Notice of approval procedure "

Zheng Jian futures zi [2000]No. 15

All securities regulatory offices, offices and special commissioners' offices:

In order to further standardize and clarify the examination and approval procedures for the establishment of futures brokerage companies and their business departments, we have formulated this document according to the requirements of Provisional Regulations on the Administration of Futures Trading, Measures for the Administration of Futures Brokerage Companies (Law [1999] No.43) and Notice on the Examination and Approval of Business Departments of Futures Brokerage Companies (Futures Zi [1999] No.20).

Securities regulatory commission

May 2000 16

Examination and approval procedures for the establishment of futures brokerage companies and their business departments

I. Examination and approval procedures for the establishment of a futures brokerage company

(A) the preparation of a futures brokerage company

I. To apply for the establishment of a futures brokerage company (hereinafter referred to as "the company"), all potential investors and designated applicants shall submit the following materials to the dispatched office of the China Securities Regulatory Commission where the company is to be established:

(1) Prepare the application report;

(2) Feasibility report;

(3) preparation plan;

(four) the list of potential investors and the amount, method and proportion of their proposed investment;

(5) Financial reports of all potential investors in the previous two years (audit statements are not needed for the time being, and they are submitted together with the application materials for business opening) and background materials of shareholders (as required by the application materials for equity change);

(six) the name list, resume, qualification certificate or credit information of the person in charge of the preparation;

(seven) other materials required by the China Securities Regulatory Commission and its dispatched offices.

2. After receiving the above materials, the dispatched office of the CSRC where the company intends to set up shall carefully review the requirements of the Measures for the Administration of Futures Brokerage Companies, focusing on whether the establishment of the company is conducive to the rational layout and standardized development of the futures market, whether the proposed investor meets the requirements of the company's shareholders, whether the amount and mode of investment of the proposed investor meet the requirements, and whether the preparatory plan is feasible.

3. After the preliminary examination, the dispatched office shall submit a report on agreeing to set up the company to the China Securities Regulatory Commission, and submit it to the China Securities Regulatory Commission for examination together with the above application materials. The report shall be submitted as an official document, which shall clearly indicate the opinions of the dispatched institutions.

4. After the approval of China Securities Regulatory Commission, China Securities Regulatory Commission will issue a reply to the dispatched office of China Securities Regulatory Commission where the company intends to set up.

5. The preparatory work of the company should be completed within 6 months from the date of issuance of the approval document. If the preparatory establishment is not completed within the time limit, the original approval document will automatically become invalid. If it is necessary to extend the preparation period under special circumstances, a written application shall be submitted to the CSRC 1 month before the expiration of the preparation period, which may be extended with the consent of the CSRC, but the extension period shall not exceed 3 months.

(II) Opening of the company

1. After the preparation of the company is completed, the applicant shall submit the following materials to the dispatched office of the China Securities Regulatory Commission where the company is located:

(1) Application for business opening report;

(2) Report on the preparation;

(3) Materials specified in Article 11 of the Measures for the Administration of Futures Brokerage Companies.

2. The dispatched office of China Securities Regulatory Commission shall conduct on-site inspection and acceptance of the company's preparations in combination with the company's application for business opening and the materials submitted. Acceptance criteria include:

(a) the application materials are consistent with the actual preparation;

(2) If the registered capital is in place in full, and the investment is made in kind, the formalities for the transfer of property rights must be handled;

(3) Having a standard constitution;

(4) Senior management personnel have the qualifications of senior management personnel and passed the examination and talk;

(5) Employees should be qualified;

(6) Having a sound organizational structure;

(7) Its business rules, management system and internal control system meet the requirements of China Securities Regulatory Commission;

(8) The business premises meet the needs of futures brokerage business;

(9) Requirements for facilities related to futures brokerage business;

(10) Other matters that the China Securities Regulatory Commission and its dispatched offices think need to be accepted.

3. After being accepted by the dispatched office of China Securities Regulatory Commission, it shall submit a report agreeing to the company's opening to China Securities Regulatory Commission, and issue clear opinions on the acceptance and preliminary examination of the materials, and submit them to China Securities Regulatory Commission for review together with the materials submitted by the company.

4. After being approved by the China Securities Regulatory Commission, it will issue a reply to the dispatched office of the China Securities Regulatory Commission agreeing to the company's opening.

5. After handling the futures brokerage business license and industrial and commercial registration in accordance with the Measures for the Administration of Futures Brokerage Companies, the company will make an announcement in the designated newspapers and periodicals, and report the announcement to the local dispatched office of the CSRC for the record.

The above procedures are currently applicable to companies in the form of limited liability companies, and the procedures for the establishment of other companies in the future will be stipulated separately.

Two, the establishment of a futures brokerage company business department approval procedures

(A) the establishment of the business department of the futures brokerage company

1. If a company applies for establishing an off-site business department of a futures brokerage company (hereinafter referred to as the "business department"), it shall first apply to the agency dispatched by the China Securities Regulatory Commission where the company is located. The dispatched office of the China Securities Regulatory Commission where the company is located shall evaluate the company's financial status and law-abiding operation. If the company considers that it has the conditions to set up a business department, it shall issue a reply to the company agreeing to set up a business department, and send a copy to the dispatched office of China Securities Regulatory Commission which intends to set up a business department. At the same time, the opinions shall be signed in the column of "Opinions of the local agency of the company" in the application for the establishment of the business department of the futures brokerage company.

2. The company shall submit the following materials to the agency of China Securities Regulatory Commission to be established:

A report on the application for preparation;

(2) Feasibility report;

(3) preparation plan;

(four) the name list, resume, qualification certificate or credit information of the person in charge of the preparation;

(5) The financial status of the company in the previous year;

(six) other materials required by the China Securities Regulatory Commission and its dispatched offices.

3. After examination and approval by the dispatched office of China Securities Regulatory Commission where the business department is to be established, a report agreeing to the establishment of the business department of the company shall be submitted to China Securities Regulatory Commission, together with the approval documents of the dispatched office of China Securities Regulatory Commission where the company is located and the materials submitted by the company, and submitted to China Securities Regulatory Commission for examination and approval.

4. After passing the examination, the China Securities Regulatory Commission issued a reply to the dispatched office of the China Securities Regulatory Commission, which intends to set up a business department, and agreed that the company should set up a business department.

5. The preparatory work of the business department shall be completed within 6 months from the date of approval by the China Securities Regulatory Commission. If the preparatory establishment is not completed within the time limit, the original approval document will automatically become invalid. Under special circumstances, if it is necessary to extend the preparation period, a written application shall be submitted to the China Securities Regulatory Commission 0 months before the expiration of the preparation period, which may be extended with the consent of the China Securities Regulatory Commission, but the extension period shall not exceed 3 months.

(II) Opening of the business department

1. After the preparation of the business department is completed, the company shall submit the following materials to the dispatched office of China Securities Regulatory Commission where the business department is to be established:

(a) the application report;

(2) Report on the preparation;

(3) The materials specified in Article 3 of the Notice of Examination and Approval of the Sales Department of a Futures Brokerage Company.

2. The dispatched office of the CSRC to be established by the business department shall conduct on-site inspection and acceptance of the preparation of the business department in combination with the application for business opening and the materials submitted. Specific acceptance criteria include:

(a) the application materials are consistent with the actual preparation;

(2) The post setting of the business department complies with relevant regulations;

(3) Having a business department management system that meets the requirements;

(4) The manager of the business department has the corresponding qualifications;

(5) The employees are qualified and the number of employees meets the requirements;

(6) Having business premises and facilities suitable for engaging in futures brokerage business.

(seven) other matters that the China Securities Regulatory Commission and its dispatched offices think need to be accepted.

3. After the dispatched office of the CSRC where the business department is located has passed the acceptance test, the materials preliminary examination and on-site acceptance opinions will be issued in the columns of "Application for the Establishment of a Business Department by a Futures Brokerage Company" and "Opinions of the dispatched office of the CSRC where the business department is located", and the above materials will be submitted to the CSRC for review.

4. After the examination and approval by the CSRC, it shall issue a reply to the dispatched office of the CSRC where the business department is located to agree to the opening of the business department.

5. After handling the business license and industrial and commercial registration of the business department in accordance with the Measures for the Administration of Futures Brokerage Companies and relevant regulations, make an announcement in the designated newspapers and periodicals, and report the announcement to the dispatched office for the record.

In the process of examination and approval of the company and the business department, if the China Securities Regulatory Commission and its dispatched offices make a decision of disapproval in a certain link, they shall notify the applicant in writing and explain the reasons.

From:/Bao Gong/content/20065438+0/content _ 61337.htm.