(1) Assisting customers in establishing risk management systems and operational procedures, and providing risk management consulting services such as risk management consulting and special training;
(2) Collect and sort out futures market information and all kinds of relevant economic information, study and analyze the prices of futures markets and related spot markets and their related influencing factors, and make and provide research and analysis reports or information research and analysis services;
(3) Designing investment schemes such as hedging and arbitrage for clients, and formulating trading consulting services such as futures trading strategies;
(4) Other activities stipulated by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission). Article 3 A futures company engaging in futures investment consulting business shall obtain the qualification of futures investment consulting business with the approval of China Securities Regulatory Commission. The personnel engaged in futures investment consulting business of a futures company shall obtain the qualification of futures investment consulting business.
Futures companies and their employees who have not obtained the required qualifications shall not engage in futures investment consulting business activities. Article 4 Futures companies and their employees engaged in futures investment consulting business shall abide by the provisions of relevant laws, regulations, rules and these Measures, follow the principle of good faith, treat customers fairly, and avoid conflicts of interest based on an independent and objective position. Article 5 The China Securities Regulatory Commission and its dispatched offices shall supervise and manage the futures investment consulting business of futures companies and their employees according to law.
China Futures Association implements self-discipline management for futures companies and their employees engaged in futures investment consulting business. Chapter II Business Qualification and Personnel Qualification Article 6 A futures company applying for futures investment consulting business shall meet the following conditions:
(a) the registered capital is not less than RMB 654.38+0 billion, and the net capital is not less than RMB 80 million;
(2) The risk supervision indicators for the six months before the application date continuously meet the supervision requirements;
(3) There are not less than 65,438+0 senior managers with more than 3 years of futures experience and qualified futures investment consulting qualifications, and not less than 5 business personnel with more than 2 years of futures experience and qualified futures investment consulting qualifications, and the above-mentioned senior managers and business personnel have no bad credit records in the last 3 years, and have not been subjected to administrative punishment or criminal punishment, and there is no case that they are being investigated by the competent authorities for suspected violations of laws and regulations;
(4) Having a sound management system for futures investment consulting business;
(5) It has not been subjected to administrative punishment or criminal punishment for illegal business operations in the past three years, and there is no case that it is being investigated by the competent authority for suspected major illegal business operations;
(6) It has not been subject to the regulatory measures stipulated in Paragraph 2 of Article 59 and Article 60 of the Regulations on the Administration of Futures Trading in recent 1 year;
(seven) other conditions stipulated by the China Securities Regulatory Commission in accordance with the principle of prudent supervision. Article 7 A futures company applying for the qualification of futures investment consulting business shall submit the following application materials:
(1) An application for the qualification of futures investment consulting business;
(2) Resolution documents of the shareholders' meeting on applying for futures investment consulting business;
(3) Risk supervision statements of the futures company for six months before the date of application;
(four) the text of the management system of futures investment consulting business, including the management of departments and personnel, business operations, compliance inspection, customer return visits and complaints. ;
(5) An explanation of the compliance operation of the futures company in the last three years;
(6) The names, resumes, relevant qualifications and qualification certificates of the senior managers and business personnel who intend to engage in futures investment consulting business, and the certification materials of integrity and compliance issued by the company;
(7) Copies of the Business License for Enterprise as a Legal Person and the Futures Business License affixed with the official seal of the company;
(8) The financial report of the previous year audited by an accounting firm with securities and futures-related business qualifications; If the application date is in the second half of the year, an audited semi-annual financial report shall also be provided;
(9) A legal opinion issued by a law firm on whether the futures company meets the conditions stipulated in Items (3) and (5) of Article 6 of these Measures and whether the resolutions of the shareholders' meeting are legal;
(ten) other materials as prescribed by the China Securities Regulatory Commission. Article 8 The China Securities Regulatory Commission shall make a decision of approval or disapproval within 2 months from the date of accepting the application for the qualification of futures investment consulting business of futures companies. Article 9 China Futures Association shall be responsible for the qualification examination, qualification confirmation, daily management and other related work of the employees in futures investment consulting business, and relevant self-discipline management measures shall be formulated by China Futures Association. Chapter III Business Rules Article 10 A futures company and its employees shall, with professional skills, prudently, diligently and dutifully provide futures investment consulting services to customers, keep their business secrets and safeguard their legitimate rights and interests.
Futures companies and their employees shall not make false or misleading propaganda on the ability of futures investment consulting services, and shall not deceive or mislead customers.