期货交易管理暂行条例法律英语22095.docx

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1、Interim Regulations on Administration of Futures Trading（19999年55月25日日国务院第第18次常常务会议通通过，自11999年年9月1日日起施行，11999年年6月2日日中华人民民共和国主主席令第2267号发发布，自11999年年9月1日日起施行）(Addopteed att thee 18tth Exxecuttive Meetting of tthe SStatee Couuncill on May 25, 19999, prromullgateed byy Deccree No. 267 of tthe SStatee Cou

2、uncill of the Peoppless Reppubliic off Chiina oon Juune 22, 19999, and effeectivve ass of Septtembeer 1, 19999 )第一章章 总则Chaapterr I GGenerral PProviisionns第一条条 为了规范范期货交易易行为，加加强对期货货交易的监监督管理，维维护期货市市场秩序，防防范风险，保保护期货交交易各方的的合法权益益和社会公公共利益，制制定本条例例。Artticlee 1 TThesee Reggulattionss aree forrmulaated in oorde

3、rr to reguulatee thee connductt of tradding in ffuturres, enhaance the supeervission and admiinisttratiion oof fuuturees trradinng, mmainttain ordeer inn thee futturess marrket, preeventt andd minnimizze riisks, andd prootectt thee leggitimmate righhts aand iinterrestss of the partties tradding in f

4、fixtuures and the publlic iinterrestss of sociiety.第二条条 从事期期货交易及及其相关活活动的，必必须遵守本本条例。Artticlee 2 TThe cconduuct oof anny trradinng inn futturess andd itss rellatedd acttivitties shalll coomplyy witth thhese Reguulatiions.第三条条 从事期货货交易活动动，应当遵遵循公开、公公平、公正正和诚实信信用的原则则。禁止欺欺诈、内幕幕交易和操操纵期货交交易价格等等违法行为为。Artticlee

5、 3 IIn coonducctingg futturess traadingg acttivitties, thee priincipples of oopennness, faiirnesss, iimparrtiallity, honnestyy andd goood faaith shalll bee obsserveed. IIlleggal bbehavviorss succh ass fraaud, insiider dealling and the maniipulaationn of tradding pricces oof fuuturees arre prrohibbit

6、edd.第四条条 期货交交易必须在在期货交易易所内进行行。禁止不不通过期货货交易所的的场外期货货交易。Artticlee 4 TTradiing iin fiixturres mmust be cconduuctedd on a fuuturees exxchannge. Any dealling in ffuturres ooutsiide oof a fixtturess excchangge iss proohibiited.第五条条 中国证证券监督管管理委员会会（以下简简称中国证证监会）对对期货市场场实行集中中统一的监监督管理。Artticlee 5 TThe CChinaa Secc

7、uritties Reguulatoory CCommiissioon ( hereeinaffter refeerredd to as tthe CSRRC ) shhall exerrcisee uniifiedd andd cenntrallizedd supperviisionn andd admminisstrattion of tthe ffixtuures markket.第二章章 期货交交易所Chaapterr II Futuures Exchhangees第六条条 设立期期货交易所所，由中国国证监会审审批。Artticlee 6 TThe eestabblishhmentt

8、of a fuuturees exxchannge sshalll be subjject to eexamiinatiion aand aapprooval by tthe CCSRC.未经中中国证监会会批准，任任何单位或或者个人不不得设立或或者变相设设立期货交交易所。No unitt or indiividuual mmay eestabblishh or estaablissh inn a ddisguuisedd forrm a futuures exchhangee witthoutt obttainiing tthe aapprooval of tthe CCSRC.第七条条 期货

9、交交易所不以以营利为目目的，按照照其章程的的规定实行行自律管理理。期货交交易所以其其全部财产产承担民事事责任。Artticlee 7 AA futturess excchangge shhall not be eestabblishhed ffor tthe ppurpoose oof prrofitt andd shaall bbe seelf?rregullatedd in accoordannce wwith its artiicless of assoociattion. A ffuturres eexchaange shalll usse alll off itss asssets

10、to bbear its civiil liiabillitiees.第八条条 期货交易易所会员应应当是在中中华人民共共和国境内内登记注册册的企业法法人。取得得期货交易易所会员资资格，应当当经期货交交易所批准准，并交纳纳会员资格格费。Artticlee 8 MMembeers oof a futuures exchhangee shaall bbe ennterpprisee leggal ppersoons rregisstereed inn thee Peooples Reepubllic oof Chhina. Thee acqquisiitionn of the quallificca

11、tioon ass a mmembeer off a ffuturres eexchaange requuiress thee appprovaal off thee futturess excchangge annd thhe paaymennt off a mmembeershiip feee.期货交交易所会员员由期货经经纪公司会会员和非期期货经纪公公司会员组组成。Thee memmbersship of aa futturess excchangge shhall be mmade up oof thhose membbers whicch arre fuuturees brrokerr

12、age firmms annd thhose membbers whicch arre noot fuuturees brrokerrage firmms.第九条条 期货交交易所设理理事会。理理事长、副副理事长由由中国证监监会提名，理理事会选举举产生。Artticlee 9 AA futturess excchangge shhall estaablissh a boarrd off dirrectoors. The chaiirmann andd vicce?chhairmman oof thhe booard of ddirecctorss shaall bbe noominaated b

13、y tthe CCSRC and eleccted by tthe bboardd of direectorrs.期货交交易所设总总经理、副副总经理，由由中国证监监会任免。总总经理为期期货交易所所的法定代代表人。A ffuturres eexchaange shalll haave aa gennerall mannagerr andd a ddeputty geeneraal maanageer whho shhall be aappoiintedd andd remmovedd by the CSRCC. Thhe geeneraal maanageer shhall be tthe ll

14、egall reppreseentattive of tthe ffixtuures exchhangee.第十条条 有证券法法第一百零零一条规定定的情形或或者中国证证监会规定定的其他情情形的，不不得担任期期货交易所所的高级管管理人员、财财务会计人人员。Artticlee 10 Perssons who falll witthin the cateegoriies sspeciifiedd in Artiicle 101 of tthe SSecurritiees Laaw, oor whhose circcumsttancees arre suuch tthat theyy falll wi

15、ithinn thoose sspeciifiedd by the CSRCC, shhall not be eeligiible for the posiitionns inn thee sennior manaagemeent oof a futuures exchhangee or as iits ffinannciall acccountting stafff.第十一一条 期货交易易所的工作作人员应当当忠实履行行职务，不不得以任何何方式为自自己从事期期货交易，不不得泄露内内幕信息或或者利用内内幕信息获获得非法利利益。Artticlee 11 Perssonneel off a ffut

16、urres eexchaange shalll fiitithhfirllly pperfoorm ttheirr dutties, shaall nnot iin anny waay trrade in ffixtuures on ttheirr ownn acccountt andd shaall nnot ddiscllose insiide iinfommaatiion oor usse innsidee infformaationn to obtaain iilleggal bbeneffits.第十二二条 期货交交易所的工工作人员履履行职务，遇遇有与本人人或者其亲亲属有利害害关系的

17、情情形时，应应当回避。Artticlee 12 In tthe pperfoormannce oof thheir dutiies, perssonneel off a ffuturres eexchaange shalll reecusee theemsellves whenneverr enccountterinng ciircummstannces of mmaterrial releevancce too theemsellves or ttheirr rellativves.第十三三条 期货交交易所的工工作人员在在任职期间间或者离开开期货交易易所未满一一年的，不不得在该期期货交易所所

18、的会员单单位任职。Artticlee 13 Perssonneel off a ffuturres eexchaange shalll noot, ddurinng thheir termm in offiice oor wiithinn onee yeaar affter leavving emplloymeent wwith the fuaiires exchhangee, hoold aa:n? postt in any membber uunit of tthat futuures exchhangee.国家公公务员不得得在期货交交易所任职职。Civvil sservaants sha

19、lll noot hoold aany ppost in aa fixxturees exxchannge.第十四四条 期货交交易所履行行下列职能能：Artticlee 14 A fiixturres eexchaange shalll caarry out the folllowinng fuunctiions:（一）提提供期货交交易的场所所、设施和和服务；(1) proovidee preemisees, ffacillitiees annd seervicces nneedeed foor trradinng inn futturess;（二）设设计期货合合约、安排排期货合约约上市；(2

20、) worrk ouut thhe foorm oof fuuturees coontraacts and intrroducce fuuturees coontraacts to tthe mmarkeet;（三）组组织、监督督期货交易易、结算和和交割；(3) orgganizze annd suupervvise futuures tradding, setttlemment of aaccouunts and cleaaringg;（四）保保证期货合合约的履行行；(4) enssure the perfformaance of ffuturres ccontrractss;（五）制制定和

21、执行行本条例第第三十五条条规定的风风险管理制制度；(5) esttabliish aand iimpleementt thee rissk maanageementt sysstemss reqquireed unnder Artiicle 35 oof thhese Reguulatiions; andd（六）中中国证监会会规定的其其他职能。(6) carrry oout ssuch otheer fuunctiions as mmay bbe prrescrribedd by the CSRCC.第十五五条 期货交交易所不得得从事信托托投资、股股票交易、非非自用不动动产投资等等与其职能能无

22、关的业业务。Artticlee 15 A fuuturees exxchannge sshalll nott enggage in ttrustt invvestmment, seccuritties tradding, invvestmment in rreal proppertyy nott forr itss ownn usee or otheer buusineess uunrellatedd to its fimcctionns.禁止期期货交易所所直接或者者间接参与与期货交易易。A ffuturres eexchaange is pprohiibiteed frrom ddirecc

23、tly or iindirrectlly paarticcipatting in ffuturres ttradiing.第十六六条 当期货市市场出现异异常情况时时，期货交交易所可以以按照其章章程规定的的权限和程程序，决定定采取下列列紧急措施施，并应当当立即报告告中国证监监会：Arllide 16 IIn thhe evvent of aan abbnormmalitty arrisinng inn thee futturess marrket, a ffuturres eexchaange may deciide tto addopt the folllowinng emmergeency

24、meassuress witthin the limiits oof itts poowerss andd acccordiing tto thhe prrocedduress as stippulatted iin itts arrticlles oof asssociiatioon, aand sshalll immmediaatelyy repport therreon to tthe CCSRC:（一）提提高保证金金；(1) inccreasse maarginn acccountts;（二）调调整涨跌停停板幅度；(2) adjjust the rangge beetweeen dii

25、e prrice paraameteers ffor ssuspeendinng trradess of futuures;（三）限限制会员或或者客户的的最大持仓仓量；(3) resstricct thhe maaximuum hoold pposittion voluume oof meemberrs orr cliientss;（四）暂暂时停止交交易；(4) susspendd traadingg; annd（五）采采取其他紧紧急措施。(5) takke otther emerrgenccy meeasurres.前款所所称异常情情况，是指指在交易中中发生操纵纵市场并严严重扭曲价价格形成的

26、的行为或者者不可抗力力的突发事事件以及中中国证监会会规定的其其他情形。Thee abnnormaalityy as refeerredd to in tthe ppreceedingg parragraaph mmeanss anyy behhavioor whhich is ffoundd in the tradding to mmanippulatte thhe maarkett andd serrioussly ddistoort tthe ppricee quootatiions, or any suddden fforcee majjeuree eveent, or aany oot

27、herr cirrcumsstancces ppresccribeed byy thee CSRRC.异常情情况消失后后，期货交交易所应当当及时取消消紧急措施施。Immmediaatelyy aftter ssuch abnoormallity disaappeaars, the fixtturess excchangge shhall prommptlyy terrminaate tthe eemerggencyy meaasurees taaken.第十七七条 期货交交易所有下下列情形之之一的，应应当经中国国证监会批批准：Artticlee 17 In aany oof thhe fool

28、lowwing circcumsttancees, aa futturess excchangge shhall requuire the apprrovall of the CSRCC:（一）制制定或者修修改章程、业业务规则；(1) wheere iit addoptss or amennds iits aarticcles of aassocciatiion oor itts buusineess rruless;（二）上上市、中止止、取消或或者恢复期期货交易品品种；(2) wheere iit coommennces, susspendds, ddiscoontinnues or rre

29、summes aa varrietyy of futuures tradding;（三）上上市、修改改或者终止止期货合约约；(3) wheere iit inntrodducess, ammendss or termminattes aa fixxturees coontraact; or（四）中中国证监会会规定的其其他情形。(4) anyy othher ccircuumstaancess preescriibed by tthe CCSRC.第十八八条 期货交交易所的所所得收益应应当按照国国家有关规规定管理和和使用，不不得分配给给会员，不不得挪作他他用。Artticlee 18 Incoo

30、me ggaineed byy a ffuturres eexchaange shalll bee mannagedd andd useed inn acccordaance withh rellevannt prrovissionss of the Statte annd shhall not be ddistrributted tto itts meemberrs orr divverteed too anyy othher ppurpooses.期货交交易所的税税后所得按按照国家有有关规定提提取公益金金后，应当当全部转作作公积金，用用于弥补以以后年度发发生的亏损损。Aftter tthe

31、 ddeducctionn of the publlic wwelfaare ffiendd in accoordannce wwith releevantt proovisiions of tthe SStatee, thhe ammountt of afteer?taax prrofitts off a ffuturres eexchaange shalll bee traansfeerredd in fiilll too thee acccumullatioon fiiend and usedd to makee up lossses tto bee inccurreed inn the

32、e folllowiing yyearss.第十九九条 期货交交易所的合合并、分立立，由中国国证监会审审批。Artticlee 19 The mergger oor spplit of aa futturess excchangge shhall be ssubjeect tto exxaminnatioon annd appprovval bby thhe CSSRC.第二十十条 期货交交易所因下下列情形之之一解散：Artticlee 20 In aany oof thhe foollowwing circcumsttancees, aa fixxturees exxchannge ssha

33、lll be disssolveed:（一）章章程规定的的营业期限限届满，会会员大会决决定不再延延续；(1) wheere tthe ooperaatingg perriod stippulatted iin itts arrticlles oof asssociiatioon exxpirees annd a geneeral meetting of iits mmembeers ddeciddes nnot tto exxtendd it;（二）会会员大会决决定解散；(2) wheere aa gennerall meeetingg of its membbers deciides to

34、ddissoolve the fixtturess excchangge; oor（三）中中国证监会会决定关闭闭。(3) wheere tthe CCSRC deciides to cclosee thee futturess excchangge.期货交交易所因前前款第（一一）项、第第（二）项项情形解散散的，由中中国证监会会审批。Thee disssoluutionn of a fuuturees exxchannge uunderr thee cirrcumsstancces sset oout iin suubparragraaphs (1) or (2) oof thhe prrece

35、dding paraagrapph shhall be ssubjeect tto exxaminnatioon annd appprovval bby thhe CSSRC.第三章章 期货经经纪公司Chaapterr IIII Futturess Brookeraage FFirmss第二十十一条 设立期期货经纪公公司，应当当符合公司司法的规定定，并应当当具备下列列条件：Artticlee 21 The estaablisshmennt off a ffuturres bbrokeeragee firrm shhall compply wwith the provvisioons oof t

36、hhe Coompanny Laaw annd saatisffy thhe foollowwing requuiremmentss:（一）注注册资本最最低限额为为人民币33000万万元；(1) itss minnimumm reggisteered capiital shalll bee 30 milllion yuann;（二）主主要管理人人员和业务务人员必须须具有期货货从业资格格；(2) itss priincippal mmanaggeriaal annd prrofesssionnal sstafff musst hoold tthe qqualiificaationns reequ

37、irred tto coonducct fuuturees trradinng;（三）有有固定的经经营场所和和合格的交交易设施；(3) it shalll poossesss fiixed busiinesss preemisees annd quualiffied tradding faciilitiies;（四）有有健全的管管理制度；(4) it shalll haave aa souund mmanaggemennt syystemm; annd（五）中中国证监会会规定的其其他条件。(5) it shalll coomplyy witth otther requuiremmentss p

38、reescriibed by tthe CCSRC第二十十二条 设立期货货经纪公司司，必须经经中国证监监会批准，取取得中国证证监会颁发发的期货经经纪业务许许可证，并并在国家工工商行政管管理局登记记注册。Artticlee 22 The estaablisshmennt off a ffuturres bbrokeeragee firrm shhall be ssubjeect tto appprovval bby thhe CSSRC, and it sshalll obttain a liicencce isssuedd by the CSRCC to condduct futuures b

39、rokkeragge buusineess aand tthen regiisterr witth thhe Sttate Admiinisttratiion ffor IIndusstry and Commmercee.未经中中国证监会会批准，任任何单位或或者个人不不得从事期期货经纪业业务，不得得在其名称称中使用“期货经纪纪”、“期货代理理”或者其他他类似字样样。Witthoutt appprovaal off thee CSRRC, aany uunit or iindivviduaal maay noot enngagee in a fuuturees brrokerrage busii

40、nesss andd mayy nott usee fuuturees brrokerrage, ffuturres aagentt orr anyy othher ssimillar wwordss in its or hhis nname.第二十十三条 期货经纪纪公司根据据业务需要要可以设立立营业部，作作为分支机机构。设立立营业部应应当符合中中国证监会会规定的条条件，经中中国证监会会批准，取取得中国证证监会颁发发的经营许许可证，并并在国家工工商行政管管理局登记记注册。Artticlee 23 A fuuturees brrokerrage firmm mayy esttabliish aa

41、n opperatting depaartmeent aas a brannch oofficce whhere requuiredd forr itss bussinesss. TThe eestabblishhmentt of an ooperaatingg deppartmment shalll saatisffy thhe reequirremennts sstipuulateed byy thee CSRRC annd bee subbjectt to the apprrovall of the CSRCC, annd itt shaall oobtaiin ann opeerati

42、ing llicennce iissueed byy thee CSRRC annd reegistter wwith the Statte Addminiistraationn forr Inddustrry annd Coommerrce.营业部部在期货经经纪公司授授权范围内内依法开展展业务，其其民事责任任由期货经经纪公司承承担。Thee opeeratiing ddeparrtmennt shhall deveelop its busiinesss witthin the scoppe off autthoriizatiion bby thhe fiixturres bbrokeerag

43、ee firrm annd inn acccordaance withh thee laww, annd itts ciivil liabbilitties shalll bee homme byy thee fixxturees brrokerrage firmm.第二十十四条 期货经经纪公司接接受客户委委托，以自自己的名义义为客户进进行期货交交易，交易易结果由客客户承担。Artticlee 24 A fiixturres bbrokeeragee firrm accceptting the authhorizzatioon off itss cliientss shaall cconduu

44、ct ffuturres ttradiing ffor iits ccliennts uunderr itss namme, aand tthe cconseequennces of tthe ttradiing sshalll be assuumed by iits ccliennts.第二十十五条 期货经纪纪公司除接接受客户委委托，从事事期货交易易所上市期期货合约的的买卖、结结算、交割割及相关服服务业务外外，不得从从事其他业业务。Artticlee 25 A fuuturees brrokerrage firmm shaall nnot ccarryy outt anyy bussines

45、sses otheer thhan tthosee autthoriized by iits ccliennts iin buuyingg andd selllingg quooted futuures conttractts onn thee futturess excchangge, ssettlling accoountss, clleaviing aand pproviidingg othher rrelatted bbusinness servvicess.期货经经纪公司不不得从事或或者变相从从事期货自自营业务。A ffuturres bbrokeeragee firrm maay

46、noot enngagee in or iin a disgguiseed foorm eengagge inn fixxturees trradinng onn itss ownn acccountt.第二十十六条 期货经经纪公司有有下列情形形之一的，应应当经中国国证监会批批准，并在在国家工商商行政管理理局办理变变更登记：Artticlee 26 A fuuturees brrokerrage firmm whiich ffallss undder aany oof thhe foollowwing circcumsttancees shhall obtaain tthe aapprooval of tthe CCSRC and applly foor a channge iin itts reegisttratiion wwith the Statte Addminiistraationn forr Inddustrry annd Coommerrce:（一）变变更法定代代表人；(1) wheere iit chhangees itts leegal reprresen