，期货交易所住所地为合同履行地。 |
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| Article 6 With respect to a futures dispute case in which infringement and breach of contract are concurrent, the jurisdiction shall be determined according to the cause of action selected by the party concerned. Where the party files the action for both the breach of contract and the infringement, the jurisdiction shall be determined according to the claim stands first in the bill of complaint. | | 第六条 侵权与违约竞合的期货纠纷案件，依当事人选择的诉由确定管辖。当事人既以违约又以侵权起诉的，以当事人起诉状中在先的诉讼请求确定管辖。 |
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| Article 7 Futures dispute cases shall be under the jurisdiction of intermediate people's courts. | | 第七条 期货纠纷案件由中级人民法院管辖。 |
The higher people's courts may determine that some basic-level people's courts accept the futures dispute cases where necessary. | |
高级人民法院根据需要可以确定部分基层人民法院受理期货纠纷案件。 |
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| 3. Liability Subjects | | 三、承担责任的主体 |
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| Article 8 A futures company shall bear the civil liabilities arising from the futures transaction acts conducted by its employees within the business scope of the company. | | 第八条 期货公司的从业人员在本公司经营范围内从事期货交易行为产生的民事责任，由其所在的期货公司承担。 |
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Article 9 Where a futures company authorizes any person who is not its staff member to conduct any futures transaction act in the company's name, that futures company shall bear the civil liabilities arising therefrom; and where the futures transaction act conducted by any person who is not a staff member of the futures company meets the conditions for apparent representation specified in Article 49 of the Contract Law | | 第九条 期货公司授权非本公司人员以本公司的名义从事期货交易行为的，期货公司应当承担由此产生的民事责任；非期货公司人员以期货公司名义从事期货交易行为，具备合同法第四十九条所规定的表见代理条件的，期货公司应当承担由此产生的民事责任。 |
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| Article 10 Where a citizen or corporation, upon the entrustment of a futures company or client, provides as an intermediary the company or client with intermediary services of contract opportunities or of concluding futures brokerage contracts, the futures company or client shall pay remuneration to the intermediary according to the agreement. And the intermediary shall independently bear the civil liabilities arising from the intermediary brokerage relationship. | | 第十条 公民、法人受期货公司或者客户的委托，作为居间人为其提供订约的机会或者订立期货经纪合同的中介服务的，期货公司或者客户应当按照约定向居间人支付报酬。居间人应当独立承担基于居间经纪关系所产生的民事责任。 |
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| Article 11 Where any entity or individual engages in futures transactions with falsified identity and the transaction acts meet the trading rules of the futures exchange, that entity or individual shall accept the transaction results by itself/himself/herself. | | 第十一条 不以真实身份从事期货交易的单位或者个人，交易行为符合期货交易所交易规则的，交易结果由其自行承担。 |
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| Article 12 Where the branch, such as branch company or business department, etc., that was set up by a futures company and has obtained the business license and operation license is unable to bear the civil liabilities arising from the business activities carried out beyond the business scope, that futures company shall bear the said liabilities. | | 第十二条 期货公司设立的取得营业执照和经营许可证的分公司、营业部等分支机构超出经营范围开展经营活动所产生的民事责任，该分支机构不能承担的，由期货公司承担。 |
A client with fault shall bear the corresponding civil liabilities. | |
客户有过错的，应当承担相应的民事责任。 |
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| 4. Liabilities for Invalid Contracts | | 四、无效合同责任 |
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| Article 13 Under any of the following circumstances, a futures brokerage contract shall be determined as invalid: | | 第十三条 有下列情形之一的，应当认定期货经纪合同无效： |
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| 1) A futures company engages in futures brokerage services without the qualification as the subject to provide futures brokerage services; | | （一）没有从事期货经纪业务的主体资格而从事期货经纪业务的； |
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| 2) A client engages in futures transactions without the qualification as the subject to engage in futures transactions; | | （二）不具备从事期货交易主体资格的客户从事期货交易的； |
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| 3) Violation of the prohibitive provisions of laws and regulations. | | （三）违反法律、法规禁止性规定的。 |
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| Article 14 If any economic loss is caused to a client as the result of invalidity of a futures brokerage contract, the bearing of liabilities shall be determined according to the causality between the invalid act and the loss. If the loss of one party is caused by the other party's act, the other party shall compensate for the loss; where both parties to the contract have faults, they shall bear their corresponding civil liabilities according to the seriousness of their respective faults. | | 第十四条 因期货经纪合同无效给客户造成经济损失的，应当根据无效行为与损失之间的因果关系确定责任的承担。一方的损失系对方行为所致，应当由对方赔偿损失；双方有过错的，根据过错大小各自承担相应的民事责任。 |
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| Article 15 Where a futures brokerage contract is invalidated as the result of the providing of futures brokerage services by a business institution without the subject qualification, if that institution makes transactions on the market according to the client's instructions, it shall return the collected commissions to the client, and the client shall accept the transactions results. | | 第十五条 不具有主体资格的经营机构因从事期货经纪业务而导致期货经纪合同无效，该机构按客户的交易指令入市交易的，收取的佣金应当返还给客户，交易结果由客户承担。 |
If that institution hasn't followed the client's instructions and made no transaction on the market, and the client has no fault, the institution shall refund the margin to the client and compensate for the client's losses. The compensation includes the transaction handling charges, the taxes and the interest. | |
该机构未按客户的交易指令入市交易，客户没有过错的，该机构应当返还客户的保证金并赔偿客户的损失。赔偿损失的范围包括交易手续费、税金及利息。 |
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| 5. Liabilities for Transaction Acts | | 五、交易行为责任 |
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| Article 16 Where a futures company, when concluding the futures brokerage contract with a client, fails to remind the client to pay attention to the Instructions for Futures Transaction Risks, and the client signs or affixes stamp on the contract, the futures company shall bear the corresponding liabilities for compensation for the losses of the client in the transactions according to Item 3) of Article 42 of the Contract Law. However, if it can be proved according to the records of previous transaction results that the client has transaction experience, the futures company shall be relieved from the liabilities. | | 第十六条 期货公司在与客户订立期货经纪合同时，未提示客户注意《期货交易风险说明书》内容，并由客户签字或者盖章，对于客户在交易中的损失，应当依据合同法第四十二条第（三）项的规定承担相应的赔偿责任。但是，根据以往交易结果记载，证明客户已有交易经历的，应当免除期货公司的责任。 |
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| Article 17 Where a futures company makes futures transactions upon full authorization of the client, it shall bear the major liabilities for compensation for the losses in the transactions, but the amount of compensations shall not exceed 80% of the losses, except the laws and administrative regulations have otherwise provisions. | | 第十七条 期货公司接受客户全权委托进行期货交易的，对交易产生的损失，承担主要赔偿责任，赔偿额不超过损失的百分之八十，法律、行政法规另有规定的除外。 |
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Article 18 Where there is no stipulation on the method of giving instructions or such stipulations are unclear in the futures brokerage contract concluded by a futures company and a client, and when the futures company is unable to prove that it made the transaction on the basis of the client's instructions, it shall bear the liabilities for compensation for the losses caused to the client by that transaction, but the case that the client subsequently confirms the transaction shall be excluded.
．．．．．． | | 第十八条 期货公司与客户签订的期货经纪合同对下达交易指令的方式未作约定或者约定不明确的，期货公司不能证明其所进行的交易是依据客户交易指令进行的，对该交易造成客户的损失，期货公司应当承担赔偿责任，客户予以追认的除外。
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