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Notice of the China Financial Futures Exchange on Issuing the Measures for the Administration of Depository Banks Designated by the China Financial Futures Exchange [Revised]
中国金融期货交易所关于发布《中国金融期货交易所指定存管银行管理办法》的通知 [已被修订]
【法宝引证码】
 
  

 

Notice of the China Financial Futures Exchange on Issuing the Measures for the Administration of Depository Banks Designated by the China Financial Futures Exchange

 

中国金融期货交易所关于发布《中国金融期货交易所指定存管银行管理办法》的通知

The Measures for the Administration of Depository Banks Designated by the China Financial Futures Exchange, which have been deliberated and adopted by the executive committee of the board of directors of the China Financial Futures Exchange and have been submitted to the China Securities Regulatory Commission, are hereby issued, and shall come into force on the date of issuance. 《中国金融期货交易所指定存管银行管理办法》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,自发布之日起实施。
Annex: Measures for the Administration of Depository Banks Designated by the China Financial Futures Exchange 附件:中国金融期货交易所指定存管银行管理办法
China Financial Futures Exchange 中国金融期货交易所
August 14, 2013 二〇一三年八月十四日
Measures for the Administration of Depository Banks Designated by the China Financial Futures Exchange 中国金融期货交易所指定存管银行管理办法
 

Chapter I General Provisions 

第一章 总 则

Article 1 To regulate the futures margin depository business of the China Financial Futures Exchange (“CFFEX”) and ensure the SAFE Depositing of futures margins and THE STABLE OPERATION OF futures trading, these Measures are made pursuant to the Trading Rules of the China Financial Futures Exchange, the Detailed Clearing Rules of the China Financial Futures Exchange, and other relevant provisions.   第一条 为规范中国金融期货交易所(以下简称交易所)期货保证金存管业务,确保期货保证金存管安全和期货交易的平稳运行,根据《中国金融期货交易所交易规则》、《中国金融期货交易所结算细则》等规定,制定本办法。
Article 2 For the purpose of these Measures, the term “futures margin depository business” means the ABSORPTION of futures margins BY banking financial institutions and the relevant business operations. Banking financial institutions engaged in the futures margin depository business shall be designated by the CFFEX upon examination.   第二条 本办法所称期货保证金存管业务是指银行业金融机构吸收期货保证金进行存管并从事与此相关业务的行为。银行业金融机构从事期货保证金存管业务应当经交易所审核指定。
Article 3 Banking financial institutions engaged in the futures margin depository business shall abide by laws, administrative regulations, rules and the business rules of the CFFEX and be subject to the self-disciplinary oversight of the CFFEX.   第三条 银行业金融机构从事期货保证金存管业务应当遵守法律、行政法规、规章和交易所业务规则,接受交易所自律监管。
 

Chapter II Qualification Application 

第二章 资格申请

Article 4 To apply for a qualification to operate the futures margin depository business, a banking financial institution shall satisfy the following conditions:   第四条 银行业金融机构申请期货保证金存管业务资格,应当具备下列条件:
(1) It is a national corporate banking financial institution formed within the territory of the People's Republic of China; (一) 中华人民共和国境内设立的全国性银行业金融机构法人;
(2) Its registered capital reaches 10 billion yuan, its total assets reach 1500 billion yuan, its net assets reach 100 billion yuan, and it has been making profits for the last three consecutive years; (二) 注册资本达到100亿元人民币;总资产在15000亿元人民币以上,净资产在1000亿元人民币以上,最近3个会计年度连续盈利;
(3) It conforms to the requirements as set forth by the China Banking Regulatory Commission (“CBRC”) on the capital adequacy ratio, liquidity and asset-liability ratio of banking financial institutions; (三) 符合中国银行业监督管理机构对银行业金融机构资本充足率、流动性、资产负债比例等的规定;
(4) It has at least 600 branch offices and has branch offices ESTABLISHED IN LOCATIONS OF FUTURES EXCHANGES WITH PERMISSION to operate the futures margin depository business and the BUSINESSES IN CONNECTION WITH CAPITAL SETTLEMENT; (四) 分支机构在600个以上,且在期货交易所所在地设有可以办理期货保证金存管业务及资金结算相关业务的分支机构;
(5) It has sound rules for corporate governance, risk management and internal control; (五) 具有良好的公司治理、风险管理体系和内部控制制度;
(6) It has a special body or department taking charge of the futures margin depository business; (六) 设有专门机构或部门负责期货保证金存管业务;
(7) It has a sound futures margin depository system, and has made internal management rules and operating flows for the futures margin depository business, as well as emergency response plans in case of any breakdown of the technical or communication system; (七) 具有健全的期货保证金存管制度,制定与期货保证金存管业务相关的内部管理制度、操作流程以及技术和通讯系统故障等异常情况下的应急处理预案;
(8) It has facilities and technologies necessary for operating the futures margin depository business and assisting the monitoring over SAFE DEPOSITING OF futures margins, a trans-regional fund allocation system which has been operating in a highly efficient and stable manner for the last three years, an inside real-time transfer system that covers the entire nation, and a national centralized bank-futures transfer system that has been serving well; (八) 具有开展期货保证金存管业务和配合期货保证金安全存管监控所需的设施和技术水平,最近3年高效稳定的异地资金划拨系统,覆盖全国范围的行内实时汇划系统,以及服务良好的全国集中式银期转账系统;
(9) Among the staff members of futures margin depository outlets designated by the CFFEX, at least three have qualifications for the futures business, and persons working at the CFFEX clearing counters must have qualifications for the futures business, and management personnel shall also have five years or more of working experience in banking financial institutions; (九) 交易所指定的期货保证金存管网点人员中,至少3名已取得期货从业资格,且交易所结算专柜人员必须取得期货从业资格,其中管理人员还应当具有5年以上银行业金融机构从业经验;
(10) It has no gross violation of laws or regulations, has no major accident and has not received any major administrative punishment from the regulatory authority in the last three years; (十) 最近3年内无重大违法违规行为,未发生过重大事故及未受到过监管机构的重大行政处罚;
(11) It is not involved in any pending litigation or unpaid debt that seriously affects its credit status; and (十一) 无严重影响其资信状况的未决诉讼或未清偿债务;
(12) Other conditions as set forth by the CFFEX. (十二)交易所规定的其他条件;
Where a custodian bank of qualified foreign institutional investors applies for providing futures margin depository services for qualified foreign institutional investors for which it provides custodian services, it shall satisfy conditions as set forth in Item (3) and Items (6) through (13) of the preceding paragraph and be a clearing bank of the China Securities Depository and Clearing Company Limited. 合格境外机构投资者的托管银行,申请仅为其所托管的合格境外机构投资者开展期货保证金存管业务的,应当具备前款第(三)项、第(六)项至第(十三)项规定的条件,并取得中国证券登记结算有限责任公司结算银行资格。
Article 5 To apply for a qualification to operate the futures margin depository business, a banking financial institution shall submit the following pre-approval materials affixed with official seals to the CFFEX:   第五条 银行业金融机构申请期货保证金存管业务资格,应当向交易所提交下列预审材料并加盖公章;
(1) an application form for futures margin depository qualifications, an application report, a feasibility report and a business plan; (一) 期货保证金存管业务资格申请表、申请报告、可行性报告及业务计划书;
(2) an explanation on its branch offices, business outlets, and facilities necessary for operating the futures margin depository business; (二) 分支机构、营业网点以及开展期货保证金存管业务所需设施的情况说明;
(3) futures margin depository rules, internal management rules, and the relevant emergency response plans; (三) 期货保证金存管制度、内部管理制度以及相关的应急处理预案;
(4) the position arrangement and responsibilities of the futures margin depository business department, and the names and resumes of the principal and business personnel of the department; (四) 期货保证金存管业务部门的岗位设置和职责规定,以及部门负责人和业务人员名单、履历;
(5) a letter of commitment on abiding by the relevant provisions on monitoring over the safe depositing of futures margins; (五) 遵守期货保证金安全存管监控有关规定的承诺书;
(6) a photocopy of the Business License for an Enterprise Legal Person which has passed the latest annual inspection; (六) 最新年检的《企业法人营业执照》复印件;
(7) a photocopy of the Financial Business Operation Permit; (七) 《金融业务许可证》复印件;
(8) audit reports and internal control assessment reports for the last three years; (八) 最近三年的审计报告以及内部控制评价报告;
(9) a power of attorney from the Enterprise legal person, and an identity certificate of the handling person; and (九) 企业法人的授权书及经办人员的身份证明文件;
(10) other documents as required by the CFFEX. (十) 交易所要求提供的其他文件。
Article 6 After passing the pre-qualification examination of the CFFEX, a banking financial institution applying for being granted the status of a futures margin depository bank shall pass the relevant testing regarding business operation, technical operation and communication devices according to the requirements of the CFFEX and the China Futures Margin Monitoring Center (“CFMMC”), and provide the following materials to the CFFEX:   第六条 银行业金融机构申请并通过交易所对其期货保证金存管银行资格预审后,应当按照交易所及中国期货保证金监控中心(以下简称监控中心)的要求通过相关业务、技术、通讯设备等方面的测试,并向交易所提供下列材料:
(1) a written certificate issued by the CFMMC, proving that it has passed the testing on the filing of data about the safe depositing of futures margins; (一) 监控中心出具的关于通过期货保证金安全存管监控数据报送测试的书面证明材料;
(2) a report on testing its national centralized bank-futures transfer system with futures companies (or other futures market participants); (二) 与期货公司(或其他期货市场参与者)进行全国集中式银期转账系统测试报告;
(3) photocopies of the business licenses of its branch offices designated by the CFFEX to operate the futures margin depository business (hereinafter referred to as “designated outlets”); and (三) 交易所指定期货保证金存管业务分支机构(以下简称指定网点)营业执照复印件;
(4) other documents as required by the CFFEX. (四) 交易所要求提供的其他文件。
Article 7 Within three working days after the CFFEX makes a decision upon examination, A banking financial institution shall report it to the banking regulatory authority.   第七条 银行业金融机构应当在交易所审核决定做出后3个工作日内向银行业监督管理机构报告。
Article 8 After being granted the status of futures margin depository banks, banking financial institutions shall conclude the Futures Margin Depository Bank Agreement with the CFFEX, specifying the rights and obligations of both parties.   第八条 银行业金融机构取得期货保证金存管银行资格后,应当与交易所签订《期货保证金存管银行协议》,明确双方各自的权利和义务。
 

Chapter III Business Requirements 

第三章 业务要求

Article 9 Banking financial institutions engaged in futures margin depository BUSINESS (hereinafter referred to as “depository banks”) shall provide safe, accurate and expedited futures margin depository and transfer services for their futures margin depository clients and the CFFEX.   第九条 从事期货保证金存管业务的银行业金融机构(以下简称存管银行)应当为其期货保证金存管业务的客户及交易所提供安全、准确、迅捷的期货保证金存管及划转服务。
Article 10 Depository banks shall set up CFFEX-designated outlets within the range designated by the CFFEX. Such outlets shall be equipped with CFFEX clearing counters and provide special-purpose services.   第十条 存管银行应在距离交易所指定范围内设置交易所指定网点,网点内应当设置交易所结算专柜,并提供专项服务。
Article 11 Depository banks shall open special clearing accounts, special clearing margin accounts and other relevant accounts as the CFFEX may apply for. Account information shall reflect the nature of the business concerned.   第十一条 存管银行应当根据交易所提出的申请为交易所开立专用结算账户、结算担保金专用账户等账户,账户信息应当体现业务性质。
Article 12 Depository banks shall open, modify or close special capital accounts, special clearing margin accounts and other relevant accounts for the clearing members of the CFFEX on the basis of the applications of such members and the special-purpose notifications issued by the CFFEX. Account information shall reflect the nature of the business concerned.   第十二条 存管银行应当根据交易所结算会员的申请和交易所签发的专用通知书为结算会员开立、变更或者注销专用资金账户、结算担保金专用账户等账户,账户信息应当体现业务性质。
Article 13 Fund transfers between the CFFEX and its members under the futures business must be carried out through the special accounts mentioned in Articles 11 and 12 of these Measures.   第十三条 交易所与会员之间期货业务资金的往来通过第十一条与第十二条中开设的专用账户办理。
Article 14 Depository banks shall, in light of changes in the trading or clearing hours of the CFFEX, adjust their business hours accordingly so as to meet the needs of the futures margin depository business.   第十四条 存管银行应当根据交易所交易和结算时间的变化,相应调整业务办理时间,满足期货保证金存管业务的需要。
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