| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 5 [2019]) | | （〔2019〕5号） |
| The Decision to Amend the Provisions on the Categorized Supervision and Administration of Futures Companies is hereby issued, and shall come into force on the date of issuance. | | 现公布《关于修改〈期货公司分类监管规定〉的决定》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| February 15, 2019 | | 2019年2月15日 |
| Decision to Amend the Provisions on the Categorized Supervision and Administration of Futures Companies | | 关于修改《期货公司分类监管规定》的决定 |
| The China Securities Regulatory Commission hereby decides to amend the Provisions on the Categorized Supervision and Administration of Futures Companies (Announcement No. 9 [2011], CSRC) as follows: | | 现决定对《期货公司分类监管规定》（证监会公告〔2011〕9号）作如下修改： |
1. Article 1 is amended to read: “These Provisions are developed in accordance with the relevant provisions of the Regulation on the Administration of Futures Trading and the Measures for the Supervision and Administration of Futures Companies | | 一、将第一条修改为：“为有效实施对期货公司的监督管理，引导期货公司专注主业、合规经营、稳健发展、做优做强，全面提升期货行业服务能力和竞争力，根据《期货交易管理条例》、《期货公司监督管理办法》有关规定，制定本规定。” |
| 2. In Article 2, “status of fostering and developing institutional investors” is replaced with “capability of serving the real economy”, which is inserted before “market competitiveness”. | | 二、将第二条中“培育和发展机构投资者状况”修改为“服务实体经济能力”，置于“市场竞争力”之前。 |
| 3. Article 4 is amended to read: “The CSRC shall organize the categorized evaluation of futures companies under the principles of compliance with laws and regulations, objectivity and impartiality. Local CSRC offices, all futures exchanges, the China Futures Market Monitoring Center and the China Futures Association shall perform their work duties in accordance with these provisions under the guidance of the CSRC.” | | 三、将第四条修改为：“期货公司分类评价坚持依法合规、客观公正原则，由中国证监会组织实施。中国证监会派出机构、各期货交易所、中国期货市场监控中心、中国期货业协会在中国证监会的指导下，依据本规定履行工作职责。” |
| 4. Paragraph 2 of Article 5 is amended to read: “The review committee shall consist of relevant members of the CSRC, all futures exchanges, the China Futures Market Monitoring Center and the China Futures Association. The formation methods, organizational structure, work procedures and rules of procedures of the review committee shall be prescribed by the CSRC separately.” | | 四、将第五条第二款修改为：“评审委员会由中国证监会、各期货交易所、中国期货市场监控中心、中国期货业协会相关人员组成。评审委员会的产生办法、组织结构、工作程序和议事规则由中国证监会另行规定。” |
| 5. Article 8 is amended to read: “The risk management capability of a futures company shall be mainly evaluated based on six evaluation indicators, including corporate governance, internal control, capital management, business management, client management, and information technology management, according to the Indicators and Standards for the Evaluation of the Risk Management Capability of Futures Companies (see the Annex), so as to reflect the capability of the futures company to manage and control various kinds of risks.” | | 五、将第八条修改为：“期货公司的风险管理能力主要根据公司治理、内部控制、资本管理、业务管理、客户管理、信息技术管理等6类评价指标，按照《期货公司风险管理能力评价指标与标准》（见附件）进行评价，体现期货公司对各类风险的管理和控制能力。” |
| 6. Article 9 is amended to read: “The futures company's capability to serve the real economy shall be mainly evaluated based on industry services provided by the futures company during the evaluation period, including the following content: | | 六、将第九条修改为：“期货公司服务实体经济能力主要根据期货公司在评价期内开展产业服务的情况进行评价，包括以下内容： |
| “(1) “Insurance + futures” business scale. | | “（一）“保险＋期货”业务规模； |
| “(2) Daily average positions held by institutional clients. | | “（二）机构客户日均持仓； |
| “(3) Other evaluation content recognized by the CSRC.” | | “（三）中国证监会认可的其他评价内容。” |
| 7. Article 10 is amended to read: “The market competitiveness of a futures company shall be mainly evaluated based on the business scale, cost management capability, profitability, and other aspects of a futures company during the evaluation period, including the following content: | | 七、将第十条修改为：“期货公司市场竞争力主要根据期货公司在评价期内的业务规模、成本管理能力、盈利能力等方面进行评价，包括以下内容： |
| “(1) Total daily average clients' equity after weighting adjustment. | | “（一）加权调整后日均客户权益总额； |
| “(2) Futures business income. | | “（二）期货业务收入； |
| “(3) Net profits. | | “（三）净利润； |
| “(4) Cost management capability. | | “（四）成本管理能力； |
| “(5) Return on equity. | | “（五）净资产收益率； |
| “(6) Daily average derivative equity of asset management products.” | | “（六）资产管理产品日均衍生品权益。” |
| 8. In Article 11, “self-regulatory organization of the futures sector” is replaced with “self-regulatory organization of the securities and futures sector”. | | 八、将第十一条中“期货行业自律组织”修改为“证券期货行业自律组织”。 |
| 9. In Article 12, the “status of fostering and developing institutional investors” is replaced with the “capability of serving the real economy”, which is inserted between “risk management capability” and “market competitiveness”. | | 九、将第十二条中“培育和发展机构投资者状况”修改为“服务实体经济能力”，置于“风险管理能力”与“市场竞争力”之间。 |
| 10. Article 13 is amended to read: “Where the six evaluation indicators of risk management capability of a futures company, including corporate governance, internal control, capital management, business management, client management and information technology management, fail to meet the specific evaluation standards, 0.5 point shall be deducted per item.” | | 十、将第十三条修改为：“期货公司的公司治理、内部控制、资本管理、业务管理、客户管理、信息技术管理等6类风险管理能力评价指标不符合具体评价标准的，每项扣0.5分。” |
| One paragraph is added as paragraph 2 of Article 13: “Where a futures company receives a prior notice of administrative penalty, is subject to case investigation for any suspected violation of law or regulation, or has any risk event, which has a serious impact and reflects the company's problems in the aforesaid evaluation indicators, points shall be deducted according to specific evaluation standards.” | | 增加一款，作为第十三条第二款：“期货公司收到行政处罚事先告知书、因涉嫌违法违规被立案调查或者发生风险事件，造成严重影响，反映出公司在上述评价指标方面存在问题的，对照具体评价标准予以扣分。” |
| 11. Article 14 is amended to read: “With respect to the capability of a futures company to serve the real economy, corresponding points shall be added under the following principles: | | 十一、将第十四条修改为：“期货公司服务实体经济能力按照以下原则加分： |
| “(1) If its “insurance + futures” business scale ranks among the top 10%, 10% to 20%, 20% to 30%, 30% to 40%, 40% to 50% or 50% to 60% among companies participating in the evaluation of this indicator, 2 points, 1.5 points, 1 point, 0.75 point, 0.5 point, or 0.25 point shall be added respectively, 0.1 point shall be added for other companies participating in the evaluation of this indicator, and the review committee shall determine the scope of futures companies participating in the evaluation based on the overall implementation of the “insurance + futures” business in the current year. | | “（一）“保险＋期货”业务规模位于参与本指标评价的公司前10%（含）、10%至20%（含）、20%至30%（含）、30%至40%（含）、40%至50%（含）、50%至60%（含）的，分别加2分、1.5分、1分、0.75分、0.5分、0.25分，其他参与本指标评价的公司加0.1分，评审委员会根据当年“保险＋期货”业务开展的总体情况确定参评期货公司范围； |
| “(2) If it ranks among the top 5, or from 6 to 10, 11 to 20, 21 to 30, 31 to 40, or 41 to 50 in the sector in terms of daily average positions held by institutional clients, 2 points, 1.5 points, 1 point, 0.75 point, 0.5 point or 0.25 point shall be added respectively. | | “（二）机构客户日均持仓位于行业前5名、6至10名、11至20名、21至30名、31至40名、41至50名的，分别加2分、1.5分、1分、0.75分、0.5分、0.25分。 |
| “The CSRC shall, according to the circumstances of the futures company in serving the real economy, increase the evaluation of the capability to serve the real economy on the basis of soliciting industry opinions.” | | “中国证监会根据期货公司服务实体经济情况，在征求行业意见的基础上增加服务实体经济能力评价内容。” |
| 12. Article 15 is amended to read: “With respect to the market competitiveness of a futures company, corresponding points shall be added under the following principles: | | 十二、将第十五条修改为：“期货公司市场竞争力按照以下原则加分： |
| “(1) If the futures company ranks among the top 5, or from 6 to 10, 11 to 20, 21 to 30, 31 to 40, 41 to 50, 51 to 60, or 61 to the median in the sector in terms of total daily average clients' equity after weighting adjustment during the evaluation period, 4 points, 3 points, 2 points, 1.5 points, 1 point, 0.75 point, 0.5 point, or 0.25 point shall be added respectively. If the trading position ratio of the futures company during the evaluation period is higher than the median of the entire sector, the aforesaid points to be added shall be halved. | | “（一）期货公司评价期内加权调整后日均客户权益总额位于行业前5名、6至10名、11至20名、21至30名、31至40名、41至50名、51至60名、61名至排名中位数的，分别加4分、3分、2分、1.5分、1分、0.75分、0.5分、0.25分，期货公司评价期内成交持仓比高于全行业中位数的，减半加分； |
| “(2) If the futures company ranks among the top 5, or from 6 to 10, 11 to 20, 21 to 30, 31 to 40, or 41 to 50 in the sector in terms of futures business income during the evaluation period, 2 points, 1.5 points, 1 point, 0.75 point, 0.5 point, or 0.25 point shall be added respectively. If the commodity futures and options commission rate or the financial futures and options commission rate of the futures company during the evaluation period is lower than 50% of the average of the entire sector, the aforesaid points to be added shall be halved. | | “（二）期货公司评价期内期货业务收入位于行业前5名、6至10名、11至20名、21至30名、31至40名、41至50名的，分别加2分、1.5分、1分、0.75分、0.5分、0.25分，期货公司评价期内商品期货及期权手续费率或金融期货及期权手续费率低于全行业平均水平50%的，减半加分； |
| “(3) If the futures company ranks among the top 5, or from 6 to 10, 11 to 20, 21 to 30, 31 to 40, or 41 to 50 in the sector in terms of net profits during the evaluation period, 2 points, 1.5 points, 1 point, 0.75 point, 0.5 point, or 0.25 point shall be added respectively. | | “（三）期货公司评价期内净利润位于行业前5名、6至10名、11至20名、21至30名、31至40名、41至50名的，分别加2分、1.5分、1分、0.75分、0.5分、0.25分； |
| “(4) If the futures company ranks among the top 10, or from 11 to 20, 21 to 30, 31 to 40, or 41 to 50 in the sector in terms of the cost management capability during the evaluation period, 0.5 point, 0.4 point, 0.3 point, 0.2 point or 0.1 point shall be added respectively. | | “（四）期货公司评价期内成本管理能力位于行业前10名、11至20名、21至30名、31至40名、41至50名的，分别加0.5分、0.4分、0.3分、0.2分、0.1分； |
| “(5) If the futures company ranks among the top 10, or from 11 to 20, 21 to 30, 31 to 40, or 41 to 50 in the sector in terms of the return on equity during the evaluation period, 0.5 point, 0.4 point, 0.3 point, 0.2 point or 0.1 point shall be added respectively. | | “（五）期货公司评价期内净资产收益率位于行业前10名、11至20名、21至30名、31至40名、41至50名的，分别加0.5分、0.4分、0.3分、0.2分、0.1分； |
| “(6) If the futures company ranks among the top 5, or from 6 to 10, 11 to 15, 16 to 20, or 21 to 30 in the sector in terms of the daily average derivative equity of asset management products during the evaluation period, 1 point, 0.8 point, 0.6 point, 0.4 point or 0.2 point shall be added respectively. If the futures company or subsidiary has any asset management product that fails to comply with regulatory provisions during the evaluation period and fails to complete the rectification or clean-up within the prescribed time, no point shall be added with respect to this indicator. | | “（六）期货公司评价期内资产管理产品日均衍生品权益位于行业前5名、6至10名、11至15名、16至20名、21至30名的，分别加1分、0.8分、0.6分、0.4分、0.2分，期货公司或子公司评价期内存在资产管理产品不符合监管规定且未在规定时间内完成整改或清理情形的，该指标不予加分。 |
“Where the score of the future company with respect to the indicators of risk management capability and continuous regulatory compliance status of the futures company is lower than the prescribed score, no point shall be added with respect to the indicator of market competitiveness. The prescribed scores shall be determined through deliberation by the review committee based on the evaluation of the current year.”
．．．．．． | | “期货公司风险管理能力与持续合规状况指标得分低于规定分值的，市场竞争力指标不予加分。规定分值由评审委员会根据当年评价情况审议确定。”
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