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), the person in charge of finance, the person in charge of business departments and the personnel who actually perform the above duties. Article 3 The directors, supervisors and senior managers of a futures company shall obtain the post-holding qualifications approved by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) before taking office.
A futures company may not appoint any person who has not obtained the post qualification as a director, supervisor or senior manager. 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 To apply for the qualifications of directors, supervisors and senior managers of a futures company, one should have the qualities of honesty and trustworthiness, good professional ethics and management ability necessary for performing duties. Article 7 To apply for the post qualifications of directors and supervisors other than the chairman of the board, the chairman of the board of supervisors and independent directors, the following conditions shall be met:
(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 To apply for the post qualification of an independent director, the following conditions shall be met:
(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;
(3) Having passed the qualification test recognized by the China Securities Regulatory Commission.
(4) Having the time and energy necessary to perform their duties. Article 9 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) Persons who provide financial, legal and consulting services for futures companies and their related parties and their close relatives;
(4) Persons under any of the circumstances listed in the first three items in recent 1 year;
(5) Persons who hold positions other than independent directors in other futures companies;
(six) other personnel identified by the China Securities Regulatory Commission. Article 10 To apply for the post qualification of chairman of the board of directors and chairman of the board of supervisors, the following conditions shall be met:
(a) engaged in futures business for more than 3 years, or other financial business for more than 4 years, or legal and accounting business for more than 5 years;
(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;
(3) Having passed the qualification test recognized by the China Securities Regulatory Commission. Article 11 To apply for the post qualification of manager, the following conditions shall be met:
(1) Having the qualification of futures practitioners;
(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;
(3) Having passed the qualification test recognized by the China Securities Regulatory Commission. Article 12 To apply for the post qualification of general manager and deputy general manager, in addition to the conditions specified in Article 11, the following conditions shall be met:
(a) engaged in futures business for more than 3 years, or other financial business for more than 4 years, or legal and accounting business for more than 5 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 To apply for the post qualification of chief risk officer, in addition to meeting the requirements stipulated in Article 11, one should also have more than three years of experience in futures industry and have served as the person in charge of trading, settlement, risk management or compliance of a 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. Article 14 To apply for the post qualification of the person in charge of finance and the person in charge of business department, the following conditions shall be met:
(1) Having the qualification of futures practitioners;
(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above.
To apply for the post qualification of financial controller, you should also have the title of accountant or above or the qualification of certified public accountant; To apply for the post qualification of the person in charge of the business department, you should also have more than 3 years of futures business experience or more than 4 years of other financial business experience.