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Announcement of China Securities Regulatory Commission
(No. 10 [2008])
The Administrative Provisions on Chief Risk Officers of Futures Companies (for Trial Implementation) are hereby promulgated and shall come into force as of May 1, 2008. All futures companies shall comply with them.
China Securities Regulatory Commission
March 27, 2008
Administrative Provisions on Chief Risk Officers of Futures Companies (for Trial Implementation)
| | 中国证券监督管理委员会公告
（[2008]10号）
现公布《期货公司首席风险官管理规定（试行）》，自2008年5月1日起施行，请各期货公司遵照执行。
中国证券监督管理委员会
二〇〇八年三月二十七日
期货公司首席风险官管理规定（试行）
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Chapter I General Provisions
| | 第一章 总则
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Article 1 For the purposes of improving the corporate governance structure of futures companies, strengthening the internal control and risk management, promote the steady and sound business operations of futures companies and maintaining the legitimate rights and interests of futures investors, these Provisions are formulated in accordance with the Regulation on the Administration of Futures Trading, the Administrative Measures for Futures Companies and the Administrative Measures for the Post-holding Qualifications of Directors, Supervisors and Senior Managers of Futures Companies.
| | 第一条 为了完善期货公司治理结构，加强内部控制和风险管理，促进期货公司依法稳健经营，维护期货投资者合法权益，根据《期货交易管理条例》、《期货公司管理办法》和《期货公司董事、监事和高级管理人员任职资格管理办法》，制定本规定。
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Article 2 A chief risk officer is a senior manager in a futures company who is responsible for supervising and checking the futures company's business management compliance and risk management state.
The chief risk officer is responsible to the board of directors of the futures company.
| | 第二条 首席风险官是负责对期货公司经营管理行为的合法合规性和风险管理状况进行监督检查的期货公司高级管理人员。
首席风险官向期货公司董事会负责。
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Article 3 A chief risk officer shall abide by the laws, administrative regulations, provisions of China Securities Regulatory Commission (hereinafter referred to as the CSRC), and the company's articles of association. He shall be duteous, honest, faithful and diligent.
| | 第三条 首席风险官应当遵守法律、行政法规、中国证券监督管理委员会（以下简称中国证监会）的规定和公司章程，忠于职守，恪守诚信，勤勉尽责。
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Article 4 A futures company shall establish a sound system to make it possible for the chief risk officer to perform his duties independently and effectively.
| | 第四条 期货公司应当建立并完善相关制度，为首席风险官独立、有效地履行职责提供必要的条件。
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Article 5 The CSRC and its dispatched institutions shall supervise and administer the chief risk officers in accordance with the law.
China Futures Association and the futures exchanges shall carry out self-disciplinary management of the chief risk officers.
| | 第五条 中国证监会及其派出机构依法对首席风险官进行监督管理。
中国期货业协会、期货交易所依法对首席风险官进行自律管理。
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Chapter II Appointment, Removal and Behavioral Norms
| | 第二章 任免与行为规范
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Article 6 A futures company shall, under its articles of association, nominate and hire its chief risk officer. If the futures company has independent directors, the nomination and hiring of chief risk officer shall be subject to the approval of all independent directors.
In selecting and hiring the chief risk officer, the board of directors shall regard whether he is familiar with the laws and regulations on futures, whether he is honest, faithful and law-abiding, whether he is competent and whether he meets the prescribed requirements for the post as the major judgment criterions.
| | 第六条 期货公司应当根据公司章程的规定依法提名并聘任首席风险官。期货公司设有独立董事的，还应当经全体独立董事同意。
董事会选聘首席风险官，应当将其是否熟悉期货法律法规、是否诚信守法、是否具备胜任能力以及是否符合规定的任职条件作为主要判断标准。
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Article 7 A futures company's articles of association shall expressly specify the chief risk officer's term of office, scope of power, rights and obligations, and procedure and manner of work-related report.
| | 第七条 期货公司章程应当明确规定首席风险官的任期、职责范围、权利义务、工作报告的程序和方式。
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Article 8 A chief risk officer shall have good occupational ethics and professional quality, timely find and report the futures company's business management compliance as well as the problems or hidden risks in the risk management.
| | 第八条 首席风险官应当具有良好的职业操守和专业素养，及时发现并报告期货公司在经营管理行为的合法合规性和风险管理方面存在的问题或者隐患。
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Article 9 A chief risk officer shall keep adequate independence in performing his duties, make independent, prudent and timely judgments and, on his own initiative, avoid those matters, to which he is an interested party.
| | 第九条 首席风险官履行职责应当保持充分的独立性，作出独立、审慎、及时的判断，主动回避与本人有利害冲突的事项。
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Article 10 A chief risk officer shall keep confidential the futures company's business secrets and clients' information.
| | 第十条 首席风险官应当保守期货公司的商业秘密和客户信息。
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Article 11 A chief risk officer shall reject any command or instruction that may impair the clients' or the futures company's legitimate rights and interests. Where necessary, he shall timely report it to the institution dispatched by the CSRC to the place where the company is located.
| | 第十一条 首席风险官对于侵害客户和期货公司合法权益的指令或者授意应当予以拒绝；必要时，应当及时向公司住所地中国证监会派出机构报告。
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Article 12 A chief risk officer shall prepare and keep the working papers and records so as to genuinely and fully reflect his performance of duties.
The working papers and records shall be preserved for at least 20 years.
| | 第十二条 首席风险官开展工作应当制作并保留工作底稿和工作记录，真实、充分地反映其履行职责情况。
工作底稿和工作记录应当至少保存20年。
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Article 13 No chief risk officer may
| | 第十三条 首席风险官不得有下列行为：
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(1) leave his post without approval, fail to perform his duties without any justifiable reason or authorize others to perform the duties in his stead;
| | （一）擅离职守，无故不履行职责或者授权他人代为履行职责；
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(2) concurrently hold any post other than the person-in-charge of the compliance department in the futures company or engage in activities that may affect his independent performance of his duties;
| | （二）在期货公司兼任除合规部门负责人以外的其他职务，或者从事可能影响其独立履行职责的活动；
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(3) fail to report, delay the report or make a false report about the violations or serious hidden risks in the business management;
| | （三）对期货公司经营管理中存在的违法违规行为或者重大风险隐患知情不报、拖延报告或者作虚假报告；
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(4) seek private benefits by taking the advantage of his position;
| | （四）利用职务之便牟取私利；
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(5) abuse his power, interfere with the normal operation of the futures company;
| | （五）滥用职权，干预期货公司正常经营；
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(6) impair the legitimate rights and interests of the futures company or clients as a result of his divulgence of the futures company's secrets or clients' information to a third party irrelevant to the performance of his duties;
．．．．．． | | （六）向与履职无关的第三方泄露期货公司秘密或者客户信息，损害期货公司或者客户的合法权益；
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