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Measures of China Securities Regulatory Commission for the Administration of the Qualifications of Senior Managers of Futures Brokerage Companies
Chapter I General Provisions Article 1 These Measures are formulated in accordance with the Provisional Regulations on the Administration of Futures Trading in order to strengthen the management of the post qualifications of senior managers of futures brokerage companies. Article 2 These Measures shall apply to the management of the post qualifications of senior managers of futures brokerage companies established in People's Republic of China (PRC) according to law. Article 3 The senior managers of futures brokerage companies mentioned in these Measures refer to the chairman, vice chairman, general manager and deputy general manager of futures brokerage companies. Article 4 China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") shall be responsible for the examination and management of the post qualifications of senior managers of futures brokerage companies in accordance with these Measures, including the examination and confirmation of post qualifications, the examination during the term of office, the suspension and revocation of post qualifications and other related matters.

China Securities Regulatory Commission (hereinafter referred to as the "China Securities Regulatory Commission" agency) agencies, offices and Commissioner's offices shall, in accordance with these Measures and the authorization of the China Securities Regulatory Commission, review and manage the qualifications of senior managers of futures brokerage companies. Chapter II Qualifications Article 5 A senior manager of a futures brokerage company shall meet the following requirements:

(1) Having China nationality;

(2) Having obtained the qualification certificate of futures practitioners and engaged in finance, securities or futures for more than 3 years;

(3) Being in good health;

(4) Having good professional ethics;

(5) Having the knowledge of economy, finance and futures and the ability of organization and coordination necessary to perform the duties of senior managers, and being familiar with relevant laws and regulations such as finance and futures;

(6) Other conditions stipulated by the China Securities Regulatory Commission. Article 6 Senior managers of a futures brokerage company shall not hold part-time jobs in party and government organs. The general manager and deputy general manager shall not hold part-time jobs in other profit-making institutions. Article 7 The following persons shall not serve as senior managers of a futures brokerage company:

(1) Under any of the circumstances listed in Article 10 of the Provisional Regulations on the Administration of Futures Trading.

(2) Being banned from the securities and futures market by the China Securities Regulatory Commission.

(3) It has not been more than 5 years since the national civil servant was dismissed;

(4) Employees, directors and supervisors of futures exchanges, futures brokerage companies or other financial institutions who have been dismissed due to illegal or disciplinary acts have not been more than five years since the date of dismissal;

(5) The person directly responsible and the person directly responsible for a major case caused by dereliction of duty were given a warning or disciplinary warning, and the execution period did not exceed 5 years. Article 8 During the term of office, the senior management of a futures brokerage company shall perform the following duties in addition to the normal operation duties of the company:

(1) Abide by relevant laws, regulations, rules and policies;

(2) Abide by the relevant rules of the futures exchange and the articles of association of the company;

(3) Establish, improve and strictly implement the brokerage business rules, financial accounting system, risk management and internal control system;

(4) To report the operation of the company to the shareholders' meeting or the board of directors;

(five) to cooperate with and obey the supervision of the China Securities Regulatory Commission and its dispatched offices. Chapter III Daily Management Article 9 The senior managers of futures brokerage companies must obtain the qualification certificate of senior managers of futures brokerage companies issued by China Securities Regulatory Commission.

Without obtaining the "Qualification Certificate for Senior Managers of Futures Brokerage Companies" issued by the China Securities Regulatory Commission, the futures brokerage company shall not go through the formalities for its appointment. Article 10 The China Securities Regulatory Commission shall examine the abilities, conduct and qualifications of the proposed senior managers recommended by futures brokerage companies through consulting materials, investigation and regular evaluation. Article 11 A futures brokerage company shall submit the following materials to the agency of China Securities Regulatory Commission when recommending the senior management personnel to be employed:

(a) the "application form for the qualifications of senior managers of futures brokerage companies";

(two) a copy of the ID card and stamped with the official seal of the recommending unit;

(three) a copy of the academic certificate and stamped with the official seal of the recommending unit;

(4) A copy of the qualification certificate of futures practitioners issued by the board of directors of the recommending unit or the competent department at a higher level and a certificate of experience.

(five) the assessment materials and recommendation opinions of the board of directors or the superior competent department of the unit where the person to be recommended belongs;

(six) other materials required by the China Securities Regulatory Commission. Article 12 The dispatched office of the China Securities Regulatory Commission shall conduct a preliminary examination of the materials listed in the preceding article, and report the preliminary examination opinions and the materials submitted by the futures brokerage company to the China Securities Regulatory Commission.

China Securities Regulatory Commission shall notify the applicant in writing whether to approve his application within 1 month from the date of receiving the materials that meet the requirements. Approved, the China Securities Regulatory Commission issued a certificate of qualification for senior managers of futures brokerage companies; If it is not approved, it shall give a written notice to explain the reasons. Article 13 When a futures brokerage company hires a senior manager who has obtained the qualification certificate of a senior manager of the futures brokerage company, it shall report to the China Securities Regulatory Commission for the record. Article 14 The China Securities Regulatory Commission and its dispatched offices must make a written record of the investigation and conversation of the senior managers of futures brokerage companies, which shall be signed by the inspectors and the inspected personnel.