Futures business qualification registration application conditions

If an institution appoints a person who has passed the business qualification examination and meets the following conditions to engage in futures business, it shall apply for the business qualification:

(1) Have good conduct and good professional ethics;

(2) Have been employed by the organization;

(3) Have not been subject to criminal punishment or Chinese law in the past three years Administrative penalties imposed by financial regulatory agencies such as the China Securities Regulatory Commission;

(4) No market entry ban measures have been taken by financial regulatory agencies such as the China Securities Regulatory Commission, or the ban period has expired;

( 5) No securities or futures qualifications have been revoked due to violations of laws and regulations in the past three years;

(6) Other conditions stipulated by the China Securities Regulatory Commission.

Institutions shall not appoint personnel without professional qualifications to engage in futures business, and shall not commit fraud during the application process for professional qualifications.

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