Shanghai International Energy Exchange Releases the Market-Making Management Rules of Shanghai International Energy Exchange | | 上海期货交易所关于上海国际能源交易中心发布《上海国际能源交易中心做市商管理细则》的通知 |
| To all Members and Overseas Special Participants, | | 各有关单位： |
| After being approved by the board of directors of Shanghai International Energy Exchange (INE) and reported to China Securities Regulatory Commission, INE has officially published the Market-Making Management Rules of Shanghai International Energy Exchange. | | 《上海国际能源交易中心做市商管理细则》经上海国际能源交易中心董事会审议通过，并已报告中国证监会，现予以发布。 |
| The Chinese versions of the above implementation rules can be found on the Chinese Website. In the event of any inconsistency between the Chinese version and English translation, the Chinese version shall prevail. | | 英文文本见官方英文网站，仅供参考。如与中文文本不一致，以中文文本为准。 |
| Attachment: The Market-Making Management Rules of INE | | 附件：上海国际能源交易中心做市商管理细则 |
| Shanghai Futures Exchange | | 上海期货交易所 |
| October 11, 2018 | | 2018年10月11日 |
| Appendix: | | 附件 |
| Market-Making Management Rules of Shanghai International Energy Exchange | | 上海国际能源交易中心做市商管理细则 |
| Table of Contents | | 目录 |
| Chapter 1 General Provisions 2 | | 第一章 总则 |
| Chapter 2 Qualifications 2 | | 第二章 资格管理 |
| Chapter 3 Market-Making 5 | | 第三章 做市交易 |
| Chapter 4 Rights and Obligations 6 | | 第四章 权利和义务 |
| Chapter 5 Supervision 7 | | 第五章 监督管理 |
| Chapter 6 Miscellaneous 8 | | 第六章 附则 |
| Chapter 1 General Provisions | | 第一章 总则 |
| Article 1 These Rules are formulated in accordance with General Exchange Rules of the Shanghai International Energy Exchange so as to standardize the market-making business in Shanghai International Energy Exchange (hereinafter referred to as "the Exchange"), promote the liquidity of futures trading and facilitate the futures market to perform its functions. | | 第一条 为了规范对上海国际能源交易中心（以下简称上期能源）做市商的管理，增强期货交易流动性，促进市场功能发挥，根据《上海国际能源交易中心交易规则》，制定本细则。 |
| Article 2 Market Makers refer to the legal persons or other non-incorporated organizations approved by the Exchange to provide two-sided quotes on futures or options contracts of designated products and other services. | | 第二条 做市商是指经上期能源认可，为指定品种的期货、期权合约提供双边报价等服务的法人或者非法人组织。 |
| Article 3 These Rules shall apply to the market-making business and the relevant activities in the Exchange, and shall be binding on the Exchange, Market Makers and Members. | | 第三条 本细则适用于上期能源做市商的做市及相关活动，上期能源、做市商及会员应当遵守本细则。 |
| Chapter 2 Qualifications | | 第二章 资格管理 |
| Article 4 The Exchange may introduce Market Makers for designated products, and shall disclose them to the market. | | 第四条 上期能源可以在指定品种上引入做市商，并向市场公布。 |
| Article 5 The Exchange shall manage the market-making qualification by products. | | 第五条 上期能源按品种实行做市商资格管理。 |
| An applicant for the Market Maker shall meet the following requirements: | | 申请做市商资格，应当具备下列条件： |
| (1) Having net asset of no less than RMB 50 million or its equivalent in foreign currency; | | （一）净资产不低于人民币5000万元或等值外币； |
| (2) Having specialized agencies and personnel responsible for the market-making business, and market-making personnel familiar with the relevant laws and regulations as well as the Exchange's business rules; | | （二）具有专门机构和人员负责做市交易，做市人员应当熟悉相关法律法规和上期能源业务规则； |
| (3) Having a sound plan for the market-making business, an internal control system and a risk management system; | | （三）具有健全的做市交易实施方案、内部控制制度和风险管理制度； |
| (4) Having no record of severe violation of laws and regulations in the past three years; | | （四）最近三年无重大违法违规记录； |
| (5) Having a stable and reliable technology system for the market-making business; | | （五）具备稳定、可靠的做市交易技术系统； |
| (6) Having the experience recognized by the Exchange in trading, market-making or simulated market-making; | | （六）应当具有上期能源认可的交易、做市或者仿真交易做市的经历； |
| (7) Other requirements prescribed by the Exchange. | | （七）上期能源规定的其他条件。 |
| Article 6 An applicant as a Market Maker shall submit the following written materials to the Exchange: | | 第六条 申请做市商资格，应当向上期能源提交以下书面材料： |
| (1) An Application Form of Market-making Qualification with its official seal (if any) signed by its legal representative or authorized signatory; | | （一）经法定代表人或者有权签署人签署并加盖单位公章（如有）的做市商资格申请表； |
| (2) A copy of its Business License with its official seal, or notarized and lawfully authenticated materials on its legitimate establishment; | | （二）加盖单位公章的营业执照复印件，或者经公证和依法认证的申请人合法成立的资料； |
| (3) Latest audited financial statement, or a copy of such statement with the official seal of the accounting firm or signed by the authorized signatory of the accounting firm or the auditing firm; | | （三）经审计的最近一期财务会计报告原件，或者加盖会计师事务所公章的最近一期财务会计报告复印件，或者经会计师事务所或审计师事务所有权签署人签署的最近一期财务会计报告复印件； |
| (4) Post setting and job responsibility of the market-making department, the name list and resumes of the person-in-charge and other personnel for the market-making business; | | （四）做市交易部门的岗位设置和职责规定，以及从事做市交易的负责人及相关人员的名单、履历； |
| (5) Implementation plan for the market-making business, internal control system and risk management system; | | （五）做市交易实施方案、内部控制制度和风险管理制度； |
| (6) Letter of Commitment on no severe violation of laws and regulations in the past three years; | | （六）最近三年无重大违法违规记录的承诺书； |
| (7) Statement on its technology system for the market-making business; | | （七）做市交易技术系统情况的说明； |
(8) Statement on its trading, market-making or simulated market-making;
．．．．．． | | （八）交易、做市或者仿真交易做市情况的说明；
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