Article 1 These Rules are formulated in accordance with the Measures for the Administration of Futures Companies and the Measures for the Administration of Futures Practitioners in order to regulate the use and management of the industry information database system of China Futures Association (hereinafter referred to as the Association).

Article 2 The institutions engaged in futures business mentioned in these Rules (hereinafter referred to as institutions) refer to:

(1) Futures companies.

(2) Non-clearing members of the futures exchange.

(3) Futures investment consulting institutions;

(4) Institutions providing intermediary services for futures companies;

(5) Other institutions as stipulated by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission).

Article 3 The Association is responsible for the design, development, daily operation management and maintenance of the database system.

Article 4 The reporting, collection, storage and use of information in database systems shall follow the principles of fairness, objectivity and standardization.

Chapter II Categories and Contents of Databases

Article 5 The database system consists of three sub-databases: examination results database, futures business institution database (hereinafter referred to as institution database) and futures practitioners database (hereinafter referred to as practitioners database).

Article 6 The examination result database is a database for collecting and saving the personal information, examination subjects and examination results of futures practitioners.

Article 7 An institution database is a database for collecting and saving information of institutions engaged in futures business. The information collected by the institution database mainly includes the basic information, business information, financial information and credit information of the institution.

Article 8 The employee database is a database for collecting and saving personal information of futures employees. The information collected by employee database mainly includes basic information, qualification number, qualification time, training information, work experience, integrity information, etc.

Chapter III Information Submission and Arrangement

Article 9 Institutions and individuals shall submit information to the database in an accurate, complete and timely manner in accordance with the database standards and relevant requirements of the Association.

Article 10 All historical information reported by institutions and individuals shall be automatically archived by the database system and kept for a long time.

Eleventh institutions and individuals shall be responsible for the authenticity, accuracy, completeness and timeliness of the information they fill in. The association has the right to check the information provided, and urge the relevant institutions to modify and supplement the false, inaccurate, omitted or expired information.

Twelfth institutions and individuals found that the information submitted by them is inaccurate, it should be corrected in time and reported to the association.

Article 13 When the Association considers that the information submitted by institutions and individuals is inaccurate, it may require institutions and individuals to conduct a review. Institutions and individuals shall give a reply within 5 working days from the date of receiving the notice of review.

Article 14 In any of the following circumstances, the institution shall update the database information within 10 working days and submit written materials to the Association:

(1) Changing the legal representative;

(2) Changing its name;

(2) Change of registered capital;

(3) Changes in major shareholders or shareholding structure;

(4) Change of domicile or business premises;

(5) Change or termination of branches;

(6) contact information change;

(seven) other circumstances that the association believes need to be reported.

Fifteenth futures practitioners in any of the following circumstances, the institution shall update the information in the database within 10 working days, and submit written materials to the association:

(1) The institution employs futures practitioners;

(2) Resignation, retirement, dismissal, loss of civil capacity or death of futures practitioners;

(3) The information of futures practitioners has changed;

(4) Other circumstances that the Association deems necessary to report.

Article 16 Where a futures practitioner or institution is subject to self-discipline punishment by futures exchanges at all levels or futures self-discipline organizations due to violations of laws and regulations, administrative punishment by futures regulatory departments, industry and commerce, taxation and other departments, and criminal punishment by judicial organs, the institution shall fill in relevant information in the database within 10 working days from the date of making the punishment decision or punishment. At the same time, the institution shall issue a written report signed and sealed by the person in charge of the institution to the association, and attach a copy of the punishment certificate issued by the punishment organ.

Chapter IV Information Publicity and Inquiry

Article 17 The Association publishes the list of persons who have passed the qualification examination for futures practitioners through its website.

Article 18 The Association publishes the information of futures practitioners through its website. The publicity contents include: basic information, qualification certificate number, senior management qualification, integrity information and other information that the association thinks should be publicized.

Article 19 The Association publishes organizational information through its website. The contents of publicity include: basic information, main business information and other information that the association thinks should be publicized.

Article 20 The publicity content of institutions and futures practitioners shall be provided by the institutions where futures practitioners work. The agency shall be responsible for the truthfulness, accuracy and completeness of the information it provides, and ensure that it is updated in time. The consequences caused by untrue, inaccurate or untimely information disclosure shall be borne by the institution responsible for providing and updating data.

Article 21 Where a futures practitioner is disqualified, his employment information shall be made public for at least five years.

Twenty-second any unit or individual who has any objection to the publicity information may report to the Association. The association shall verify it and modify or update the untrue, incomplete or inaccurate information as required.

Twenty-third participants in the qualification examination of futures practitioners can query the examination results through the examination results database.

Twenty-fourth the public can query the public information of institutions and individuals through the institution database and the employee database.

China Securities Regulatory Commission, its dispatched offices and other relevant institutions can inquire and use the non-public information of the database system in accordance with the provisions. When necessary, at the request of the regulatory authorities, the association database will provide the credit files of futures practitioners to the Credit Information Center of the People's Bank of China. Regularly import the data related to credit evaluation from the relevant databases of regulatory authorities and other relevant departments.

Chapter V Database Management and Security Maintenance

Article 25 An institution shall designate a special administrator to use the employee database and the institution database on behalf of the institution. The specialized administrator of the institution shall perform the following duties:

(1) Managing the account number and password of the institution;

(2) To be responsible for filling in and updating the information of this institution and its employees, and timely and accurately fill in the information that has been verified and reported to the person in charge of this institution for approval in strict accordance with the requirements of the Association.

Article 26 An institution may have two accounts and corresponding passwords, in which the filling account has the right to fill in, update and browse the information of the institution, and the browsing account has the right to browse the information of the institution.

Twenty-seventh institutions can fill in, modify, inquire and apply for the qualification according to the corresponding authority after obtaining the account number and password of their own database.

Twenty-eighth in order to ensure the safe operation of this database, institutions and users shall abide by the following provisions on safe operation:

(a) Operate in strict accordance with the preset operating authority, and it is forbidden to operate beyond the authority. The operator shall be responsible for all operations under his account;

(two) in the process of networking operation, if it is found that the input information is wrong, it should be modified according to the functions provided by the system.

Twenty-ninth in order to ensure the safe operation of this database, institutions and users must abide by the following confidentiality management regulations:

(1) Take strict security measures to prohibit irrelevant personnel from using computer systems related to databases;

(2) When using the database for the first time, the account password must be changed;

(three) the administrator shall not disclose the account number and password kept by himself;

(four) the password of the administrator is strictly controlled according to the level of authority, and the password should be changed regularly or irregularly.

Article 30 The staff of the Association shall perform the obligation of confidentiality for the non-public information in the database.

Chapter VI Discipline and Punishment

Thirty-first any institution or individual shall not query or use the association database in violation of the provisions of these rules.

Thirty-second member institutions of the association violate the provisions of these rules, and the association requires them to make corrections on schedule; If no correction is made within the time limit, the Association will take the following disciplinary measures depending on the seriousness of the case and record them in its credit file:

(1) admonition;

(2) publicly condemning;

(3) Suspension of membership;

(4) Revocation of membership.

Thirty-third non-member institutions in violation of the provisions of these rules, the association requires them to correct on schedule; If no correction is made within the time limit, the Association will take the following measures depending on the seriousness of the case and record them in its credit file:

(1) admonition;

(2) publicly condemning;

(three) to suspend the acceptance of his application for practicing qualification.

Chapter VII Supplementary Provisions

Article 34 These Rules have been approved by China Securities Regulatory Commission and shall come into force as of the date of promulgation. The Interim Provisions on the Management of Information Management Database of Group Members and Practitioners of China Futures Association and the Implementation Measures for Online Publicity of Futures Practitioners' Qualifications promulgated in June 5438+February 65438+July 2002 shall be abolished at the same time.