Article 28 of the Provisions on the Administration of Chief Risk Officers of Futures Companies (Trial). The chief risk officer shall submit the quarterly work report to the dispatched office of China Securities Regulatory Commission where the company is domiciled within 10 working days after the end of each quarter; Submit the comprehensive work report of the previous year to the dispatched office of China Securities Regulatory Commission where the company resides before June 20th every year, reporting the compliance operation, risk management and internal control of the futures company, and the performance of the chief risk officer, including the due diligence of the chief risk officer, the rectification opinions put forward and the rectification effect of the futures company.

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Provisions on the Supervision and Administration of Chief Risk Officers of Futures Companies (for Trial Implementation)