Article 30 A futures company shall establish and improve the internal compliance inspection system, and bring the compliance inspection of the business department into the unified compliance inspection scope of the futures company.

Article 31 The compliance inspection department of a futures company shall conduct more than/kloc-0 on-site inspections on the business compliance of the business department every year, including the following contents:

(a) the performance of duties by the person in charge of the business department and the practice of employees;

(2) Post setting and personnel qualification of the business department;

(3) Compliance of the business premises and facilities;

(four) the implementation of the internal control system of the business department;

(five) the futures company shall implement unified settlement, unified risk management, unified fund allocation, unified financial management and accounting;

(six) the operation of the information technology system;

(seven) other matters stipulated by the China Securities Regulatory Commission.

Article 32 A futures company shall, within 65,438+00 working days after completing the compliance inspection of the business department, report the inspection and the problems found to the dispatched office where the business department is located.

The futures company shall keep the compliance inspection report of the business department, and submit the compliance inspection report of the futures company on the business department in the previous year to the dispatched office of the company's domicile before the end of March each year.