(1) The managers of a futures operating institution (hereinafter referred to as "managers") include:
1. Directors, deputy general managers and positions equivalent to deputy general managers or above of a futures brokerage company;
2. Deputy manager of the business department of the futures brokerage company;
3. The deputy manager of the futures business department of the futures operating institution.
(2) The business personnel of a futures operating institution (hereinafter referred to as business personnel) include:
1. Personnel engaged in futures trading induction, account opening, entrustment, execution, margin payment, settlement and delivery;
2, engaged in futures trading investment analysis, consulting or futures operating institutions internal finance, business audit and other related business personnel. Chapter II Acquisition of Professional Qualification Article 4 An employee shall meet the following conditions at the same time:
(1) Having China nationality; (2) Having full capacity for civil conduct; (3) Good conduct, integrity and good professional ethics; (4) Having not received criminal punishment and having no record of economic violation for three consecutive years before applying for futures business; (5) Accepting the professional training specified in Article 6 of these Measures, passing the qualification examination for employees authorized by China Securities Regulatory Commission (hereinafter referred to as the "qualification examination") and obtaining the qualification certificate for employees authorized by China Securities Regulatory Commission (hereinafter referred to as the "qualification certificate"). Article 5 In addition to meeting the requirements stipulated in Article 4, managers should also have a college degree or above and meet one of the following conditions:
(1) Having worked in securities and financial institutions for more than three years, and having served as the department manager of securities and financial institutions or above or equivalent; (2) Having worked in securities and financial institutions for more than five years, and having served as deputy manager of the departments of securities and financial institutions or above or equivalent positions; (3) Having been engaged in the commodity business with the same varieties as those listed in futures trading for more than three years, and having served as a department manager or above or equivalent; (4) Having worked in futures, securities and financial management departments for more than five years, and having served as a section chief or above or equivalent; (five) there are sufficient facts to prove that it has professional knowledge or experience in futures business and can effectively operate futures business. Article 6 Persons applying for professional qualifications shall participate in professional training and obtain a certificate of completion issued by a training institution.
The CSRC authorized institutions to supervise and guide the above-mentioned training institutions. Article 7 The qualification examination shall be uniformly organized and implemented by the institutions authorized by the China Securities Regulatory Commission. Article 8 A person who has passed the qualification examination may apply to the authorized institution of China Securities Regulatory Commission for obtaining a qualification certificate, and submit the materials deemed necessary by the authorized institution of China Securities Regulatory Commission. Article 9 An applicant shall submit the following materials to the authorized institution of China Securities Regulatory Commission:
(1) An application form; (2) Certificate of completion of professional training for employees; (3) Qualification certificates of employees; (4) Letter of Intent for the appointment of a futures operating institution; (5) Other materials required by the authorized institution of China Securities Regulatory Commission. Article 10 A person who has obtained a certificate of completion issued by a training institution shall pass the qualification examination organized by an institution authorized by the China Securities Regulatory Commission within 12 months from the date of issuance of the certificate. Those who exceed this time limit, if they want to take the qualification examination, should re-receive the professional training organized by the training institution and obtain the certificate of completion. Article 11 The authorized institution of China Securities Regulatory Commission shall, within 30 days from the date of receiving the application, review the information of the applicant, and issue a qualification certificate to those who meet the requirements, register them and publish them in the relevant newspapers designated by China Securities Regulatory Commission. Chapter III Inspection, Change and Cancellation of Employees' Information Article 12 The institutions authorized by the China Securities Regulatory Commission shall implement a biennial qualification inspection system for employees. Employees shall go through the qualification certificate verification formalities at the institution authorized by China Securities Regulatory Commission within the specified time as required.
If the qualification certificate has passed the examination, the authorized institution of China Securities Regulatory Commission shall go through the qualification reconfirmation procedures. Thirteenth employees have one of the following acts, the China Securities Regulatory Commission authorized institutions can not go through the formalities for re-confirmation of qualifications;
(1) Being directly responsible for the bankruptcy of its futures brokerage company; (two) one of the acts listed in article twenty-first of these measures; (3) submitting false materials when applying for a qualification certificate, verifying the qualification certificate or registering. Article 14 Where the employees of a futures trading institution change, they shall register with the institution authorized by the China Securities Regulatory Commission within 30 days after the change:
(a) to change the registration of employees who have been transferred or promoted; (2) Cancelling the registration of employees who have died, resigned, dismissed, expelled or retired; (three) to suspend or cancel the registration of employees who have been suspended and disqualified by the China Securities Regulatory Commission in accordance with Article 21 of these Measures. Article 15 Where the employees of a futures trading institution change, the original institution shall file with the institution authorized by the China Securities Regulatory Commission within 30 days after the employees resign or transfer. The newly hired institution shall report to the authorized institution of China Securities Regulatory Commission for the record within 30 days after the employee takes office.