Section 1 Requirements for Available Funds
Article 4 When applying to the Exchange for opening trading codes for investors, members of a futures company shall confirm that the balance of available funds in the margin account at the end of the previous trading day is not less than 500,000 yuan.
Article 5 The balance of available funds in an investor's margin account shall be calculated according to the margin standard charged by members of a futures company.
Section 2 Requirements for Knowledge Testing
Article 6 A member of a futures company shall, from the perspective of protecting the legitimate rights and interests of investors, test whether investors have the necessary knowledge level to participate in stock index futures trading.
Article 7 The designated subscribers, confirmers of settlement statements, fund distributors and natural person investors of general legal person investors shall participate in the test and shall not be replaced by others.
Article 8 Members of a futures company shall test investors according to the examination papers uniformly compiled by the Exchange. Examination papers and answers are uniformly distributed to members of futures companies through the exchange system.
If the exchange updates the examination paper, the members of the futures company shall use the updated examination paper to test the investors.
Article 9 A member customer developer of a futures company shall not concurrently serve as an account opening knowledge tester.
Article 10 After the examination, the tester of account opening knowledge will grade the examination paper. The testers and investors of account opening knowledge should sign the test paper.
Article 11 A member of a futures company may not apply for opening a stock index futures trading code for an investor whose test score is less than 80.
Article 12 Members of futures companies shall strengthen the training and guidance for investors. Investors and futures company members who fail the test can organize them to participate in the test after continuing training.
Article 13 The time for a member of a futures company to apply to the Exchange for opening a trading code for an investor shall not exceed two months from the date when the investor passes the knowledge test.
Section 3 Requirements for Trading Experience
Article 14 If a member of a futures company is a natural person investor or a general legal person investor who applies to the exchange for opening a trading code, it shall be confirmed that the investor has experience in stock index futures simulation trading or commodity futures trading.
Article 15 Before a member of a futures company applies to the Exchange for opening a trading code, the investor shall have more than 20 simulated trading records of stock index futures at the end of the trading day, totaling 65,438+00 trading days. An installment consignment transaction is regarded as a transaction record.
A member of a futures company shall inquire about the simulated trading data of investors from the exchange, and identify the simulated trading experience of investors according to the inquiry results.
Article 16 An investor's experience in commodity futures trading shall be proved by the settlement statement of commodity futures trading in the last three years stamped with the special seal for settlement of the relevant futures company, and have a trading record of more than 65,438+00.
Section 4 Special Requirements for General Legal Persons and Special Legal Person Investors
Article 17 When an ordinary legal person investor applies for opening an account, its net assets shall not be less than RMB100000 yuan. Investors should provide the balance sheet of the previous year stamped with the official seal or the monthly balance sheet of no more than three months from the date of applying for opening an account as proof of net assets.
Article 18 When applying for opening an account, a general legal person investor shall have the decision-making mechanism and operational procedures for participating in stock index futures trading in line with the actual situation of the enterprise, and provide supporting documents stamped with the official seal. The decision-making mechanism should include decision-making subjects and decision-making procedures, and the operation process should define business links, job responsibilities and corresponding checks and balances.
Article 19 When applying for opening an account, a special legal person investor shall provide the approval documents or certification documents of relevant regulatory agencies and competent departments.
Section 5 Other Requirements
Article 20 A member of a futures company may not apply for opening a stock index futures trading code for those who are forbidden to enter the securities and futures market, investors who are prohibited from trading stock index futures by laws, administrative regulations, rules and business rules of the exchange, and investors with serious bad credit records.
The third chapter is the operational requirements for the comprehensive evaluation of stock index futures investors' suitability.
Section 1 General Provisions
Article 21 A member of a futures company shall, in accordance with these Guidelines, formulate the implementation measures for the comprehensive evaluation of the appropriateness of stock index futures investors of the company, and comprehensively evaluate the basic situation, relevant investment experience, financial status and credit status of natural person investors, so as to assess whether they are suitable to participate in stock index futures trading.
A member of a futures company shall fill in the Comprehensive Evaluation Form for the Suitability of Natural Person Investors in Stock Index Futures (see Annex) according to the comprehensive evaluation, and the senior management or authorized personnel, business department heads, business department heads, evaluation and review personnel, account opening managers, customer development responsibilities and investors of the futures company members shall sign or seal the comprehensive evaluation form.
Article 22 The full score of comprehensive evaluation is 100, in which the upper limits of basic information, relevant investment experience, financial status and credit status are 15, 20, 50 and 15 respectively.
For investors with bad credit records, members of the futures company shall deduct the corresponding points from the total score of investors' comprehensive evaluation according to the situation, and there is no upper limit for the points deducted.
Twenty-third members of a futures company shall require investors to provide proof of comprehensive evaluation indicators, and the score of the project without proof is zero.
Article 24 A member of a futures company may not apply for opening a stock index futures trading code for an investor with a comprehensive evaluation score of less than 70.
Section 2 Basic situation assessment
Article 25 The basic information of an investor includes two aspects: age and education. The upper limit of the evaluation score is 10 and 5 respectively, and the sum of the two scores is the basic information score of investors.
Article 26 A member of a futures company shall verify the identity and age of the investor according to the requirements for opening an account in real-name registration system. Investors should provide valid identification documents and copies.
Twenty-seventh academic qualifications or degree certificates provided by investors should be graduation certificates or degree certificates and their copies.
Section 3 Evaluation of Investment Experience
Article 28 The investment experience of investors includes commodity futures trading experience and securities trading experience. The upper limit of evaluation score is 20 points and 10 points respectively, and the two higher scores are investment experience scores.
Article 29 Members of a futures company shall rate investors' investment experience according to their trading and risk control.
Article 30 An investor shall provide the settlement statements of commodity futures trading in the last three years stamped with the special seal for settlement of relevant futures companies as proof of commodity futures trading experience.
Article 31 An investor shall provide the stock statements of the last three years stamped with the special seal of the relevant securities business department as proof of the securities trading experience.
The fourth quarter financial situation evaluation
Article 32 A member of a futures company shall evaluate the financial status of an investor with its own financial assets or annual income, with a maximum score of 50 points.
Article 33 An investor may provide the annual income certificate or financial assets certificate of the previous month as proof of financial status.
If the investor provides the above two types of documents at the same time, the members of the futures company will take the highest score as the investor's financial status evaluation score after scoring separately, and the scores shall not be accumulated.
Article 34 The financial assets of investors include bank deposits, stocks, funds, futures interest, bonds, gold, wealth management products (plans) and other assets.
Article 35 For other assets that meet the characteristics of financial assets, members of futures companies shall specify their specific types and certification requirements in their implementation measures.
Article 36 The bank deposit certificates provided by investors shall be fixed accounts in local and foreign currencies, current passbooks, certificates of deposit, etc. Stamp the Bank of China.
Article 37 The equity certificates of stocks, funds and futures provided by investors shall be statements stamped with the special seal of the securities business department, fund share certificates stamped with the special seal of the fund company, and transaction settlement sheets stamped with the special seal of the futures company as relevant asset equity certificates.
Article 38 The bond assets certificates provided by investors shall be government bonds, corporate bonds, corporate bonds, convertible bonds and other certificates stamped with special seals of banks or securities companies.
The gold asset certificate provided by investors should be a paper gold certificate stamped with the bank seal.
The asset certification of the wealth management products (plans) provided by investors shall be the relevant agreements signed with commercial banks, securities companies, trust companies and other institutions or the asset certification documents issued by the above institutions.
Article 39 The annual income certificates provided by investors shall be income tax certificates issued by tax authorities, payslips issued by banks or other income certificates.
Article 40 The income tax payment certificate provided by investors to the tax authorities shall be the latest annual personal income tax payment certificate issued by the tax registration department.
Article 41 Payrolls provided by investors shall be documents issued by banks, such as payrolls, bank card receipts for more than three consecutive months, payrolls, current passbook, etc.
Forty-second other income certificates provided by investors should be income certificates with official seals issued by the personnel department or labor department of the current employer.
Section 5 Integrity State Assessment
Article 43 A member of a futures company shall inquire about the relevant information of investors through the investor credit risk information database of China Futures Association.
Forty-fourth investors can provide personal credit reports or other credit documents from the Credit Information Center of the People's Bank of China in the past two months as proof of credit records.
Article 45 A member of a futures company shall know the credit information of investors through various channels, and comprehensively evaluate the credit status of investors in combination with the information in the investor credit risk information database of China Futures Association.
Chapter IV Supplementary Provisions
Article 46 A member of a futures company shall keep the original or photocopy of the certification documents and related materials provided by investors, the investor's examination papers and comprehensive evaluation forms as account opening materials.
Article 47 The Exchange shall be responsible for the interpretation of these Guidelines.
Article 48 These Guidelines shall come into force as of the date of promulgation.