No other unit or individual may engage in futures brokerage business. Article 5 China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") shall exercise centralized and unified supervision and management over the national futures brokerage companies according to law.
China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") dispatched offices, offices and special commissioners' offices shall supervise futures companies in accordance with these Measures and the authorization of China Securities Regulatory Commission. Chapter II Establishment, Modification and Termination Section 1 Establishment Article 6 The establishment of a futures brokerage company shall be approved by the China Securities Regulatory Commission. Without approval, no unit or individual may set up or set up a futures brokerage company in disguise.
The name of a futures brokerage company shall be marked with the words futures brokerage. No other unit or individual may use a futures broker or a similar name. Article 7 A futures brokerage company may engage in futures brokerage business and other businesses approved by the China Securities Regulatory Commission.
A futures brokerage company shall not engage in business beyond its business scope; Do not be an investor with unlimited liability; Do not speculate in stocks in violation of regulations; In addition to fulfilling the guarantee obligations stipulated in Article 44 of the Interim Regulations on the Administration of Futures Trading, no guarantee shall be provided for others. Article 8 To establish a futures brokerage company, the following conditions shall be met:
(a) the minimum registered capital is 30 million yuan, of which the monetary contribution is not less than 654.38+0.8 million yuan;
(2) Having standardized articles of association;
(3) Having senior management personnel with post qualifications;
(four) there are 15 or more other employees with professional qualifications;
(5) Having a sound organizational structure and management system;
(6) Having brokerage business rules, financial accounting systems, risk management and internal control systems that meet the requirements;
(seven) there are business premises and other business-related facilities that meet the requirements;
(eight) other conditions stipulated by laws and regulations and the China Securities Regulatory Commission. Article 9 The shareholders of a futures brokerage company must be legal persons in People's Republic of China (PRC) and China, and abide by the provisions of laws, regulations, rules and relevant policies. Article 10 To apply for the establishment of a futures brokerage company, the following materials shall be submitted to the China Securities Regulatory Commission:
(1) An application for establishment, which shall specify the name, domicile, business premises and registered capital of the futures brokerage company to be established;
(2) Feasibility report;
(3) Other materials as prescribed by the China Securities Regulatory Commission. Article 11 After the application for the establishment of a futures brokerage company has passed the preliminary examination, the applicant shall prepare for the establishment of a futures brokerage company in accordance with the Company Law and these Measures. In accordance with the provisions of Article 8 of these Measures, the following materials shall be submitted to the China Securities Regulatory Commission:
(1) Draft articles of association;
(2) List of shareholders, mode and amount of capital contribution;
(3) Shareholders' financial and accounting reports audited by qualified accounting firms in the last two years;
(4) A capital verification certificate issued by a statutory capital verification institution;
(5) A risk statement of futures trading, a sample futures brokerage contract, brokerage business rules, financial accounting system, risk management system and internal control system;
(6) A roster of directors and supervisors to be appointed, a roster of senior managers and their qualification certificates for senior managers;
(seven) the list of other employees to be employed and their qualification certificates;
(eight) proof of the ownership or right to use the business premises;
(9) Description of facilities related to futures brokerage business.
(10) Pre-approval of the name of the State Administration for Industry and Commerce;
(eleven) other materials as prescribed by the China Securities Regulatory Commission. Article 12 A futures brokerage company may set up a business department according to its business needs. The establishment of the business department must be approved by the China Securities Regulatory Commission.
The business department of a futures brokerage company does not have the qualification of a legal person, and conducts business according to law within the scope authorized by the company, and its civil liability shall be borne by the futures brokerage company.
The name of the business department of a futures brokerage company must be marked with the words "XX business department of a futures brokerage company". Article 13 To apply for the establishment of a business department, a futures brokerage company shall meet the following conditions:
(1) The applicant has no record of major violations of the law in the previous year;
(2) The business department approved by the applicant is in good operating condition;
(3) Having qualified managers and more than 3 other employees;
(4) The futures brokerage company has a complete business department management system;
(5) The business department has business premises and facilities that meet the requirements;
(6) Other conditions stipulated by the China Securities Regulatory Commission.