chapter one
Score: about 13%
The establishment and handling of futures trading institutions, the nature and composition of futures industry associations, the basic rules of futures trading and the supervision and management of illegal futures trading are particularly important, which need candidates to firmly grasp on the basis of understanding and flexibly apply them in relevant cases. The comprehensive questions are difficult and account for a large proportion, so candidates should pay attention to them.
chapter two
Score: about 3%
Focus on the relevant provisions of the collection, management, supervision and use of security funds.
chapter three
Score: about 8%
The Measures mainly stipulate the establishment, change, termination, organization, membership management, basic business rules, supervision and management, legal responsibilities and other contents of the futures exchange, among which there are many knowledge points about the establishment, change, termination, organization, membership management and basic business rules of the futures exchange.
chapter four
Score: about 10%
The Measures mainly make specific provisions on the establishment, alteration, business termination, corporate governance, brokerage business rules, customer asset protection, supervision and management of futures companies. Among them, the procedures and substantive requirements for the establishment, change and termination of futures companies, corporate governance related matters, brokerage business rules, customer asset protection, asset management, etc. are all the contents that need to be focused on.
chapter five
Score: about 3%
Candidates should focus on the qualifications, application and approval of qualifications and rules of conduct of directors, supervisors and senior managers of futures companies.
Chapter vi
Score: about 7%
Proficient in the acquisition and cancellation of futures practitioners' qualifications, the practice rules of futures practitioners and the supervision and management of futures practitioners.
Chapter VII
Score: about 5%
The appointment and removal, code of conduct, responsibility and performance guarantee of the chief risk officer of a futures company are the key contents of the examination, and candidates should master them skillfully.
Chapter VIII
Score: about 2%
Pay special attention to the memory of numbers and dates; At the same time, the business rules of general settlement member futures companies and trading settlement member futures companies should be firmly grasped on the basis of understanding and can be flexibly applied in related cases.
Chapter 9
Score: about 7%
Focus on memorizing the calculation formula and index standard of risk supervision indicators and the specific requirements for the preparation and disclosure of risk supervision statements.
Chapter 10
Score: about 4%
Focus on mastering the qualifications, business scope and specific business rules of applying for introduction business, especially the memory of numbers and date terms, such as the provisions on risk control index standards.
Bankruptcy reorganization protection
Score: about 3%
The key chapters are customer account opening and transaction code application, customer transaction code cancellation, customer data management and audit.
Chapter XII
Score: about 3%
The company's business qualifications, personnel qualifications and business rules are the focus of the examination, and candidates need to master them skillfully.
Chapter 13
Score: about 2%
On the basis of comprehensive understanding, we should focus on memorizing the requirements and application materials for applying for the pilot qualification of asset management business, the provisions on customer qualification, asset management contract and obligations of both parties in the business specification, business management and risk control system.
Chapter 14
Score: about 1%
Strengthen the memory of financial futures investors' available funds, scores required for knowledge test, transaction records in trading experience, comprehensive evaluation scores, investment experience evaluation and other figures and dates.
Chapter 15
Score: about 6%
Focusing on the memory content, the examination focuses on the basic rules of futures practitioners' practice behavior, compliance practice, responsibilities to investors, competition rules, and relevant regulations on supervision and punishment of futures practitioners.
Chapter 16
Score: about 1%
It is less difficult, and candidates can get a general understanding.
Chapter 17
Score: about 1%
Grasp it firmly on the basis of understanding and use it flexibly in related cases. Pay attention to the details of the fourth and fifth securities and futures trading.
Chapter 18
Score: about 1%
Focus on the criminal responsibility of illegally setting up futures exchanges, securities companies and futures brokerage companies, engaging in insider trading in securities and futures, and other related criminal responsibilities.
Chapter 19
Score: about 14%
On the basis of understanding, master the knowledge of the jurisdiction of futures dispute cases, the subject of responsibility, the determination of invalid contracts, the determination and handling of civil liabilities in specific trading behaviors, the determination and handling of civil liabilities such as overdraft trading, forced liquidation, physical delivery, contract performance guarantee, tort, and the evidence, preservation and execution in futures dispute cases, and can be flexibly used in related cases.
The above is the related content of "Futures Qualification Examination and Score Proportion of Futures Laws and Regulations" compiled and released by Bian Xiao today. I hope it will help everyone. For more information about the examination questions of 2020 futures qualification examination, pay attention to Bian Xiao and keep updating.