| Notice by the People's Government of Beijing Municipality of Issuing the Measures of Beijing Municipality for the Administration of Trading Venues | | 北京市人民政府关于印发《北京市交易场所管理办法》的通知 |
| (No. 4 [2019] of the People's Government of Beijing Municipality) | | （京政发〔2019〕4号） |
| The people's governments of all districts; all the commissions, offices and bureaus of the municipal government; and all departments of the municipal government: | | 各区人民政府，市政府各委、办、局，各市属机构： |
| The Measures of Beijing Municipality for the Administration of Trading Venues are hereby issued to you and shall come into force on the date of issuance, upon which the Measures of Beijing Municipality for the Administration of Trading Venues (for Trial Implementation) (No. 36 [2012], People's Government of Beijing Municipality) are repealed. The relevant departments of the municipal government shall effectively connect relevant policies, and the power to explain specific issues during implementation shall remain with the Municipal Local Financial Supervision and Administration. | | 现将《北京市交易场所管理办法》印发给你们，自发布之日起施行，《北京市交易场所管理办法（试行）》（京政发〔2012〕36号）同时废止。市政府有关部门要做好相关政策的衔接工作，施行中的具体问题由市金融监管局负责解释。 |
| People's Government of Beijing Municipality | | 北京市人民政府 |
| March 22, 2019 | | 2019年3月22日 |
| Measures of Beijing Municipality for the Administration of Trading Venues | | 北京市交易场所管理办法 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of regulating the conduct of trading venues in the city, promoting their sound development, and effectively preventing financial risks, these Measures are developed in accordance with the Company Law of the People's Republic of China, the Special Provisions on Trading in Commodities on the Spot Market (for Trial Implementation) (Order No. 3 [2013], Ministry of Commerce), the Decision of the State Council on Straightening out and Rectifying Various Types of Trading Venues to Effectively Prevent Financial Risks (No. 38 [2011], State Council), the Implementation Opinions of the General Office of the State Council on Straightening out and Rectifying Various Types of Trading Venues (No. 37 [2012], General Office of the State Council), and other relevant provisions. | | 第一条 为规范本市交易场所行为，促进其健康发展，切实防范金融风险，根据《中华人民共和国公司法》、《商品现货市场交易特别规定（试行）》（商务部令〔2013〕3号）、《国务院关于清理整顿各类交易场所切实防范金融风险的决定》（国发〔2011〕38号）和《国务院办公厅关于清理整顿各类交易场所的实施意见》（国办发〔2012〕37号）等有关规定，制定本办法。 |
| Article 2 For the purpose of these Measures, "trading venue" means a venue for commodity trading or equity trading, with "exchange" or "trading center" in its name or a "trading" business item in its business scope, established within the administrative area of the city in accordance with the law, other than a trading venue only for vehicles, real estate, or other physical trading or a trading venue for trading in financial products of which the financial administration department of the State Council performs the duty of routine regulation. These Measures shall apply to the management of any branch office established in the city by a non-local trading venue. If the state otherwise provides for the management of trading venues in state-owned property rights, cultural property rights, public resources, and other fields, the provisions shall apply. | | 第二条 本办法所称交易场所，是指在本市行政区域内依法设立的，名称中含“交易所”“交易中心”或经营范围中含“交易”经营项目，从事商品类交易或者权益类交易的场所，但不包括仅从事车辆、房地产等实物交易的交易场所，也不包括由国务院金融管理部门履行日常监管职责的从事金融产品交易的交易场所。外地交易场所在本市设立分支机构的管理，适用本办法。国有产权、文化产权、公共资源等领域交易场所的管理，国家另有规定的，从其规定。 |
| Article 3 A trading venue shall conform to the industry plans of the capital city and serve the real economy; and conduct business in accordance with the laws and regulations, assume the primary responsibility for market operations and risk mitigation, maintain market order, protect the lawful rights and interests of market participants, and strictly prohibit fraud, insider trading, market manipulation, and other violations of the laws and regulations. | | 第三条 交易场所应当符合首都产业规划，服务实体经济；应当依法依规开展业务，承担市场经营和风险缓释的主体责任，维护市场秩序，保护市场参与者合法权益，严禁欺诈、内幕交易、操纵市场等违法违规行为。 |
| Article 4 The municipal financial regulatory authority, as the overall administration authority of the city-based trading venues shall, in conjunction with the securities regulatory, commerce, market regulatory, science and technology, cultural administration, state-owned assets supervision and administration, and other relevant authorities, jointly and effectively conduct the approval of establishment of trading venues, approval of commencement of business, approval (filing) of modification, on-site inspection, regulation of fund safety, policy support and guidance, statistical monitoring, preparation of development plans, punishment of violation, risk prevention and disposal, coordination of material matters, and other work. District financial work authorities shall be responsible for the routine regulation of the trading venues in their respective districts, including the preliminary examination of establishment and modification, information reporting, and early warning and disposal of risk, and effectively connect themselves and cooperate with the municipal financial regulatory authority. | | 第四条 市金融监管部门作为本市交易场所的统筹管理部门，会同证监、商务、市场监督管理、科技、文化管理、国有资产监督管理等相关部门，共同做好交易场所的设立审批、开业审批、变更审批（备案）、现场检查、资金安全监管、政策支持指导、统计监测、发展规划编制、违规处理、风险防控和处置、重大事项协调等工作。区金融工作部门负责本区交易场所的日常监管，包括设立及变更事项初审、信息报送、风险预警和处置等，并做好与市金融监管部门的衔接与配合工作。 |
| Chapter II Establishment | | 第二章 设立 |
| Article 5 In accordance with the principle of “total control, reasonable layout, and prudential approval,” the city shall holistically plan the number and regional spread of various trading venues, formulate the plans and review standards for the instrument structure of trading venues, and prudentially approve the establishment of trading venues. | | 第五条 按照“总量控制、合理布局、审慎审批”的原则，本市统筹规划各类交易场所的数量和区域分布，制定交易场所品种结构规划和审查标准，审慎批准设立交易场所。 |
| Article 6 A trading venue shall be in the form of corporate organization. For the establishment of a trading venue, the following conditions shall be met, in addition to conformity with the provisions of the Company Law of the People's Republic of China: | | 第六条 交易场所应当采取公司制组织形式。设立交易场所，除符合《中华人民共和国公司法》规定外，还应当符合以下条件： |
| (1) The registered capital of the trading venue shall be contributed in money, not less than 100 million yuan. Before the application for the commencement of business of the trading venue, its registered capital shall be paid in | | （一）交易场所注册资本应当采用货币出资且不低于人民币1亿元。交易场所在申请开业前，注册资本应当实缴到位； |
| (2) The trading venue shall have a controlling shareholder or actual controller. | | （二）交易场所应当具有控股股东或实际控制人； |
| (3) Any of the directors, supervisors, and senior management shall have no negative credit records for the past three years, and have work experience in the relevant business field for more than 5 years. | | （三）董事、监事、高级管理人员近3年内无不良信用信息记录，并具备超过5年的相关业务领域从业经验； |
| (4) Other conditions required by the laws, regulations, and rules. | | （四）法律、法规、规章规定的其他条件。 |
| Article 7 The controlling shareholder or actual controller of a trading venue shall be an incorporated institution and meet the following conditions: | | 第七条 交易场所控股股东或实际控制人应当为法人机构，并符合以下条件： |
| (1) It shall be continually profitable for the last three financial years. | | （一）最近3个会计年度连续盈利； |
| (2) It shall have net assets of not less than 100 million yuan. | | （二）净资产不低于人民币1亿元； |
| (3) The capital contribution structure shall be clear, and the capital stock shall be paid in money from an authentic and lawful source, and shall not be paid in the proceeds of a loan or funds held in trust, or in such a form as proxy holdings, wealth management funds, investment funds, and other financial products. | | （三）出资结构清晰，入股资金来源真实合法，不得以借贷资金入股，不得以他人委托资金入股，不得以代持、理财资金、投资基金或其他金融产品等形式入股； |
| (4) The scope of trading applied for shall be consistent with its existing main business and in a leading position in the business field. | | （四）申请的交易范围应当与其现有主营业务相符，且在该业务领域处于领军地位； |
| (5) It has no negative credit records for the past three years. | | （五）近3年内无不良信用信息记录； |
| (6) Other conditions required by the laws, regulations, and rules. | | （六）法律、法规、规章规定的其他条件。 |
| The conditions for the other shareholders of the trading venue shall be set forth by the detailed rules for the implementation of these Measures. | | 交易场所其他股东应符合的条件由本办法实施细则规定。 |
| Article 8 A promoter shall submit establishment application materials to the district financial work authority in the place where the proposed trading venue is located. The application materials shall be preliminarily examined by the district financial work authority and reviewed by the municipal financial regulatory authority, and if the review is passed, the municipal financial regulatory authority shall request comments from relevant industry authorities and report to the municipal government for approval. If the establishment application is approved by the municipal government, the municipal financial regulatory authority shall issue an official reply document to the applicant; and if the establishment application is rejected, the municipal financial regulatory authority shall issue a written reply to the applicant. | | 第八条 发起人应当向拟设立交易场所所在区金融工作部门提交设立申请材料。申请材料由区金融工作部门初审、市金融监管部门复审，复审通过的，由市金融监管部门征求相关行业主管部门意见后报市政府批准。设立申请获得市政府批准的，由市金融监管部门向申请人出具批复文件；设立申请未获批准的，由市金融监管部门向申请人出具书面答复。 |
Article 9 An applicant shall perform the registration procedures with the market regulatory authority within 90 days of approval. If the applicant fails to do so, the official reply document shall be invalidated.
．．．．．． | | 第九条 申请人应当自批准之日起90日内到市场监督管理部门办理设立登记手续。逾期未办理的，批复文件作废。
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