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Measures for the Administration of Directors, Supervisors and Senior Managers of Futures Companies (202 1 Amendment)
Chapter I General Provisions Article 1 In order to strengthen the post management of directors, supervisors and senior managers of futures companies, standardize the operation of futures companies and prevent operational risks, these Measures are formulated in accordance with the Company Law and the Regulations on the Administration of Futures Trading. Article 2 These Measures shall apply to the post management of directors, supervisors and senior managers of futures companies.

The term "senior management personnel" as mentioned in these Measures refers to the general manager, deputy general managers, chief risk officer (hereinafter referred to as management personnel), chief financial officer and the personnel who actually perform the above duties.

The management of the person in charge of the branch of a futures company shall be implemented with reference to the relevant provisions of these Measures on senior management personnel. Article 3 The directors, supervisors and senior managers of a futures company shall meet the post requirements stipulated by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission).

A futures company may not appoint persons who do not meet the post requirements as directors, supervisors and senior managers.

A futures company shall not authorize persons other than directors, supervisors and senior managers to actually perform relevant duties, except as otherwise provided in these Measures. Article 4 The directors, supervisors and senior managers of a futures company shall abide by laws, administrative regulations and the provisions of the China Securities Regulatory Commission, abide by self-discipline rules, industry norms and the articles of association of the company, and be honest and diligent. Article 5 The China Securities Regulatory Commission shall supervise and manage the directors, supervisors and senior managers of futures companies according to law.

The dispatched offices of China Securities Regulatory Commission shall supervise and manage the directors, supervisors and senior managers of futures companies in accordance with these Measures and the authorization of China Securities Regulatory Commission.

China Futures Association and Futures Exchange shall conduct self-discipline management of directors, supervisors and senior managers of futures companies according to law. Chapter II Qualifications Article 6 The directors, supervisors and senior managers of a futures company shall have the qualities of honesty and trustworthiness, good professional ethics and management ability necessary for performing their duties. Article 7 Directors and supervisors of a futures company other than the chairman of the board, the chairman of the board of supervisors and independent directors shall meet the following conditions:

(a) engaged in futures, securities and other financial business or legal and accounting business for more than 3 years, or engaged in economic management for more than 5 years;

(2) Having a college degree or above. Article 8 An independent director of a futures company shall meet the following conditions:

(a) engaged in futures, securities and other financial business or legal and accounting business for more than 5 years, or has a senior title of teaching and research in related disciplines;

(2) Having a bachelor's degree or above and obtaining a bachelor's degree or above;

(three) familiar with futures laws, administrative regulations and the provisions of the China Securities Regulatory Commission, with the professional ability of futures;

(4) Having the time and energy necessary to perform their duties. Article 9 An independent director shall not have any relationship with the futures company where he works that may hinder him from making independent and objective judgments.

The following persons shall not serve as independent directors of a futures company:

(1) Personnel working in futures companies or their related parties, close relatives and major social relations personnel;

(2) Persons who work in the following institutions, their close relatives and major social relations personnel: units that hold or control more than 5% of the shares of futures companies, the top five shareholder units of futures companies, and institutions that have business ties or interests with futures companies;

(3) Directly or indirectly holding more than 65,438+0% of the issued shares of the listed futures company or being a natural person shareholder and his close relatives among the top ten shareholders of the listed futures company;

(4) Persons who provide financial, legal and consulting services for futures companies and their related parties and their close relatives;

(5) Persons under any of the circumstances listed in the first four items in recent 1 year;

(6) Persons who hold positions other than independent directors in other futures companies;

(seven) other personnel as prescribed by the China Securities Regulatory Commission. Article 10 A person who serves as the chairman of the board of directors or the chairman of the board of supervisors of a futures company shall meet the following conditions:

(a) engaged in futures business for more than 3 years, or engaged in other financial business for more than 4 years, or engaged in legal and accounting business for more than 5 years, or engaged in economic management for more than 65,438+00 years;

(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;

(three) familiar with futures laws, administrative regulations and the provisions of the China Securities Regulatory Commission, with professional futures capabilities. Article 11 The manager of a futures company shall meet the following conditions:

(1) Having the qualification of futures practitioners;

(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;

(three) familiar with futures laws, administrative regulations and the provisions of the China Securities Regulatory Commission, with professional futures capabilities. Article 12 The general manager and deputy general manager of a futures company shall meet the following conditions in addition to those specified in Article 11:

(a) engaged in futures business for more than 3 years, or engaged in other financial business for more than 4 years, or engaged in legal and accounting business for more than 5 years, or engaged in economic management for more than 65,438+00 years;

(two) as the person in charge of financial institutions such as futures companies and securities companies for more than 2 years, or have considerable experience in position management. Article 13 A person who serves as the chief risk officer of a futures company shall, in addition to meeting the conditions stipulated in Article 11, have more than three years of futures experience and be the person in charge of trading, settlement, risk management or compliance of the futures company for more than two years; Or have more than 1 year futures business experience, and have more than 3 years of risk management and compliance business experience in financial institutions such as securities companies.

The appointment, performance and evaluation of the chief risk officer should remain independent.