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Notice of the China Financial Futures Exchange on Issuing the Administrative Measures of the China Financial Futures Exchange for Hedging and Arbitrage Trading
(No. 16 [2012] of the China Financial Futures Exchange)
All members:
The Administrative Measures of the China Financial Futures Exchange for Hedging and Arbitrage Trading (hereinafter referred to as the “Measures”), as deliberated and adopted by the Executive Committee of the Board of Directors of the China Financial Futures Exchange and reported to the China Securities Regulatory Commission, are hereby issued.
The Measures shall come into force on the date of issuance, and the Administrative Measures of the China Financial Futures Exchange for Hedging Trading shall be repealed simultaneously.
China Financial Futures Exchange
February 3, 2012
Annex:
Administrative Measures of the China Financial Futures Exchange for Hedging and Arbitrage Trading
| | 中国金融期货交易所关于发布《中国金融期货交易所套期保值与套利交易管理办法》的通知
（中金所办字[2012]16号）
各会员单位：
《中国金融期货交易所套期保值与套利交易管理办法》（以下简称《办法》）经我所董事会执行委员会审议通过，并已报告中国证监会，现予以发布。
本《办法》自发布之日起实施，原《中国金融期货交易所套期保值管理办法》同时废止。
中国金融期货交易所
二〇一二年二月三日
附件：
中国金融期货交易所套期保值与套利交易管理办法
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Chapter I General Provisions
| | 第一章 总 则
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Article 1 To regulate the management of hedging and arbitrage trading, utilize the functions of the futures market and promote the sound development of the futures market, these Measures are made in accordance with the Trading Rules of the China Financial Futures Exchange
| | 第一条 为规范套期保值与套利交易业务管理，发挥期货市场功能，促进期货市场规范发展，根据《中国金融期货交易所交易规则》，制定本办法。
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Article 2 For the purposes of these Measures, “hedging” includes long hedge and short hedge.
| | 第二条 本办法所称套期保值包括买入套期保值和卖出套期保值。
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Article 3 For the purposes of these Measures, “arbitrage” includes futures-cash arbitrage, inter-temporal arbitrage and cross-product arbitrage, among others.
| | 第三条 本办法所称套利包括期现套利、跨期套利和跨品种套利等。
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Article 4 Members and clients engaged in hedging and arbitrage trading at the China Financial Futures Exchange (“CFFE”) shall abide by these Measures.
| | 第四条 会员、客户在中国金融期货交易所（以下简称交易所）从事套期保值、套利交易业务应当遵守本办法。
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Chapter II Quota Application and Approval
| | 第二章 额度申请与审批
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Article 5 The CFFE applies an approval system to hedging and arbitrage quotas. To apply for a hedging or arbitrage quota, a client shall submit an application to the member where the client opens an account, and the member shall apply to the CFFE after examining the application materials of the client.
A member intending to apply for a hedging or arbitrage quota shall directly submit an application to the CFFE.
| | 第五条 交易所实行套期保值、套利额度审批制度。客户申请套期保值、套利额度的，应当向其开户的会员申报，会员对申报材料进行审核后向交易所办理申请手续。
会员申请套期保值、套利额度的，直接向交易所办理申请手续。
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Article 6 To apply for a hedging or arbitrage quota, a member or client shall submit the following application materials to the CFFE:
| | 第六条 会员、客户申请套期保值、套利额度，应当向交易所提交下列申请材料：
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(1) an application for hedging or arbitrage quota;
| | （一）套期保值、套利额度申请；
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(2) a hedging or arbitrage trading scheme;
| | （二）套期保值、套利交易方案；
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(3) a valid identification of the applicant;
| | （三）申请人的有效身份证明材料；
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(4) the applicant's recent trading on the securities market and the relevant certificates;
| | （四）近期证券市场交易情况及相关证明；
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(5) a description on the applicant's history of hedging and arbitrage trading; and
| | （五）历史套期保值、套利交易情况说明；
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(6) other materials as required by the CFFE.
| | （六）交易所要求的其他材料。
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Article 7 The CFFE shall decide whether to approve an applicant's hedging or arbitrage quota on the basis of the trading condition of the securities and futures markets and according to the results of examination of the applicant's application materials and credit standing, among others.
| | 第七条 交易所根据证券期货市场交易情况以及申请人的申请材料、资信状况等进行审核，审批其套期保值、套利额度。
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Article 8 The CFFE shall make a decision of approval or disapproval within five trading days of officially accepting an application for a hedging or arbitrage quota.
The CFFE may require an applicant to provide supplements to its application materials in the course of approval, and the time necessary for submitting such supplements is not included in the time limit for approval.
| | 第八条 交易所在正式受理套期保值、套利额度申请后5个交易日内作出审批决定。
交易所在审批过程中可以要求申请人对申请材料进行补充说明，补充材料时间不计入审批时间。
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Article 9 An approved hedging or arbitrage quota may be used for multiple contracts for the same product expiring in different months. The total hedging and arbitrage positions held under multiple contracts in the same direction for the same product may not exceed the hedging or arbitrage quota approved for the said direction.
．．．．．． | | 第九条 获批套期保值、套利额度可以在同一品种多个月份合约使用，同一品种各合约同一方向套期保值、套利持仓合计不得超过该方向获批的套期保值、套利额度。
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