Futures Trading Participant Eligibility Management Rules of the Shanghai International Energy Exchange (for Public Consultation)
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1 Futures Trading Participant Eligibility Management Rules of the Shanghai International Energy Exchange (for Public Consultation) Table of Contents Chapter 1 General Provisions... 2 Chapter 2 Trader s Eligibility Management Standard... 3 Chapter 3 Implementation of the Trader s Eligibility Management... 5 Chapter 4 Supervision on Trader s Eligibility Management... 8 Chapter 5 Miscellaneous
2 Chapter 1 General Provisions Article 1 The following rules are formulated, pursuant to the Regulations on the Administration of Futures Trading, related authorities laws and regulations, and the rules of the Shanghai International Energy Exchange ( the Exchange ), to promote rational participation by futures trading participants (the trader ) in the futures market, protect all traders legitimate rights and interests, and ensure stable, legalized and healthy development of the futures market. Article 2 A trader refers to a natural person, a legal person or any other organization that engages in futures trading and assumes the associated risks and responsibilities. Article 3 A Futures Firm Member (the FF Member ), an Overseas Special Brokerage Participant (the OSB Participant ), an Overseas Intermediary (collectively the Account Opening Institution ), or any other institution that engages in futures trading on or through the Exchange shall assess traders futures knowledge and risk tolerance in conformity with the requirements of these Rules, and only accept those eligible traders to prudently engage in futures trading. 2
3 Article 4 A Trader shall perform comprehensive self-assessment of its knowledge of the market and products, risk control and tolerance and its financial capabilities in accordance with the requirements of these Rules, and prudently decide whether to engage in the futures trading. Chapter 2 Trader s Eligibility Management Standard Article 5 When an Account Opening Institution applies to the Exchange for a trading code on behalf of an institutional trader, such institutional trader shall meet the following criteria: 1. having related practitioners with basic knowledge of futures and understanding of the relevant rules of the Exchange; 2. having records of filled orders of simulated futures trading in domestic market for at least ten (10) days, or records of no less than ten (10) filled orders on either any of the domestic futures exchanges or any of those overseas futures exchanges regulated by its competent financial regulatory authority that has a regulatory memorandum of understanding with the China Securities Regulatory Commission (the CSRC ); 3. having implemented sound futures trading management practices and procedures, covering futures trading decision-making, order placing, funds transfer, physical delivery and other business 3
4 management practices and procedures, as well as appropriate risk control practices and procedures for futures trading; 4. having a sound information communication mechanism, including timely updating and circulating the information of its head of futures trading and related business practitioners to its Account Opening Institutions; 5. not having any material adverse credit record or been imposed a ban on futures market by any competent regulatory authority; and 6. not being prohibited or banned from engaging in futures trading, pursuant to any laws, administrative and ministerial regulations, or the rules of the Exchange. Article 6 When an Account Opening Institution applies to the Exchange for a trading code on behalf of an individual trader, such individual trader shall meet the following criteria: 1. having full civil capacity; 2. having basic knowledge of futures and understanding the relevant rules of the Exchange; 3. having records of filled orders of simulated futures trading in domestic market for at least ten (10) days,and available balance in his/her margin account no less than RMB one hundred thousand (100,000) or its equivalent in foreign currency by the end of the previous trading day; or having been trading on any of other domestic futures exchanges or any of those overseas futures exchanges 4
5 regulated by its competent financial regulatory authority that has a regulatory memorandum of understanding with the CSRC and having trade records of no less than ten (10) filled orders within the past three (3) years; 4. not having any material adverse credit record or being imposed a ban on futures market by any competent regulatory authority; and 5. not being prohibited or banned from engaging in futures trading, pursuant to any laws, administrative and ministerial regulations, or the rules of the Exchange. Article 7 The Exchange may adjust the criteria of trader s eligibility in accordance with the market conditions. Chapter 3 Implementation of the Trader s Eligibility Management Article 8 An Account Opening Institution shall comply with the Exchange s guidance following these Rules to establish sound business rules and an implementation plan for trader eligibility management, and specify internal division of responsibilities and business procedures for conducting comprehensive assessments of the background, related investment experience, financial capabilities and credit record of traders. 5
6 Article 9 An Account Opening Institution shall establish and effectively implement accountability mechanism for Client on-boarding, in which the responsibilities of senior management, head of business operations, head of marketing and sales, appraisal reviewer, account opening operator and Client development personnel shall be specified. Article 10 An Account Opening Institution shall fully disclose to each trader the futures trading risks, the applicable futures laws, regulations, relevant rules, provisions or decisions of the Exchange, strictly verify each trader s funds, prudently assess each trader s credit standing and risk tolerance, and carefully examine each trader s account application materials. Article 11 An Account Opening Institution shall provide guiding instructions to traders with newly opened accounts, urge them to comply with the relevant laws, administrative and ministerial regulations applicable to futures trading, and the rules, relevant provisions and decisions of the Exchange, conduct ongoing education on risk management, and strengthen legal and compliance management related to traders trading activities. Article 12 An Account Opening Institution shall establish profile archive for each trader and keep traders information in strict confidence. 6
7 Article 13 An Account Opening Institution shall provide reasonable channels for traders to file complaints, the method and procedures of filing complaints, properly handle disputes, and urge traders to protect their rights and interests lawfully. Article 14 A Trader shall submit account opening materials and information truthfully to an Account Opening Institution, and shall not evade the requirements prescribed in these Rules by submitting fraudulent materials or information. Article 15 A Trader shall adhere to the principle that buyers and sellers are responsible for their own futures trades, undertake the obligations thereof, and shall not disavow such obligations on the account of not meeting the trader eligibility criteria. Article 16 All traders shall abide by the following rules: 1. trading code rules, under which trading with aggregated or netted multi-clients positions is prohibited; 2. proactive declaration of accounts with affiliation relationships according to the relevant provisions, and accepting the corresponding supervision. Article 17 A Trader shall, abide by the relevant laws and regulations, protect their legitimate rights and interests with appropriate means, and shall not harm the lawful rights or interests of the state, the society, the community or any other third parties, or 7
8 disrupt public order or the work order of the Exchange and relevant institutions. Article 18 Where an FF Member or an OSB Participant has entered into a carrying-brokerage agreement with an Overseas Intermediary, such FF member or OSB Participant shall establish on-boarding practices and implement the relevant requirements prescribed in these Rules. Such FF Member or OSB Participant shall review the relevant business of the Overseas Intermediary. Article 19 When enlisting a company with introducing broker license to assist with account opening, an FF Member shall establish on-boarding rules with such company in order to implement the relevant requirements prescribed in these Rules, and shall review the relevant businesses of such company. Chapter 4 Supervision on Trader s Eligibility Management Article 20 The Exchange will perform inspections on Account Opening Institutions implementation of these Rules. Account Opening Institutions shall cooperate on such inspections and shall truthfully provide account opening materials, breakdown of account activities and other relevant materials, and shall not conceal any information, obstruct or refuse such inspections by the Exchange. 8
9 Article 21 If an Account Opening Institution violates any of these Rules, the Exchange may take measures including but not limited to a demand for rectification, warning, public censure, suspension of position opening, suspension of futures business, and/or revocation of membership or qualification of OSB Participants. In cases where the violations are considered serious, the Exchange may recommend the imposition of administrative penalties or disciplinary sanctions by the CSRC, the China Futures Association (the CFA ) and/or the competent futures regulatory authorities in the home state or region where the overseas Account Opening Institution is established. Article 22 In cases where an employee of an Account Opening Institution is responsible for any violation, the Exchange may take measures including but not limited to warning, public censure, suspension of futures business and/or revocation of the qualification to conduct futures business on the Exchange. In cases where the violations are considered serious, the Exchange may recommend the imposition of administrative penalties or disciplinary sanctions, such as revoking the qualification of management position, or the practitioner s qualification, to the CSRC, the CFA and/or the competent futures regulatory authorities in the home state or region 9
10 where the employing overseas Account Opening Institution is established. Chapter 5 Miscellaneous Rules. Article 23 The Exchange reserves the right to interpret these Article 24 These Rules shall be effective as of [ ] 10
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