【正文】
紀公司除按照中國證監(jiān)會的規(guī)定為客戶向期貨交易所交存保證金、進行交易結(jié)算外,嚴禁挪作他用。 The margins collected by a futures exchange from its members belong to the members。期貨交易所向會員、期貨經(jīng)紀公司向客戶收取的保證金,不得低于中國證監(jiān)會規(guī)定的標準,并應(yīng)當與自有資金分開,專戶存放?! ?6) other risk management systems prescribed by the CSRC. 第三十六條 ?。ㄎ澹╋L(fēng)險準備金制度; (5) a risk reserve system?! 。ㄈq跌停板制度; (3) a system of price parameters for suspending trades。 期貨交易所應(yīng)當按照國家有關(guān)規(guī)定建立、健全下列風(fēng)險管理制度: Article 35 A fixtures exchange shall establish and improve the following risk management systems in accordance with the relevant provisions of the State. ?。ㄒ唬┍WC金制度; (1) a system of margin accounts。期貨交易所不得公布價格預(yù)測信息?! rticle 33 The futures market quotations provided by a fizturcs brokerage firm to its clients shall be truthful and accurate, and shall not withhold any material information or otherwise use improper means so as to induce its clients into giving trading instmctions. 第三十四條s authorization or trade beyond the scope of authorization received from the client. 第三十三條 Article 32 A futures brokerage firm shall trade in futures for a client pursuant to the client39。 期貨經(jīng)紀公司根據(jù)客戶的交易指令,為其進行期貨交易?! rticle 31 A client may give trading instructions to its fivtures brokerage firm in writing, by telephone or by using any other methods prescribed by the CSRC. 客戶的交易指令應(yīng)當明確、全面。 (5) other amts or individuals not allowed to trade in futures as prescribed by CSRC. 第三十一條 ?。ㄋ模┪茨芴峁╅_戶證明文件的單位; (4) units failing to furnish documents certifying that they have opened an account?! 。ǘ┲袊C監(jiān)會的工作人員; (2) personnel of the CSRC?! futures brokerage firm shall not guarantee profits to its clients or agree on profit?sharing or risk?sharing with its clients, nor shall it accept from panies, enterprises or other economic organizations any authorization given in the name of an individual to trade in fixtures, nor shall it re?authorize its authorized business or accept any re?authorized business. 第三十條 期貨經(jīng)紀公司接受客戶委托為其進行期貨交易,應(yīng)當事先向客戶出示風(fēng)險說明書,經(jīng)客戶簽字確認后,與客戶簽訂書面合同。出市代表只能接受本會員單位的交易指令,不得接受其他單位、個人的交易指令或者為其提供咨詢意見,不得為自己進行期貨交易。期貨經(jīng)紀公司會員只能接受客戶委托從事期貨經(jīng)紀業(yè)務(wù),非期貨經(jīng)紀公司會員只能從事期貨自營業(yè)務(wù)。 On its dissolution, a futures brokerage firm shall cancel its registration with the State Administration for Industry and Commerce. 第四章 期貨交易基本規(guī)則 Chapter IV Basic Rules for Futures Trading 第二十八條 (5) where the CSRC decides to close it. 期貨經(jīng)紀公司因前款第(一)項、第(二)項、第(三)項情形解散的,由中國證監(jiān)會審批?! 。ㄋ模┢飘a(chǎn); (4) where it is bankrupt。 ?。ǘ┕蓶|會決定解散; (2) where a meeting of its shareholders decides on its dissolution?! ?6) in any other circumstances stipulated by the CSRC. 第二十七條 ?。ㄎ澹┳兏蛘呓K止營業(yè)部; (5) where it alters or closes its operating department。 ?。ㄈ┳兏蓶|或者股權(quán)結(jié)構(gòu); (3) where it changes its shareholders or its share?holding structure。 期貨經(jīng)紀公司有下列情形之一的,應(yīng)當經(jīng)中國證監(jiān)會批準,并在國家工商行政管理局辦理變更登記: Article 26 A futures brokerage firm which falls under any of the following circumstances shall obtain the approval of the CSRC and apply for a change in its registration with the State Administration for Industry and Commerce: ?。ㄒ唬┳兏ǘù砣?; (1) where it changes its legal representative。 Article 25 A futures brokerage firm shall not carry out any businesses other than those authorized by its clients in buying and selling quoted futures contracts on the futures exchange, settling accounts, cleaving and providing other related business services. 期貨經(jīng)紀公司不得從事或者變相從事期貨自營業(yè)務(wù)?! rticle 24 A fixtures brokerage firm accepting the authorization of its clients shall conduct futures trading for its clients under its name, and the consequences of the trading shall be assumed by its clients. 第二十五條 The operating department shall develop its business within the scope of authorization by the fixtures brokerage firm and in accordance with the law, and its civil liabilities shall be home by the fixtures brokerage firm. 第二十四條設(shè)立營業(yè)部應(yīng)當符合中國證監(jiān)會規(guī)定的條件,經(jīng)中國證監(jiān)會批準,取得中國證監(jiān)會頒發(fā)的經(jīng)營許可證,并在國家工商行政管理局登記注冊?! ithout approval of the CSRC, any unit or individual may not engage in a futures brokerage business and may not use futures brokerage, futures agent or any other similar words in its or his name. 第二十三條 設(shè)立期貨經(jīng)紀公司,必須經(jīng)中國證監(jiān)會批準,取得中國證監(jiān)會頒發(fā)的期貨經(jīng)紀業(yè)務(wù)許可證,并在國家工商行政管理局登記注冊。 and (五)中國證監(jiān)會規(guī)定的其他條件。 ?。ㄈ┯泄潭ǖ慕?jīng)營場所和合格的交易設(shè)施; (3) it shall possess fixed business premises and qualified trading facilities。 設(shè)立期貨經(jīng)紀公司,應(yīng)當符合公司法的規(guī)定,并應(yīng)當具備下列條件: Article 21 The establishment of a futures brokerage firm shall ply with the provisions of the Company Law and satisfy the following requirements: (一)注冊資本最低限額為人民幣3000萬元; (1) its minimum registered capital shall be 30 million yuan?! ?3) where the CSRC decides to close the futures exchange. 期貨交易所因前款第(一)項、第(二)項情形解散的,由中國證監(jiān)會審批。 ?。ǘT大會決定解散; (2) where a general meeting of its members decides to dissolve the fixtures exchange?! rticle 19 The merger or split of a futures exchange shall be subject to examination and approval by the CSRC. 第二十條 After the deduction of the public welfare fiend in accordance with relevant provisions of the State, the amount of after?tax profits of a futures exchange shall be transferred in fiill to the accumulation fiend and used to make up losses to be incurred in the following years. 第十九條 期貨交易所的所得收益應(yīng)當按照國家有關(guān)規(guī)定管理和使用,不得分配給會員,不得挪作他用。 or ?。ㄋ模┲袊C監(jiān)會規(guī)定的其他情形。 ?。ǘ┥鲜?、中止、取消或者恢復(fù)期貨交易品種; (2) where it mences, suspends, discontinues or resumes a variety of futures trading?! mmediately after such abnormality disappears, the fixtures exchange shall promptly terminate the emergency measures taken. 第十七條 (5) take other emergency measures. 前款所稱異常情況,是指在交易中發(fā)生操縱市場并嚴重扭曲價格形成的行為或者不可抗力的突發(fā)事件以及中國證監(jiān)會規(guī)定的其他情形?! 。ㄋ模簳r停止交易; (4) suspend trading?! 。ǘ┱{(diào)整漲跌停板幅度; (2) adjust the range between die price parameters for suspending trades of futures?! futures exchange is prohibited from directly or indirectly participating in futures trading. 第十六條 期貨交易所不得從事信托投資、股票交易、非自用不動產(chǎn)投資等與其職能無關(guān)的業(yè)務(wù)。 and (六)中國證監(jiān)會規(guī)定的其他職能?! 。ㄋ模┍WC期貨合約的履行; (4) ensure the performance of futures contracts?! 。ǘ┰O(shè)計期貨合約、安排期