期货交易管理暂行条例法律英语.docx

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1、编号：时间：2021年x月x日书山有路勤为径，学海无涯苦作舟页码：第24页 共24页Interim Regulations on Administration of Futures Trading（1999年5月25日国务院第18次常务会议通过，自1999年9月1日起施行，1999年6月2日中华人民共和国主席令第267号发布，自1999年9月1日起施行）(Adopted at the 18th Executive Meeting of the State Council on May 25, 1999, promulgated by Decree No. 267 of the State Co

2、uncil of the Peoples Republic of China on June 2, 1999, and effective as of September 1, 1999 )第一章 总则Chapter I General Provisions第一条 为了规范期货交易行为，加强对期货交易的监督管理，维护期货市场秩序，防范风险，保护期货交易各方的合法权益和社会公共利益，制定本条例。Article 1 These Regulations are formulated in order to regulate the conduct of trading in futures, enh

3、ance the supervision and administration of futures trading, maintain order in the futures market, prevent and minimize risks, and protect the legitimate rights and interests of the parties trading in fixtures and the public interests of society.第二条 从事期货交易及其相关活动的，必须遵守本条例。Article 2 The conduct of any

4、trading in futures and its related activities shall comply with these Regulations.第三条 从事期货交易活动，应当遵循公开、公平、公正和诚实信用的原则。禁止欺诈、内幕交易和操纵期货交易价格等违法行为。Article 3 In conducting futures trading activities, the principles of openness, fairness, impartiality, honesty and good faith shall be observed. Illegal behavi

5、ors such as fraud, insider dealing and the manipulation of trading prices of futures are prohibited.第四条 期货交易必须在期货交易所内进行。禁止不通过期货交易所的场外期货交易。Article 4 Trading in fixtures must be conducted on a futures exchange. Any dealing in futures outside of a fixtures exchange is prohibited.第五条 中国证券监督管理委员会（以下简称中国证

6、监会）对期货市场实行集中统一的监督管理。Article 5 The China Securities Regulatory Commission ( hereinafter referred to as the CSRC ) shall exercise unified and centralized supervision and administration of the fixtures market.第二章 期货交易所Chapter II Futures Exchanges第六条 设立期货交易所，由中国证监会审批。Article 6 The establishment of a fut

7、ures exchange shall be subject to examination and approval by the CSRC.未经中国证监会批准，任何单位或者个人不得设立或者变相设立期货交易所。No unit or individual may establish or establish in a disguised form a futures exchange without obtaining the approval of the CSRC.第七条 期货交易所不以营利为目的，按照其章程的规定实行自律管理。期货交易所以其全部财产承担民事责任。Article 7 A fu

8、tures exchange shall not be established for the purpose of profit and shall be self?regulated in accordance with its articles of association. A futures exchange shall use all of its assets to bear its civil liabilities.第八条 期货交易所会员应当是在中华人民共和国境内登记注册的企业法人。取得期货交易所会员资格，应当经期货交易所批准，并交纳会员资格费。Article 8 Membe

9、rs of a futures exchange shall be enterprise legal persons registered in the Peoples Republic of China. The acquisition of the qualification as a member of a futures exchange requires the approval of the futures exchange and the payment of a membership fee.期货交易所会员由期货经纪公司会员和非期货经纪公司会员组成。The membership

10、 of a futures exchange shall be made up of those members which are futures brokerage firms and those members which are not futures brokerage firms.第九条 期货交易所设理事会。理事长、副理事长由中国证监会提名，理事会选举产生。Article 9 A futures exchange shall establish a board of directors. The chairman and vice?chairman of the board of

11、directors shall be nominated by the CSRC and elected by the board of directors.期货交易所设总经理、副总经理，由中国证监会任免。总经理为期货交易所的法定代表人。A futures exchange shall have a general manager and a deputy general manager who shall be appointed and removed by the CSRC. The general manager shall be the legal representative of

12、 the fixtures exchange.第十条 有证券法第一百零一条规定的情形或者中国证监会规定的其他情形的，不得担任期货交易所的高级管理人员、财务会计人员。Article 10 Persons who fall within the categories specified in Article 101 of the Securities Law, or whose circumstances are such that they fall within those specified by the CSRC, shall not be eligible for the positio

13、ns in the senior management of a futures exchange or as its financial accounting staff.第十一条 期货交易所的工作人员应当忠实履行职务，不得以任何方式为自己从事期货交易，不得泄露内幕信息或者利用内幕信息获得非法利益。Article 11 Personnel of a futures exchange shall fitithfirlly perform their duties, shall not in any way trade in fixtures on their own account and s

14、hall not disclose inside infomaation or use inside information to obtain illegal benefits.第十二条 期货交易所的工作人员履行职务，遇有与本人或者其亲属有利害关系的情形时，应当回避。Article 12 In the performance of their duties, personnel of a futures exchange shall recuse themselves whenever encountering circumstances of material relevance to t

15、hemselves or their relatives.第十三条 期货交易所的工作人员在任职期间或者离开期货交易所未满一年的，不得在该期货交易所的会员单位任职。Article 13 Personnel of a futures exchange shall not, during their term in office or within one year after leaving employment with the fuaires exchange, hold a:n? post in any member unit of that futures exchange.国家公务员不得

16、在期货交易所任职。Civil servants shall not hold any post in a fixtures exchange.第十四条 期货交易所履行下列职能：Article 14 A fixtures exchange shall carry out the following functions:（一）提供期货交易的场所、设施和服务；(1) provide premises, facilities and services needed for trading in futures;（二）设计期货合约、安排期货合约上市；(2) work out the form of fu

17、tures contracts and introduce futures contracts to the market;（三）组织、监督期货交易、结算和交割；(3) organize and supervise futures trading, settlement of accounts and clearing;（四）保证期货合约的履行；(4) ensure the performance of futures contracts;（五）制定和执行本条例第三十五条规定的风险管理制度；(5) establish and implement the risk management syst

18、ems required under Article 35 of these Regulations; and（六）中国证监会规定的其他职能。(6) carry out such other functions as may be prescribed by the CSRC.第十五条 期货交易所不得从事信托投资、股票交易、非自用不动产投资等与其职能无关的业务。Article 15 A futures exchange shall not engage in trust investment, securities trading, investment in real property no

19、t for its own use or other business unrelated to its fimctions.禁止期货交易所直接或者间接参与期货交易。A futures exchange is prohibited from directly or indirectly participating in futures trading.第十六条 当期货市场出现异常情况时，期货交易所可以按照其章程规定的权限和程序，决定采取下列紧急措施，并应当立即报告中国证监会：Arlide 16 In the event of an abnormality arising in the futu

20、res market, a futures exchange may decide to adopt the following emergency measures within the limits of its powers and according to the procedures as stipulated in its articles of association, and shall immediately report thereon to the CSRC:（一）提高保证金；(1) increase margin accounts;（二）调整涨跌停板幅度；(2) adj

21、ust the range between die price parameters for suspending trades of futures;（三）限制会员或者客户的最大持仓量；(3) restrict the maximum hold position volume of members or clients;（四）暂时停止交易；(4) suspend trading; and（五）采取其他紧急措施。(5) take other emergency measures.前款所称异常情况，是指在交易中发生操纵市场并严重扭曲价格形成的行为或者不可抗力的突发事件以及中国证监会规定的其他情形

22、。The abnormality as referred to in the preceding paragraph means any behavior which is found in the trading to manipulate the market and seriously distort the price quotations, or any sudden force majeure event, or any other circumstances prescribed by the CSRC.异常情况消失后，期货交易所应当及时取消紧急措施。Immediately af

23、ter such abnormality disappears, the fixtures exchange shall promptly terminate the emergency measures taken.第十七条 期货交易所有下列情形之一的，应当经中国证监会批准：Article 17 In any of the following circumstances, a futures exchange shall require the approval of the CSRC:（一）制定或者修改章程、业务规则；(1) where it adopts or amends its ar

24、ticles of association or its business rules;（二）上市、中止、取消或者恢复期货交易品种；(2) where it commences, suspends, discontinues or resumes a variety of futures trading;（三）上市、修改或者终止期货合约；(3) where it introduces, amends or terminates a fixtures contract; or（四）中国证监会规定的其他情形。(4) any other circumstances prescribed by the

25、 CSRC.第十八条 期货交易所的所得收益应当按照国家有关规定管理和使用，不得分配给会员，不得挪作他用。Article 18 Income gained by a futures exchange shall be managed and used in accordance with relevant provisions of the State and shall not be distributed to its members or diverted to any other purposes.期货交易所的税后所得按照国家有关规定提取公益金后，应当全部转作公积金，用于弥补以后年度发生

26、的亏损。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.第十九条 期货交易所的合并、分立，由中国

27、证监会审批。Article 19 The merger or split of a futures exchange shall be subject to examination and approval by the CSRC.第二十条 期货交易所因下列情形之一解散：Article 20 In any of the following circumstances, a fixtures exchange shall be dissolved:（一）章程规定的营业期限届满，会员大会决定不再延续；(1) where the operating period stipulated in its

28、articles of association expires and a general meeting of its members decides not to extend it;（二）会员大会决定解散；(2) where a general meeting of its members decides to dissolve the fixtures exchange; or（三）中国证监会决定关闭。(3) where the CSRC decides to close the futures exchange.期货交易所因前款第（一）项、第（二）项情形解散的，由中国证监会审批。Th

29、e dissolution of a futures exchange under the circumstances set out in subparagraphs (1) or (2) of the preceding paragraph shall be subject to examination and approval by the CSRC.第三章 期货经纪公司Chapter III Futures Brokerage Firms第二十一条 设立期货经纪公司，应当符合公司法的规定，并应当具备下列条件：Article 21 The establishment of a futur

30、es brokerage firm shall comply with the provisions of the Company Law and satisfy the following requirements:（一）注册资本最低限额为人民币3000万元；(1) its minimum registered capital shall be 30 million yuan;（二）主要管理人员和业务人员必须具有期货从业资格；(2) its principal managerial and professional staff must hold the qualifications req

31、uired to conduct futures trading;（三）有固定的经营场所和合格的交易设施；(3) it shall possess fixed business premises and qualified trading facilities;（四）有健全的管理制度；(4) it shall have a sound management system; and（五）中国证监会规定的其他条件。(5) it shall comply with other requirements prescribed by the CSRC第二十二条 设立期货经纪公司，必须经中国证监会批准，取

32、得中国证监会颁发的期货经纪业务许可证，并在国家工商行政管理局登记注册。Article 22 The establishment of a futures brokerage firm shall be subject to approval by the CSRC, and it shall obtain a licence issued by the CSRC to conduct futures brokerage business and then register with the State Administration for Industry and Commerce.未经中国证

33、监会批准，任何单位或者个人不得从事期货经纪业务，不得在其名称中使用“期货经纪”、“期货代理”或者其他类似字样。Without 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.第二十三条 期货经纪公司根据业务需要可以设立营业部，作为分支机构。设立营业部应当符合中国证监会规定的

34、条件，经中国证监会批准，取得中国证监会颁发的经营许可证，并在国家工商行政管理局登记注册。Article 23 A futures brokerage firm may establish an operating department as a branch office where required for its business. The establishment of an operating department shall satisfy the requirements stipulated by the CSRC and be subject to the approval

35、of the CSRC, and it shall obtain an operating licence issued by the CSRC and register with the State Administration for Industry and Commerce.营业部在期货经纪公司授权范围内依法开展业务，其民事责任由期货经纪公司承担。The operating department shall develop its business within the scope of authorization by the fixtures brokerage firm and

36、in accordance with the law, and its civil liabilities shall be home by the fixtures brokerage firm.第二十四条 期货经纪公司接受客户委托，以自己的名义为客户进行期货交易，交易结果由客户承担。Article 24 A fixtures brokerage firm accepting the authorization of its clients shall conduct futures trading for its clients under its name, and the conseq

37、uences of the trading shall be assumed by its clients.第二十五条 期货经纪公司除接受客户委托，从事期货交易所上市期货合约的买卖、结算、交割及相关服务业务外，不得从事其他业务。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,

38、settling accounts, cleaving and providing other related business services.期货经纪公司不得从事或者变相从事期货自营业务。A futures brokerage firm may not engage in or in a disguised form engage in fixtures trading on its own account.第二十六条 期货经纪公司有下列情形之一的，应当经中国证监会批准，并在国家工商行政管理局办理变更登记：Article 26 A futures brokerage firm which

39、 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:（一）变更法定代表人；(1) where it changes its legal representative;（二）变更注册资本；(2) where it alters its registered capital;（三）变更

40、股东或者股权结构；(3) where it changes its shareholders or its share?holding structure;（四）变更住所或者营业场所；(4) where it changes its residence or business premises;（五）变更或者终止营业部；(5) where it alters or closes its operating department; or（六）中国证监会规定的其他情形。(6) in any other circumstances stipulated by the CSRC.第二十七条 期货经纪公

41、司因下列情形之一解散的，应当结清受委托的业务，并依法返还客户的保证金：Article 27 A futures brokerage firm which is dissolved in any of the following circumstances shall settle its authorized businesses and return to its clients any margin in accordance with the law:（一）营业期限届满，股东会决定不再延续；(1) where its operating period expires and a meet

42、ing of its shareholders decides not to extend its operation;（二）股东会决定解散；(2) where a meeting of its shareholders decides on its dissolution;（三）因合并或者分立需要解散；(3) where dissolution becomes necessary because of a merger or split;（四）破产；(4) where it is bankrupt; or（五）中国证监会决定关闭。(5) where the CSRC decides to c

43、lose it.期货经纪公司因前款第（一）项、第（二）项、第（三）项情形解散的，由中国证监会审批。Dissolution of a futures brokerage firm due to the circumstances set out in subparagraph (1) , ( 2 ) or ( 3 ) of the preceding paragraph shall be subject to examination and approval by the CSRC.期货经纪公司解散，应当在国家工商行政管理局办理注销登记。On its dissolution, a futures

44、 brokerage firm shall cancel its registration with the State Administration for Industry and Commerce.第四章 期货交易基本规则Chapter IV Basic Rules for Futures Trading第二十八条 在期货交易所内进行期货交易的，必须是期货交易所会员。期货经纪公司会员只能接受客户委托从事期货经纪业务，非期货经纪公司会员只能从事期货自营业务。Article 28 The parties conducting futures trading on a futures exch

45、ange must be members of the futures exchange. Members which are futures brokerage firms may only engage in futures brokerage business as authorized by their clients, while members which are not futures brokerage firms may only trade in futures on their own account.期货交易所会员应当委派出市代表进入交易场所内进行期货交易。出市代表只能

46、接受本会员单位的交易指令，不得接受其他单位、个人的交易指令或者为其提供咨询意见，不得为自己进行期货交易。A futures exchange member shall appoint a listing representative to enter the futures exchange and carry out trading in fixtures. The listing representative may only take trading instructions from his own member unit and shall refiain from taking t

47、rading instructions from any other units or individuals, or providing them advice, or trading in futures on his own account.第二十九条 期货经纪公司接受客户委托为其进行期货交易，应当事先向客户出示风险说明书，经客户签字确认后，与客户签订书面合同。Article 29 A futures brokerage firm accepting authorization from a client to trade in fixtures on his account shall provide the client in advance with a written risk disclosure statement, and after the client has signed his confirmation, sign a written contract with the client.期货经纪公司不得向客户作获利保证或