AnnouncementNo. Zheng Jian Fa [2009] No.28

The Regulations on the Administration of Information Publicity of Futures Companies are hereby promulgated, and shall come into force as of June 2009165438+1October 65438+June.

Press release issued on 22 October 2009

Provisions on the Administration of Information Disclosure of Futures Companies

In order to protect the legitimate rights and interests of investors, give play to the function of social supervision, and improve the transparency of the futures market, according to the Regulations on the Administration of Futures Trading, the Measures for the Administration of Futures Companies and other relevant laws and regulations, the following provisions are made on the information disclosure of futures companies:

1. The information disclosure in these Provisions refers to the activities of a futures company to disclose to the public the basic information of futures companies and their branches, information of senior managers and employees, information of company shareholders, credit records and other information specified by the China Securities Regulatory Commission through the futures company information disclosure platform designated by the China Securities Regulatory Commission (hereinafter referred to as the publicity platform).

Two, the futures company shall, in accordance with the requirements of these Provisions, publicize the following information:

(1) Basic information of the company. Including company name, license number, business scope, registered capital, company domicile, legal representative, office address and postal code, customer service and complaint telephone number, company website, company email address, etc.

(2) Company history information. Including company establishment, name change, restructuring and reorganization, capital increase and share expansion.

(3) Basic information about the branches of the company. Including the name, location, establishment time, license number, person in charge, detailed address, customer service and complaint telephone number of the branch.

(4) Information about the directors, supervisors and senior managers of the company. Including the name, gender, position, term of office and approval number of the directors, supervisors and senior managers of the futures company.

(5) Company employee information. Including the name, gender, position, tenure and qualification number of the futures practitioners.

(6) Information on the shareholders of the company. Including the name, registered capital, legal representative, industry, economic type, shareholding ratio, shareholding time, office address and company website of the futures company.

(7) The integrity record of the company. Including administrative penalties imposed by regulatory authorities.

(eight) other information required by the China Securities Regulatory Commission.

Encourage futures companies to publicize other information besides the above information.

III. A futures company shall set up an information publicity column on the company's website, and the information to be publicized shall not be less than the information disclosed on the publicity platform.

Four, the futures company shall publish the publicity platform and company website, employee information, complaint telephone number, service telephone number and other information in the information publicity column of the business place.

Five, the futures company shall ensure that the public information is true, accurate, complete and timely.

Six, the futures company shall, in accordance with the requirements of these Provisions, formulate the information publicity management system, and clarify the contents, standards, processes, responsibilities and accountability of publicity. The information publicity management system shall be reviewed and approved by the board of directors of the company, and reported to the dispatched office of China Securities Regulatory Commission and China Futures Association for the record.

Seven, the futures company shall designate senior management personnel responsible for information publicity, determine the special department responsible for information publicity and continuous update, and report to the company's domicile in China Securities Regulatory Commission dispatched office for the record.

Eight, the futures company directors, supervisors and senior management personnel should continue to pay attention to the preparation of information disclosure documents, to ensure that the publicity matters are completed within the prescribed time limit.

Nine, the legal representative of the futures company, the main person in charge of operation and management, the chief risk officer, the person in charge of information publicity and other responsible persons shall sign and confirm the publicity information. If there is any objection to the public information, it shall state the opinions and reasons in writing and report to the dispatched office of China Securities Regulatory Commission where the company is domiciled.

Ten, the futures company shall declare the information to be publicized online through the publicity platform.

The information first publicized by a futures company should be completed before 65438+ on February 20, 2009, and reported to the agency of China Securities Regulatory Commission for online publicity by China Futures Association.

Eleven, when the public information changes, the futures company shall timely fill in online through the publicity platform, update the relevant content, and immediately report to the local China Securities Regulatory Commission agency. Where the contents in Items (1) to (7) of Article 2 of these Provisions change, the futures company shall update them within 5 working days and report to the dispatched office of China Securities Regulatory Commission.

Twelve, the futures company shall inform investors in writing of the publicity platform and the company website when opening an account, and prompt related matters in the customer trading system.

13. If the information that a futures company should disclose is untrue, inaccurate, incomplete or untimely, or there are false or misleading statements or major omissions, the China Securities Regulatory Commission and its dispatched offices will take regulatory measures in accordance with the relevant provisions of the Regulations on the Administration of Futures Trading and the Measures for the Administration of Futures Companies, and order rectification; If the circumstances are serious, the responsibility of relevant units and personnel will be investigated according to law.

Attachment: List of Information Publicity of Futures Companies (omitted)