Extended data:
A futures company refers to an intermediary organization established according to law, which accepts the entrustment of customers, conducts futures trading for customers in its own name according to their instructions, and collects trading fees, and the trading results are borne by customers. Futures companies are the bridge between traders and futures exchanges. Futures traders are the main body of the futures market, and it is precisely because futures traders have the demand for hedging or speculative profits that they promote the emergence and development of the futures market. Although every trader wants to trade directly in the futures market, due to the high risk of futures trading, it is decided that the futures exchange must formulate a strict membership trading system, and non-members are not allowed to enter the market for trading. Therefore, there is a contradiction between strict membership trading system and attracting more traders and expanding the market scale.
The management of customers includes: examining the qualifications, sources of funds and credit status of customers, and evaluating the interactive relationship between sources of funds and transaction risks; Strengthen the risk awareness and law-abiding education for customers; Strictly implement the customer margin management system; Improve customers' futures knowledge and trading skills; Different customers and different sources of funds are treated differently and managed by classification; Establish a dispute resolution plan.
The management of employees by securities firms includes: improving the futures knowledge level and practical skills of employees; Strengthen internal supervision and strengthen employee professional ethics education; Cultivate high-quality account managers.
Brokerage companies must establish and improve internal settlement and risk management systems in accordance with the provisions of the Exchange and the China Securities Regulatory Commission; Collect customer deposits in strict accordance with the proportion stipulated by the exchange and maintain moderate positions; Avoid excessive trading and strictly control the risks of customers.
Brokers should not only accept the supervision and inspection of the CSRC and the Exchange, but also set up internal auditors to form a strict internal control system, find problems in time and avoid major risk accidents.