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Order of China Securities Regulatory Commission
(No.48 )
The Measures for the Administration of Futures Practitioners, which were deliberated and adopted at the 207th chairmen's executive meeting of China Securities Regulatory Commission, are hereby promulgated and shall come into force as of the date of promulgation.
Chairman of China Securities Regulatory Commission: Shang Fulin
July 4th, 2007
Measures for the Administration of Futures Practitioners
| | 中国证券监督管理委员会令
（第48号）
《期货从业人员管理办法》已经中国证券监督管理委员会第207次主席办公会议审议通过，现予公布，自公布之日起施行。
中国证券监督管理委员会主席：尚福林
二○○七年七月四日
期货从业人员管理办法
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Chapter I General Provisions
| | 第一章 总则
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Article 1 For the purpose of strengthening the qualification administration of futures practitioners and regulating the practices of futures practitioners, these Measures are formulated in accordance with the Regulation on the Administration of Futures Trading.
| | 第一条 为了加强期货从业人员的资格管理，规范期货从业人员的执业行为，根据《期货交易管理条例》，制定本办法。
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Article 2 Where any person applies for the qualification for futures practitioners (hereinafter referred to as practice qualification), any institution engaging in futures trading business (hereinafter referred to as institution) employs any futures practitioner or any futures practitioner engages in the futures business, these Measures shall apply.
| | 第二条 申请期货从业人员资格（以下简称从业资格），从事期货经营业务的机构（以下简称机构）任用期货从业人员，以及期货从业人员从事期货业务的，应当遵守本办法。
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Article 3 The term “institution” as mentioned in these Measures refers to:
| | 第三条 本办法所称机构是指：
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1. futures companies;
| | （一）期货公司；
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2. non-futures-company settlement members of futures exchanges;
| | （二）期货交易所的非期货公司结算会员；
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3. futures investment consultant institutions;
| | （三）期货投资咨询机构；
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4. institutions providing intermediary business for futures companies;
| | （四）为期货公司提供中间介绍业务的机构；
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5. other institutions as determined by China Securities Regulatory Commission (hereinafter referred to as the CSRC).
| | （五）中国证券监督管理委员会（以下简称中国证监会）规定的其他机构。
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Article 4 The term “futures practitioners” as mentioned in these Measures refers to:
| | 第四条 本办法所称期货从业人员是指：
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1. management personnel and professional personnel of futures companies;
| | （一）期货公司的管理人员和专业人员；
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2. management personnel and professional personnel of non-futures-company settlement members of futures exchanges who engage in the futures settlement business;
| | （二）期货交易所的非期货公司结算会员中从事期货结算业务的管理人员和专业人员；
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3. management personnel and professional personnel of futures investment consultant institutions who engage in the futures investment consultancy business;
| | （三）期货投资咨询机构中从事期货投资咨询业务的管理人员和专业人员；
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4. management personnel and professional personnel of futures investment consultant institutions providing intermediary business for futures companies who engage in the futures trading business;
| | （四）为期货公司提供中间介绍业务的机构中从事期货经营业务的管理人员和专业人员；
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5. other personnel as determined by the CSRC.
| | （五）中国证监会规定的其他人员。
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Article 5 The CSRC and its dispatched offices shall supervise and manage futures practitioners according to law.
China Futures Association (hereinafter referred to as CFA) shall conduct self-discipline management on futures practitioners according to law, and shall take charge of the determination, management and cancellation of practice qualification.
| | 第五条 中国证监会及其派出机构依法对期货从业人员进行监督管理。
中国期货业协会（以下简称协会）依法对期货从业人员实行自律管理，负责从业资格的认定、管理及撤销。
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Chapter II Acquirement and Writing-off of Practice qualification
| | 第二章 从业资格的取得和注销
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Article 6 CFA shall be responsible for organizing the examination of practice qualifications.
| | 第六条 协会负责组织从业资格考试。
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Article 7 Anyone taking the examination of practice qualification shall satisfy the following requirements:
| | 第七条 参加从业资格考试的，应当符合下列条件：
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1. having attained to the age of 18;
| | （一）年满18周岁；
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2. having complete civil capacity;
| | （二）具有完全民事行为能力；
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3. having the educational background of high school or above; and
| | （三）具有高中以上文化程度；
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4. other requirements as prescribed by the CSRC.
| | （四）中国证监会规定的其他条件。
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Article 8 Anyone passing the examination of practice qualifications shall be issued a certificate on passing the examination of practice qualification issued by CFA.
| | 第八条 通过从业资格考试的，取得协会颁发的从业资格考试合格证明。
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Article 9 Where any personnel with the certificate on passing the examination of practice qualification intends to engage in the futures business, he shall apply to CFA for practice qualifications through the institution where he works.
No person without practice qualification may engage in futures business activities in any institution.
| | 第九条 取得从业资格考试合格证明的人员从事期货业务的，应当事先通过其所在机构向协会申请从业资格。
未取得从业资格的人员，不得在机构中开展期货业务活动。
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Article 10 Where any institution employs any personnel who has obtained a certificate on passing the examination of practice qualifications and satisfies the following requirements to engage in the futures business, it shall handle the formalities for applying for practice qualifications for him:
| | 第十条 机构任用具有从业资格考试合格证明且符合下列条件的人员从事期货业务的，应当为其办理从业资格申请：
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1. having good conduct and good professional ethics;
| | （一）品行端正，具有良好的职业道德；
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2. having been hired by this institution;
| | （二）已被本机构聘用；
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3. having not been subjected to any criminal punishment or any administrative punishment imposed by the CSRC or any other financial regulatory institution within the latest three years;
| | （三）最近3年内未受过刑事处罚或者中国证监会等金融监管机构的行政处罚；
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4. having not been banned by the CSRC or any other financial regulatory institution from accessing into the market, or the ban has expired;
| | （四）未被中国证监会等金融监管机构采取市场禁入措施，或者禁入期已经届满；
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5. having not been disqualified from engaging in the securities or futures business for any illegal behavior within the latest three years; and
| | （五）最近3年内未因违法违规行为被撤销证券、期货从业资格；
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6. other requirements as prescribed by the CSRC.
No institution may employ any personnel without practice qualification to engage in the futures business or has any fraudulent act in the process of application for practice qualification.
| | （六）中国证监会规定的其他条件。
机构不得任用无从业资格的人员从事期货业务，不得在办理从业资格申请过程中弄虚作假。
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Article 11 Where any futures practitioner resigns, is dismissed or dies, the institution shall report it to CFA within 10 workdays since the date of occurrence of the circumstance, and CFA shall be responsible for writing off his practice qualification.
Where the relevant futures business license of an institution is revoked, CFA shall cancel the practice qualification of the practitioners working in the institution who engage in the corresponding futures business.
| | 第十一条 期货从业人员辞职、被解聘或者死亡的，机构应当自上述情形发生之日起10个工作日内向协会报告，由协会注销其从业资格。
机构的相关期货业务许可被注销的，由协会注销该机构中从事相应期货业务的期货从业人员的从业资格。
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Article 12 Where any person who has obtained a certificate on passing the examination of practice qualification or whose practice qualification has been cancelled fails to practice in any institution for two consecutive years, he shall participate in the follow-up vocational trainings organized by CFA before applying for practice qualification.
| | 第十二条 取得从业资格考试合格证明或者被注销从业资格的人员连续2年未在机构中执业的，在申请从业资格前应当参加协会组织的后续职业培训。
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Chapter III Practice Rules
．．．．．． | | 第三章 执业规则
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