Institutions engaged in futures business shall abide by these measures when employing futures practitioners. Article 3 The institutions engaged in futures business as mentioned in these Measures include:
(1) Futures exchanges.
(2) Futures brokerage companies.
(3) the futures trading office.
(4) Being a member of a futures exchange that is not a futures brokerage company.
(5) Institutions engaged in overseas futures trading;
(6) Other institutions as stipulated by the China Securities Regulatory Commission. Article 4 The futures practitioners mentioned in these Measures include:
(a) the chairman, vice chairman, general manager and deputy general manager of the futures exchange;
(2) Senior managers of futures brokerage companies;
(3) Managers of the business departments of futures exchanges and professionals engaged in futures trading business such as trading, settlement, delivery, finance and auditing;
(4) Senior managers of the futures trading hall and professionals engaged in futures trading hall business;
(five) the management personnel of the business department of the futures brokerage company and the professionals and market representatives engaged in the futures brokerage business such as customer development, account opening, commission execution and settlement;
(6) Institutional personnel engaged in futures business who provide clients with futures investment analysis, consultation and other services;
(7) Managers and professionals engaged in futures business among members of the futures exchange who are not futures brokerage companies;
(eight) managers and professionals engaged in futures business in companies that have obtained overseas futures business licenses issued by the China Securities Regulatory Commission;
(9) Computer administrators of futures exchanges, futures trading halls and futures brokerage companies;
(10) Other futures practitioners deemed necessary by the China Securities Regulatory Commission. Article 5 Futures practitioners engaged in futures business must obtain the qualification certificates of futures practitioners in accordance with these Measures. Article 6 China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") shall be responsible for granting and managing the qualifications of futures practitioners.
China Securities Regulatory Commission's Securities Regulatory Office, Office and Commissioner's Office (hereinafter referred to as "the agency of China Securities Regulatory Commission") shall manage the qualifications of futures industry practitioners in accordance with these Measures and the authorization of China Securities Regulatory Commission. Chapter II Acquisition of Professional Qualifications Article 7 An applicant who applies for the qualification of futures practitioners must pass the qualification examination organized by the China Securities Regulatory Commission and obtain the qualification certificate of futures practitioners, except in the circumstances specified in the second paragraph of this article.
With the approval of the China Securities Regulatory Commission, the following persons may be exempted from the qualification examination if they have obtained the qualification certificate of futures practitioners:
(a) the chairman, vice chairman, general manager and deputy general manager of the futures exchange;
(2) Senior managers of futures brokerage companies who have worked in futures or related business management positions for more than 5 years. Article 8 The China Securities Regulatory Commission may, according to needs, specify the types of qualification certificates for futures practitioners. Article 9 The China Securities Regulatory Commission shall formulate a unified examination outline and be responsible for organizing the qualification examination for futures practitioners. Article 10 An applicant who applies to take the qualification examination for futures practitioners shall meet the following conditions:
(1) Having China nationality;
(2) Having reached the age of 18 and having full capacity for civil conduct;
(3) Having a college degree or above, or having graduated from high school and engaged in futures business for more than two years or other financial business for more than three years, or having other work experience related to futures business recognized by China Securities Regulatory Commission for more than four years;
(4) Good conduct and good professional ethics;
(5) It has no major illegal record in the last three years;
(6) Other conditions stipulated by the China Securities Regulatory Commission. Article 11 An applicant applying for the qualification examination for futures practitioners shall submit the following materials to the local dispatched office of the China Securities Regulatory Commission:
(a) the registration form for the qualification examination of futures practitioners;
(two) a copy of personal identity certificate and academic certificate;
(3) No serious illegal record certificate issued by the neighborhood office where the unit or account is located;
(4) Other materials as prescribed by the China Securities Regulatory Commission. Article 12 The dispatched office of China Securities Regulatory Commission shall be responsible for reviewing the applicant's materials. In accordance with the provisions of article tenth of these measures, the list of applicants shall be submitted to the China Securities Regulatory Commission. Thirteenth to participate in the qualification examination of futures industry practitioners, the examination fee shall be paid in accordance with the relevant provisions. Article 14 The China Securities Regulatory Commission shall register the applicants who have passed the qualification examination for futures practitioners, issue the qualification certificates for futures practitioners and announce them to the public. Chapter III Code of Conduct for Practitioners Article 15 Futures practitioners shall abide by the following code of practice:
(a) abide by the relevant laws, regulations, rules and policies, and shall not manipulate futures trading prices, deceive customers or engage in insider trading;
(2) Abide by the relevant rules of the futures exchange and the rules and regulations of the futures brokerage company;
(three) due diligence, honesty and trustworthiness, safeguard the legitimate rights and interests of customers;
(four) consciously avoid conflicts of interest with customers, when inevitable, should ensure that customers are treated fairly;
(five) shall not assist or cooperate with others in illegal activities;
(six) accept the supervision and management of the China Securities Regulatory Commission;
(seven) abide by other provisions of the China Securities Regulatory Commission.