(1) The futures company implements unified settlement, unified risk management, unified fund allocation, unified financial management and accounting management systems for the business department;
(2) the job responsibilities and personnel management system of the business department;
(3) Information technology system management and emergency system of the business department;
(four) the contract, seal and file management system of the business department;
(5) The marketing management system of the business department;
(six) the return visit system of investors in the business department;
(seven) the business department of investor education, investor complaint handling system;
(8) Anti-money laundering system.
(nine) other management systems stipulated by the China Securities Regulatory Commission. Article 14 Before signing a futures brokerage contract with investors and opening an account for investors, the business department shall fully disclose the risks of futures trading to investors, carefully evaluate the financial status, futures professional knowledge, trading experience, risk preference and risk tolerance of investors, and shall not mislead investors who are unwilling to invest or have no risk tolerance to participate in futures trading.
Article 15 When signing a futures brokerage contract with investors and opening an account for investors, the business department shall strictly follow the requirements for opening an account in the futures market, and do a good job in checking the identity of investors, keeping video materials of investors, and registering investors' futures settlement accounts. Article 16 The business department shall strengthen account opening and contract management, and shall meet the following requirements:
(1) The business department shall designate a special signatory to sign futures brokerage contracts with investors, and the signatory shall be authorized by the futures company;
(2) The business department shall strictly implement the futures brokerage contract management system of the futures company, and establish a ledger of receiving, sending, archiving and borrowing records of futures brokerage contracts;
(3) The business department shall use the futures brokerage contracts that are continuously numbered and uniformly printed by the futures company;
(4) The futures brokerage contract signed by the business department is in triplicate, with the futures company, the business department and the investor holding one copy respectively, and the contents of the futures brokerage contract are complete and standardized;
(5) A futures company shall establish a two-level audit system for investors' account opening, and the relevant responsible persons of the business department shall sign and leave marks on the account opening materials;
(6) The business department shall, within 1 month after the completion of the investor's account opening, submit the text of the investor's account opening information to the headquarters of the futures company, and keep the relevant information text or electronic document for the agency where the business department is located to consult;
(7) The business department shall uniformly apply for trading codes for investors through the headquarters of the futures company, allocate capital accounts, and uniformly maintain the investor account opening information in the trading settlement system of the futures company. Article 17 A futures company shall establish a unified settlement system, and the settlement of futures business shall be conducted by the headquarters of the futures company, and the business department shall not undertake the settlement task.
Article 18 A futures company shall establish a unified risk management system and constantly improve and perfect its risk control system.
If the business department performs part of the risk control duties, the futures company shall directly manage the risk management personnel of the business department.
Article 19 Investors' trading orders in the business department must be subject to prior risk control through the risk control system of the futures company or the risk control personnel of the futures company.
Article 20 Where a futures company has a main trading system and an auxiliary trading system, it shall uniformly manage the risk control of the main trading system and the auxiliary trading system, and uniformly operate and set the risk control parameters of the main trading system and the auxiliary trading system.
Article 21 A futures company shall establish a unified risk management system such as margin increase and forced liquidation, and uniformly implement relevant risk control measures.
Article 22 The business department shall implement the unified handling fee policy of futures companies. Futures companies uniformly set the rate parameters of investors.
Twenty-third futures companies to implement dynamic risk monitoring of investors, daily risk calculation.
Article 24 A futures company shall strengthen the management of the special futures margin account and improve the procedures for the establishment, alteration and cancellation of the futures margin account.
Article 25 The business department shall strictly implement the deposit and withdrawal management system of futures companies.
Article 26 A futures company shall implement unified financial management and accounting for the business department, establish a unified financial management and accounting system, and define the responsibilities and business operation procedures of the futures company and the business department.
Article 27 Where a futures company has more than five business departments, it shall establish a unified network financial software accounting system and strengthen the financial management of the business departments.
Article 28 If the business department undertakes the function of preparing vouchers according to the requirements of the unified financial management and accounting system of futures companies, it shall conduct accounting according to the legal and valid original accounting vouchers; The financial personnel of the business department shall review the legality, authenticity and integrity of the original documents.
Twenty-ninth business departments should properly keep financial seals, financial vouchers and other related financial supplies and materials in the financial room or relatively isolated financial room.