(1) Futures companies.
(2) Non-clearing members of the futures exchange.
(3) Futures investment consulting institutions;
(4) Institutions providing intermediary services for futures companies;
(5) Other institutions as stipulated by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission). Article 4 The futures practitioners mentioned in these Measures refer to:
(1) Managers and professionals of futures companies;
(2) Managers and professionals engaged in futures settlement business among the non-futures company settlement members of the futures exchange;
(3) Managers and professionals engaged in futures investment consulting business in futures investment consulting institutions;
(4) Managers and professionals engaged in futures business in institutions that provide intermediary services for futures companies;
(5) Other personnel as stipulated by the China Securities Regulatory Commission. Article 5 The China Securities Regulatory Commission and its dispatched offices shall supervise and manage futures practitioners according to law.
China Futures Association (hereinafter referred to as the Association) shall carry out self-discipline management of futures practitioners according to law, and be responsible for the identification, management and revocation of their qualifications. Chapter II Acquisition and Cancellation of Vocational Qualifications Article 6 The professional qualification examination shall be organized by the Association. Article 7 A person who takes the qualification examination shall meet the following conditions:
(a) At least 65-438+08 years old;
(2) Having full capacity for civil conduct;
(3) Having a high school education or above;
(4) Other conditions stipulated by the China Securities Regulatory Commission. Article 8 Those who pass the qualification examination shall obtain the qualification certificate issued by the Association. Article 9 A person who has obtained a certificate of qualification examination for futures business shall apply to the Association for qualification in advance through his institution.
Personnel who have not obtained qualifications shall not carry out futures business activities in institutions. Article 10 An institution shall apply for qualification when employing persons who have passed the qualification examination and meet the following conditions to engage in futures business:
(a) moral integrity, with good professional ethics;
(2) It has been employed by this institution;
(3) It has not been subjected to criminal punishment or administrative punishment by China Securities Regulatory Commission and other financial regulatory agencies in the last three years;
(4) It has not been banned from the market by the China Securities Regulatory Commission and other financial regulatory agencies, or the ban period has expired;
(5) It has not been disqualified from securities and futures business due to illegal acts in the last three years;
(6) Other conditions stipulated by the China Securities Regulatory Commission.
Institutions shall not employ persons without professional qualifications to engage in futures business, and shall not resort to deceit in the process of applying for professional qualifications. Article 11 Where a futures practitioner resigns, is dismissed or dies, the institution shall report to the Association within 10 working days from the date of the above-mentioned situation, and the Association shall cancel his qualification.
If the relevant futures business license of an institution is cancelled, the association shall cancel the qualification of futures practitioners engaged in the corresponding futures business of the institution. Twelfth persons who have obtained the qualification examination certificate or whose qualifications have been cancelled, who have not practiced in institutions for two consecutive years, shall participate in the follow-up vocational training organized by the association before applying for qualifications. Chapter III Rules of Practice Article 13 Futures practitioners must abide by relevant laws, administrative regulations and the provisions of the China Securities Regulatory Commission, abide by the self-discipline rules of associations and futures exchanges, and may not engage in or collude with others to engage in fraud, insider trading, manipulation of futures trading prices, fabrication and dissemination of false information about futures trading, and other illegal acts. Article 14 Futures practitioners shall abide by the following professional standards:
(1) Being honest and trustworthy, fulfilling their duties, promoting the standardized operation of institutions and maintaining the reputation of the futures industry;
(two) to provide services to customers with professional skills, to be serious and diligent, to keep the business secrets of customers and to safeguard the legitimate rights and interests of customers;
(3) When providing professional services to customers, fully disclose the risks of futures trading, and shall not make improper promises or guarantees;
(4) When there is a conflict or potential conflict between one's own interests or the interests of related parties and the interests of customers, disclose it to customers in time and adhere to the principle of giving priority to the legitimate interests of customers;
(5) Having good professional ethics and law-abiding consciousness, resisting commercial bribery, and not engaging in unfair competition and unfair trading;
(six) not to harm the public interests, institutions or the legitimate rights and interests of others in order to meet the unreasonable demands of customers;
(seven) shall not engage in futures trading in the name of themselves or others;
(eight) other business norms stipulated by the association.