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Measures for the Administration of Foreign-Funded Futures Companies

外商投资期货公司管理办法

【CLI Code】 CLI.4.320579(EN)  Statement

  • Order of the China Securities Regulatory Commission
  • 中国证券监督管理委员会令

  • (No. 149)
  • (第149号)

  • Chairman of the China Securities Regulatory Commission: Liu Shiyu
  • 中国证券监督管理委员会主席:刘士余
  • August 24, 2018
  • 2018年8月24日
  • Article 2 For purposes of these Measures, “foreign-funded futures company” means a futures company of which 5% or more equities is directly held or indirectly controlled by a single foreign shareholder or by multiple foreign shareholders with affiliations.
  •   第二条 本办法所称外商投资期货公司是指单一或有关联关系的多个境外股东直接持有或间接控制公司5%以上股权的期货公司。
  • Article 3 The China Securities Regulatory Commission (“CSRC”) and its local offices shall conduct supervision and administration of foreign-funded futures companies in accordance with the law.
  •   第三条 中国证券监督管理委员会(以下简称中国证监会)及其派出机构依法对外商投资期货公司实施监督管理。
  • (1) It has engaged in business operation for five consecutive years or more, and has not received any major punishment from the regulatory authority or administrative or judicial authority of the country or region where it is located in the last three years.
  • (2) The management has good professional qualities and management capabilities.
  • (3) It has sound internal control rules and risk management system.
  • (4) It has a good international reputation and business performance, its business scale, revenue and profit have ranked top in the world in the last three years, and its long-term credits have remained at high levels in the last three years.
  • (5) It meets other prudential conditions prescribed by the CSRC.
  • Where multiple foreign shareholders with affiliations accumulatively hold 5% or more equities of the futures company, each foreign shareholder shall meet t
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