【正文】
n or use any other method to manipulate the trading prices of futures. 第四十七條 任何單位或者個(gè)人不得使用信貸資金、財(cái)政資金進(jìn)行期貨交易?! rticle 47 No unit or individual may use credit funds or financial funds to trade in futures. 金融機(jī)構(gòu)不得為期貨交易融資或者提供擔(dān)保?! o financial institutions may finance futures trading or offer its guarantee. 第四十八條 國(guó)有企業(yè)、國(guó)有資產(chǎn)占控股地位或者主導(dǎo)地位的企業(yè)進(jìn)行期貨交易,限于從事套期保值業(yè)務(wù),并應(yīng)當(dāng)遵守下列規(guī)定: Article 48 Stateowned enterprises and enterprises in which Stateowned assets have a controlling or dominant position shall, when trading in futures, confine themselves to the hedging business and shall abide by the following provisions: ?。ㄒ唬┻M(jìn)行期貨交易的品種限于其生產(chǎn)經(jīng)營(yíng)的產(chǎn)品或者生產(chǎn)所需的原材料; (1) the varieties in their futures trading shall be limited to the products they manufacture or transact in or to the raw materials they need in production?! 。ǘ┢谪浗灰卓偭繎?yīng)當(dāng)與其同期現(xiàn)貨交易總量相適應(yīng); (2) the total volume of their trading in futures proportionate to the total volume of their spot trade in the same period。 and (三)中國(guó)證監(jiān)會(huì)的其他規(guī)定?! ?3) other provisions as prescribed by the CSRC. 前款企業(yè)從事套期保值業(yè)務(wù)的,應(yīng)當(dāng)向期貨交易所或者期貨經(jīng)紀(jì)公司出具其法定代表人簽署的文件,并經(jīng)期貨交易所或者期貨經(jīng)紀(jì)公司依照前款規(guī)定審核同意?! he enterprises engaging in the hedging business as mentioned in the preceding paragraph shall submit to a futures exchange or a futures brokerage firm a document signed by its legal representative, which shall be subject to examination and approval by the futures exchange or futures brokerage firm in accordance with the provisions under the preceding paragraph. 第四十九條 未經(jīng)批準(zhǔn),任何單位或者個(gè)人不得直接或者間接從事境外期貨交易。確需利用境外期貨市場(chǎng)進(jìn)行套期保值的,由中國(guó)證監(jiān)會(huì)會(huì)同國(guó)務(wù)院有關(guān)部門審核,報(bào)國(guó)務(wù)院批準(zhǔn)后,頒發(fā)境外期貨業(yè)務(wù)許可證?! rticle 49 Without approval, no unit or individual may. Directly or indirectly, conduct overseas trading in futures. Where there is a genuine need to conduct hedging in overseas futures markets, the case shall be examined by the CSRC jointly with relevant departments of the State Council, and shall be submitted to the State Council for approval and then a licence for overseas futures trading shall be issued. 禁止期貨經(jīng)紀(jì)公司從事境外期貨交易?! utures brokerage firms are prohibited from conducing any overseas trading in futures. 第五章 監(jiān)督管理 Chapter V Supervision and adminiatration 第五十條 期貨交易所和期貨經(jīng)紀(jì)公司應(yīng)當(dāng)定期向中國(guó)證監(jiān)會(huì)報(bào)送財(cái)務(wù)會(huì)計(jì)報(bào)表、有關(guān)資料和審計(jì)報(bào)告?! rticle 50 Futures exchandes and futures brokerage firms shall regularly submit their financial and accounting statements, related documents and audit reports to the CSRC. 第五十一條 中國(guó)證監(jiān)會(huì)可以隨時(shí)檢查期貨交易所、期貨經(jīng)紀(jì)公司的業(yè)務(wù)、財(cái)務(wù)狀況,有權(quán)要求期貨交易所、期貨經(jīng)紀(jì)公司提供有關(guān)資料,有權(quán)要求期貨交易所提供會(huì)員、期貨經(jīng)紀(jì)公司提供客戶的有關(guān)情況和資料;必要時(shí),可以檢查會(huì)員和客戶與期貨交易有關(guān)的業(yè)務(wù)、財(cái)務(wù)狀況。中國(guó)證監(jiān)會(huì)在檢查中,發(fā)現(xiàn)有違法嫌疑的,可以調(diào)取、封存有關(guān)文件、資料,并應(yīng)當(dāng)在規(guī)定的期限內(nèi)及時(shí)作出處理決定。中國(guó)證監(jiān)會(huì)的工作人員在檢查時(shí),應(yīng)當(dāng)出示合法證件。 Article 51 The CSRC may, at any time, inspect the business and financial atatus of a futures exchange or a futures brokerage firm, has thr right to require a futures exchange or a futures brikerage firm to provide relevant information or documents in relation to its member(s) or to its client(s)。 and, whenever necessary, it may inspect the business and finanacial status related to futures trading of a member or of a client. Where the CSRC discovers during its inspection any suspicion of illegal conduct, it may pick up or seal up relevant documents and data, and shall, within a prescribed time limit, make a timely decision on the treatment of the case. When carrying out an inspection, the personnel of the CSRC shall produce their lawful credentials. 第五十二條 中國(guó)證監(jiān)會(huì)對(duì)有期貨違法嫌疑的單位和個(gè)人有權(quán)進(jìn)行詢問、調(diào)查;對(duì)期貨交易所、期貨經(jīng)紀(jì)公司、會(huì)員和客戶在商業(yè)銀行或者其他金融機(jī)構(gòu)開立的單位存款帳戶可以進(jìn)行查詢;對(duì)有證據(jù)證明有轉(zhuǎn)移或者隱匿違法資金跡象的,可以申請(qǐng)司法機(jī)關(guān)予以凍結(jié)。有關(guān)單位和個(gè)人應(yīng)當(dāng)給予支持、配合。 Article 52 The CSRC has the right to investigate and make inquiries of any unit or individual suspected of illegal conduct in futures trading, may take inquiries in relation to the institutional deposit account opened by a futures exchange, futures brokerage firm, member or client at mercial banks or other financial insyiyutions, and, where there is evidence to support indications that a transfer or concealment of illegal funds has taken place, may apply to the judicial organ to freezen the funds. The elevant units or individuals shall provide support and cooperation therefor. 第五十三條 當(dāng)期貨市場(chǎng)出現(xiàn)異常情況時(shí),中國(guó)證監(jiān)會(huì)可以采取必要的風(fēng)險(xiǎn)處置措施?! rticle 53 The CSRC may, in the event of any abnormality in the futures matket, take necessary measures for the disposition of the risk. 第五十四條 中國(guó)證監(jiān)會(huì)對(duì)期貨交易所和期貨經(jīng)紀(jì)公司的高級(jí)管理人員和其他期貨從業(yè)人員實(shí)行資格認(rèn)定制度?! rticle 54 The CSRC shall implement a system of qualification determination for the senior managing personnel of futures exchanges and futures brikerage firms and other personnel engaged in the futures business. 第五十五條 期貨交易所應(yīng)當(dāng)依照本條例和中國(guó)證監(jiān)會(huì)的規(guī)定,建立、健全各項(xiàng)規(guī)章制度,加強(qiáng)對(duì)期貨交易所交易活動(dòng)的風(fēng)險(xiǎn)控制和對(duì)會(huì)員以及期貨交易所工作人員的監(jiān)督管理。期貨經(jīng)紀(jì)公司應(yīng)當(dāng)建立、健全內(nèi)部業(yè)務(wù)管理規(guī)則,加強(qiáng)對(duì)客戶資信情況的審查,并應(yīng)當(dāng)按照期貨交易所的規(guī)定,向期貨交易所報(bào)告大戶名單、交易情況。 Article 55 Futures exchanges shall, in accordance with these Regulations and stipulations of the CSRC, adopt and perfect various rules and regulations to enhance risk control over the dealings on futures exchanges and supervision and control over members and personnel of futures brokerage firms shall adopt and perfect internal business management rules to enhance the examination of the creditworthiness of their clients and, in pliance with the stipulations of the futures exchange, shall report the names and trading status of their major pit traders to the futures exchange. 第五十六條 期貨交易所總經(jīng)理離任時(shí),期貨交易所應(yīng)當(dāng)聘請(qǐng)具有從事相關(guān)業(yè)務(wù)審計(jì)資格的中介機(jī)構(gòu)對(duì)其進(jìn)行離任審計(jì)。中國(guó)證監(jiān)會(huì)認(rèn)為必要時(shí),可以指定中介機(jī)構(gòu)進(jìn)行離任審計(jì)?! rticle 56 When the general manager of a futures exchange is to leave office, the futures exchange shall engage an intermediary agency qualified for an audit of related business, to conduct an exit audit. When the CSRC deems it necessary, it may designate an intermediary agency to conduct the exit audit. 第六章 罰則 Chapter VI Penalty Provisions 第五十七條 期貨交易所有下列行為之一的,責(zé)令改正,給予警告,沒收違法所得: Article 57 Any futures exchange which mits any of the following acts shall be ordered to make amends, given a warning and have its illegal gains confiscated: ?。ㄒ唬┻`反規(guī)定接納會(huì)員的; (1) admit a member in violation of stipulations?! 。ǘ┻`反規(guī)定收取交易手續(xù)費(fèi)的;