關(guān)于修訂《期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案操作說明》的通知
關(guān)于修訂《期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案操作說明》的通知
鄭商函〔2023〕724號
根據(jù)《取消外國公文書認(rèn)證要求的公約》（亦稱“海牙公約”，以下簡稱《公約》）相關(guān)規(guī)定，對《期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案操作說明》（以下簡稱《操作說明》）進(jìn)行修訂。主要修訂內(nèi)容為：《公約》締約國所屬境外經(jīng)紀(jì)機(jī)構(gòu)申請委托業(yè)務(wù)備案時(shí)，機(jī)構(gòu)合法成立并持續(xù)經(jīng)營1年以上的證明文件可提交所屬國指定主管機(jī)關(guān)出具的附加證明書代替認(rèn)證；非締約國所屬境外經(jīng)紀(jì)機(jī)構(gòu)業(yè)務(wù)備案繼續(xù)適用現(xiàn)行認(rèn)證規(guī)定。
《操作說明》修訂事項(xiàng)于2023年11月7日《公約》生效后實(shí)施。
請各會員單位按照要求做好境外經(jīng)紀(jì)機(jī)構(gòu)備案業(yè)務(wù)申報(bào)工作。
感謝對鄭商所工作的理解和支持！
特此通知。
聯(lián) 系 人：劉向中 0371-6561055015803711989
孫颯颯 0371-65610392 18137166588
聯(lián)系郵箱：huiyuanbu@czce.com.cn
郵寄地址：河南省鄭州市鄭東新區(qū)商務(wù)外環(huán)路30號期貨大廈 會員管理部（收）
鄭州商品交易所
2023年9月26日
期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案操作說明
根據(jù)《境外交易者和境外經(jīng)紀(jì)機(jī)構(gòu)從事境內(nèi)特定品種期貨交易管理暫行辦法》《期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托開展期貨交易業(yè)務(wù)管理辦法》等規(guī)則的要求，鄭州商品交易所制定了期貨公司會員接受境外經(jīng)紀(jì)機(jī)構(gòu)委托開展期貨交易業(yè)務(wù)的備案業(yè)務(wù)操作流程和材料清單。請各期貨公司會員按照相關(guān)要求辦理備案業(yè)務(wù)。
附件1
業(yè)務(wù)流程
附件2
境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案材料清單
Checklistfor Futures Brokerage Members Filing for Overseas Brokers
材料序號 NO.
| 材料清單 Checklist of Documents | 說明 Explanation | 公司確認(rèn)（包含請打√） Confirmed by the applicant (“√”) |
1 | 備案說明（附件1），境外經(jīng)紀(jì)機(jī)構(gòu)備案申請表（附件2）。 A filing statement (Appendix 2-1); Filing Form (Appendix 2-2) for Futures Brokerage Membersfiling forOverseas Brokers; | 備案說明需經(jīng)有權(quán)簽署人簽字。 The filing statement should be signed by the person entitled to sign. | |
境外經(jīng)紀(jì)機(jī)構(gòu)期貨業(yè)務(wù)負(fù)責(zé)人和期貨業(yè)務(wù)風(fēng)控負(fù)責(zé)人的護(hù)照或鄭商所認(rèn)可的其他有效身份證明復(fù)印件、簡歷（附件3）及簽名印鑒卡（附件4）。 Copies of passports or other valid IDs accepted by the Exchange, resumes (Appendix 3) and specimensignatures(Appendix 4) of the person-in-charge of futures business and the chief risk control officer for futures business in the overseas broker; | 有效身份證明文件以其境外的官方語言為準(zhǔn)，律所或政府相關(guān)機(jī)構(gòu)認(rèn)證的中文翻譯為輔。 Valid IDs in the official language of the country (region) where the overseas broker is located shall prevail, whereas the Chinese versions certified by a law firm or relevant government authority shall be taken for reference. | ||
經(jīng)公證和依法認(rèn)證的境外經(jīng)紀(jì)機(jī)構(gòu)合法成立并持續(xù)經(jīng)營1年以上的證明文件，如《公司注冊證》等。 Notarized and legally certified documentson the legal incorporation and continuous operation for over than one(1) year of the Overseas Broker, such as a copy ofCertificate of Incorporation. | 1）公證：經(jīng)申請者所在國家（地區(qū)）公證機(jī)構(gòu)出具證明。認(rèn)證：經(jīng)中國駐該國（地區(qū)）使領(lǐng)館出具證明。 中國締結(jié)或者參加的國際公約、雙邊條約另有規(guī)定的，按規(guī)定內(nèi)容執(zhí)行。 《取消外國公文書認(rèn)證要求的公約》（以下簡稱《公約》）締約國：先經(jīng)申請者所在《公約》締約國公證機(jī)構(gòu)公證，再經(jīng)主管機(jī)關(guān)簽發(fā)符合《公約》規(guī)定的附加證明書。 中國香港/澳門地區(qū)：先通過委托公證人出具有關(guān)公證文書，再將該文書經(jīng)中國法律服務(wù)（香港/澳門）有限公司審核并加蓋轉(zhuǎn)遞章轉(zhuǎn)遞； 中國臺灣地區(qū)：先經(jīng)臺灣當(dāng)?shù)毓C機(jī)構(gòu)公證，再經(jīng)海基會將公證書副本轉(zhuǎn)寄境內(nèi)中國公證員協(xié)會或有關(guān)省、自治區(qū)、直轄市公證員協(xié)會。 1) Notarization shall be issued by the notary public office(s) of the country (region) where the Overseas Brokers located; and certification shall be issued by the Chinese embassy or consulate in the country (region) where the overseas broker is located. If any provisions in bilateral treaties or international conventions concluded or acceded to by China provide otherwise, such provisions shall prevail. Contracting Parties to the Convention Abolishing the Requirement of Legalisation for Foreign Public Documents (hereinafter the Convention): Documents shall be notarized at a notarypublic office of the Contracting Party where the Overseas Brokeris located; and certification conforming to the Convention(i.e. Apostille) shall be issued by the Competent Authorityofthe Contracting Party where the overseas broker is located. Hong Kong: Documents shall first be attested by a China-Appointed Attesting Officer (H.K.), and then be sent to the “China Legal Service (H.K.) Limited” for “Sealing and Transfer Delivery”; Macau: Documents shall first be attested by a China-Appointed Attesting Officer(Macau), and then be sent to the “China Legal Service (Macau) Limited” for “Sealing and Transfer Delivery”; Taiwan: Documents shall first be notarized at a Taiwan notary, and then be transferred to the China Notary Association through the Strait Exchange Foundation (SEF) or the notary associations in relevant provinces, autonomous regions or municipalities directly under the Central Government. 2）若原文件非中文版本，申請人需提供原件復(fù)印件與中文翻譯件。并需簽名蓋章保證翻譯內(nèi)容真實(shí)、準(zhǔn)確。 If the original documents are in otherlanguage than Chinese, the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange. The translation versions shall be signed and/or sealed to guarantee they are true and accurate. | ||
經(jīng)公證的境外經(jīng)紀(jì)機(jī)構(gòu)具有所在國（地區(qū)）期貨經(jīng)紀(jì)資格的證明文件，如《期貨經(jīng)紀(jì)業(yè)務(wù)許可證》。 Notarized documents proving that the overseas broker has a brokerage license in the country (region) where it is located, such as Futures Brokerage Business License; | 1）若原文件非中文版本，申請人需提供原件復(fù)印件與中文翻譯件。并需簽名蓋章保證翻譯內(nèi)容真實(shí)、準(zhǔn)確。 If the original documents are in otherlanguage than Chinese，the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange. The translation versions shall be signed and/or sealed to guarantee they are true and accurate. 2）如交易所可通過便捷、權(quán)威渠道查詢，可不再要求進(jìn)行公證。 If the Exchange can check the documents through convenient and authoritative ways, the documents may not be required for notarization. | ||
5 | 期貨公司會員委托業(yè)務(wù)制度、內(nèi)部控制制度和風(fēng)險(xiǎn)管理制度的材料。 Policies of the appointment business, internal controland risk management of the Futures Brokerage Member; | 若原文件非中文版本，申請人需提供中文摘要說明以及完整英文版本文件。 If the original documents are in other language than Chinese,the applicant shallsubmit the whole set of documents in English together with the Chinese abstracts. | |
6 | 承諾函（模板見附件5） 內(nèi)容包括境外經(jīng)紀(jì)機(jī)構(gòu)具有健全的治理機(jī)構(gòu)（應(yīng)至少具備含有合規(guī)和首席風(fēng)險(xiǎn)官等職務(wù)的經(jīng)營管理層結(jié)構(gòu)、公司股東權(quán)利義務(wù)規(guī)定、費(fèi)用及利潤分配制度、公司破產(chǎn)清算程序、管轄法律和爭議的解決辦法）和完善的內(nèi)部控制制度（應(yīng)至少包括組織結(jié)構(gòu)、業(yè)務(wù)、資金管理、清算系統(tǒng)、會計(jì)系統(tǒng)、信息技術(shù)系統(tǒng)、人力資源、內(nèi)部稽核、合規(guī)和反洗錢的內(nèi)部控制管理辦法），經(jīng)營行為規(guī)范（至少應(yīng)包括交易業(yè)務(wù)、結(jié)算業(yè)務(wù)、風(fēng)險(xiǎn)管理、投資者權(quán)益保護(hù)、檔案管理、公司崗位責(zé)任、信息公示和從業(yè)資格的制度規(guī)范），以及其業(yè)務(wù)設(shè)施和技術(shù)系統(tǒng)符合相關(guān)技術(shù)規(guī)范且運(yùn)行狀況良好。 A letter of commitment(Appendix 2-5), in which the overseas broker shall undertake that it has a sound corporate governance structure (including but not limited to a management team with compliance and chief risk control officer, rights and obligations of its shareholders, rules on expenditure and profit distribution, bankruptcy liquidation procedures, governing laws and dispute resolutions), a complete internal control system (including but not limited to internal rules on corporate structure, business scope, funds management, clearing system, accounting system, IT system, human resource, internal auditing, compliance and anti-money laundering), code of conduct for business operation (including but not limited to rules on trading, clearing, risk control, investor protection, archives management, duties and responsibilities, information disclosure and futures business qualification), as well as its business facilities and IT infrastructure conforming to the relevant technical standards and in sound operation; | 經(jīng)鄭商所認(rèn)定的必要情況，需提供相應(yīng)的補(bǔ)充證明材料。 Supporting documents shall be provided if the Exchangedeems necessary. | |
境外經(jīng)紀(jì)機(jī)構(gòu)凈資本不低于3000萬元人民幣或等值外幣的證明文件。 Supporting documentson the Overseas Broker’s net capital of no less than CNY 30million (￥30,000,000) or an equivalent amount in foreign currency. | 1）公司最近期的財(cái)務(wù)報(bào)表或其他來源，匯率以備案當(dāng)日中國人民銀行公布的銀行間外匯市場人民幣匯率中間價(jià)為準(zhǔn)。 1) Latest financial statement or other sources. The exchange rate is subject to the RMB central parity rate of the inter-bank foreign exchange market published by the People’s Bank of China on the date of filing. 2）若原文件非中文版本，申請人需提供原件復(fù)印件與中文翻譯件。并需簽名蓋章保證翻譯內(nèi)容真實(shí)、準(zhǔn)確。 2) If the original documents are in other language than Chinese, the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange.The translation versions shall be signed and/or sealed to guarantee they are true and accurate. 3）提供由中國境內(nèi)或境外具有證券（期貨）資格會計(jì)師事務(wù)所審計(jì)，計(jì)算標(biāo)準(zhǔn)符合中國證監(jiān)會相關(guān)要求的證明材料或者提供由境外經(jīng)紀(jì)機(jī)構(gòu)以經(jīng)審計(jì)的財(cái)務(wù)報(bào)告中凈資產(chǎn)數(shù)據(jù)為基礎(chǔ)的內(nèi)部測算文件及承諾書。 3）Providethe certification audited by the securities qualification accounting firm within the territory of China or overseas, and the calculation standards meet the relevant requirements of the China Securities Regulatory Commission（CSRC）. OR，provide a letter of commitment and internal measurement documents by oversea brokers. The calculation should bebased on net assets reported in audited financial reports and standardsmeet the relevant requirements of the China Securities Regulatory Commission（CSRC）. | ||
8 | 境外經(jīng)紀(jì)機(jī)構(gòu)與期貨公司會員簽訂的委托協(xié)議。 Anappointment agreement between the Futures Brokerage Member and Overseas Broker. | ||
9 | 涉及委托授權(quán)簽署人簽字的應(yīng)提供授權(quán)委托書。 Powers of Attorney (POA) where documents are signed by the person authorized to sign. | 1）授權(quán)委托書應(yīng)體現(xiàn)授權(quán)委托人辦理境外經(jīng)紀(jì)機(jī)構(gòu)備案等事宜。 The POA should reflect the authorization from the principal for agent to manage the filing of the the overseas broker. 2）若原文件非中文版本，申請人需提供原件復(fù)印件與中文翻譯件。 2）If the original POA is in other language than Chinese, the applicant shall provide the Chinese translation version together with the copy of original POA tothe Exchange. | |
10 | 鄭商所或申請人認(rèn)為需要提供的其他材料。 Any other document the Exchangeor the applicant deems necessary. | ||
11 | 等效備案申請材料。 Application documents of equal force. | 1）在中華人民共和國境內(nèi)其他期貨交易所（交易中心）已完成委托業(yè)務(wù)備案、且相關(guān)材料正本滿足鄭商所材料要求并已提交至上述期貨交易所（交易中心）的，可由其受托期貨公司會員提供加蓋印章的相關(guān)材料復(fù)印件和備案結(jié)果證明，經(jīng)鄭商所審核后、可以認(rèn)定其與正本具有同等效力。其他材料仍需按上述要求提供正本。 1)For the Overseas Broker that have already completed the filing for the appointment business with other futures exchange(s) or future venue(s) within the territory of the People’s Republic of China, and relevant original documents have already been submitted to the abovementioned futures exchange(s) or future venue(s), as an alternative method, the appointed Futures Brokerage Member can submit the copies of relevant documents with its official stamp and supporting documents on filing result. After reviewed by the Exchange, the copies can be deemed to have equal force with the original documents. For other documents, their originals shall be provided according to the abovementioned requirements. 2）上述等效材料是指：材料2（簽名印鑒卡除外），材料3，材料4，材料7（需滿足最近期要求），以及鄭商所認(rèn)可的其他材料。 2) Relevant documents of equal force refer to documents NO.2(except for specimensignatures), NO. 3, NO.4 and NO.7(meet the most recently requirements), and other documents approved by the Exchange. | |
12 | 申請材料的電子光盤。包括所有前述書面申請材料的電子文檔（word版和用印版pdf格式，文檔名的編寫規(guī)則為“材料名稱（XXX公司）”，電子光盤封面模版見附件6），并與紙質(zhì)材料一并以郵寄方式發(fā)送至鄭商所1。若紙質(zhì)申請材料與電子文檔有出入，鄭商所將以紙質(zhì)申請材料為準(zhǔn)。 An electronic CD storing all application documents(in WORD format and stamped documents in PDF format. Each file shall be named as “Document Name (XXX company)”. See Appendix 6for the template of the CD cover),which shall be posted to the Exchangetogether with paper documents. In the event of any discrepancy, the paper application documents shall prevail. |
注 Note：
1.表格中加粗內(nèi)容為此次修訂內(nèi)容。
The bold content in the form is the revised version.
2.以上所有書面材料中，單頁文件加蓋公章或簽名；多頁文件首頁、尾頁加蓋公章或簽名，并加蓋騎縫章或簽名。
All single-page documents must be sealed or signed. All multi-page documents must be affixed with official seals or signed on the first and last pages, and must be cross-page sealed or signed。
3.除鄭商所認(rèn)可的情形外，書面材料均應(yīng)當(dāng)有中文版本，并以中文版本為準(zhǔn)（人名、機(jī)構(gòu)名和地址除外）。
Unless otherwise recognized by the Exchange, each application document submitted to the Exchange shall have a corresponding Chinese version, except for the addresses and the names of persons or entities. In the event of any discrepancy, the Chinese version shall prevail.
4.除提交上述書面申請材料的紙質(zhì)版和電子文檔外，會員還需在鄭商所會員服務(wù)系統(tǒng)上填寫備案相關(guān)信息。
In addition to submitting the abovementioned application documents in paper and digital file format, the futures brokerage member also have to complete the online filing information in the Exchange’s member service system.
5.為提高備案效率，期貨公司會員在報(bào)送申請材料紙質(zhì)版前，可與鄭商所業(yè)務(wù)人員預(yù)溝通相關(guān)材料信息。
In order to improve the efficiency of filing, the Future Brokerage Members can communicate with the Exchange about the application documents before posting the paper copy.
Appendix1:
境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案說明
Filing Statement of Futures Brokerage Members’ Appointment Businessfor Overseas Broker
鄭州商品交易所：
Zhengzhou Commodity Exchange,
本公司________________（期貨公司名稱）已根據(jù)鄭州商品交易所（以下簡稱“鄭商所”）業(yè)務(wù)規(guī)則對境外經(jīng)紀(jì)機(jī)構(gòu)的要求，核準(zhǔn)了_____________（境外經(jīng)紀(jì)機(jī)構(gòu)名稱），并與其簽訂了委托協(xié)議。________________（境外經(jīng)紀(jì)機(jī)構(gòu)名稱）將其客戶參與鄭商所特定品種期貨交易業(yè)務(wù)委托給本公司執(zhí)行。
In accordance with the requirements on Overseas Brokers as prescribed by Zhengzhou Commodity Exchange (hereinafter “the Exchange”), our company______________ (Futures Brokerage Member’s Name) has entered into an appointment agreement with ____________ (Overseas Broker’s Name), under which _________________ (Overseas Broker’s Name) authorizes its clients’ trading orders of the specified futures contracts listed on the Exchange to our company for execution.
本公司現(xiàn)就接受_____________（境外經(jīng)紀(jì)機(jī)構(gòu)名稱）的委托業(yè)務(wù)向鄭商所申請備案。
We are now filing the appointmentbusiness for(Overseas Broker’s Name) to the Exchange.
本公司已根據(jù)章程要求，完成本次備案所需的內(nèi)部程序。本公司承諾我公司處于正常運(yùn)營狀態(tài)，具有良好的運(yùn)營能力、誠信狀況和社會聲譽(yù)。本公司承認(rèn)并遵守法律、行政法規(guī)、規(guī)章和鄭商所業(yè)務(wù)規(guī)則及各項(xiàng)規(guī)定和決定，保證我公司經(jīng)營和經(jīng)紀(jì)業(yè)務(wù)持續(xù)符合鄭商所交易規(guī)則要求的交易業(yè)務(wù)資格條件。申請材料真實(shí)、準(zhǔn)確、完整、合規(guī)，不包含虛假或者誤導(dǎo)性陳述，并將按照規(guī)定辦理相關(guān)手續(xù)。
We have gone through all the internal procedures for filing required by the Exchange in accordance with the Articles of Association of our company. We hereby certify that we are operating normally with sound operational capacity, and are of good credit standing and reputation. We hereby acknowledge and covenant to abide by the laws, administrative laws and regulations, regulations and the Exchange’s business rules, provisions and decisions, and guarantee that the operation condition and brokerage business of our company will always satisfy the requirements as prescribed in the Trading Rules ofthe Exchange. All application documents are true, accurate, complete, valid with provisions and without any fraudulent or misleading statement. We will go through relevant formalities in accordance with relevant requirements.
已在境內(nèi)其他期貨交易所或者其他交易場所（交易中心）完成委托業(yè)務(wù)備案的，請?zhí)顚懸韵滦畔ⅲ?/span>
本公司聲明，該境外經(jīng)紀(jì)機(jī)構(gòu)已經(jīng)在____________（境內(nèi)其他期貨交易所或者其他交易場所<交易中心>名稱）完成相關(guān)委托業(yè)務(wù)備案，備案號________。本公司保證所提交的等效備案材料復(fù)印件真實(shí)、完整。
We hereby certify that this overseas broker has already completed the filing for the relevant appointment business at ____________(Name of other futures exchange(s) or trading venue(s) within the territory of the People’s Republic of China) with the filing number ________, and we hereby certify that the submitted copies of the filing documents are true and complete.
法定代表人或授權(quán)代表人（簽章）：
Legal Representative or Authorized Representative (signature/seal):
公司（蓋章）：
Seal of Company:
年 月 日
(YYYY/MM/DD)
Appendix 2:
境外經(jīng)紀(jì)機(jī)構(gòu)委托業(yè)務(wù)備案申請表
Filing Formof Futures Brokerage Members’ AppointmentBusiness for Overseas Broker
一、基本信息
1. Basic Information
期貨公司會員Futures Brokerage Member | |||||||
中文名稱 Chinese Name | |||||||
中文簡稱 Abbreviation for Chinese Name | |||||||
會員號 Membership No. | |||||||
境外經(jīng)紀(jì)機(jī)構(gòu)Overseas Broker | |||||||
英文名稱 English Name | |||||||
中文名稱 Chinese Name | |||||||
英文簡稱 Abbreviation for English Name | |||||||
中文簡稱 Abbreviation for Chinese Name | |||||||
公司注冊證編號 Certificate of IncorporationNo. | |||||||
納稅號(如有) Tax ID No. (if any) | |||||||
注冊資本 Registered Capital | 注冊資本幣種 Currency of Registered Capital | ||||||
注冊生效日期 Date ofCommencement | YYYY/MM/DD | 注冊到期日期 Date of Expiry | YYYY/MM/DD | ||||
英文注冊地址 English Registration Address | |||||||
中文注冊地址 Chinese Registration Address | |||||||
英文聯(lián)系地址 English Mailing Address | |||||||
中文聯(lián)系地址 Chinese Mailing Address | |||||||
聯(lián)系電話 Tel. | (+country code)-area code-XXXXXXXX | ||||||
期貨經(jīng)紀(jì)業(yè)務(wù) 資格名稱 Name of Futures Brokerage Business License | 請以中文為主。若無有效中文名稱，請?zhí)峁┯⑽男畔?/span> | ||||||
發(fā)牌國家(地區(qū)) Issuing Country/Region | 請以中文為主 | 發(fā)牌日期 Date of Issue | |||||
發(fā)牌機(jī)構(gòu) Issuing Authority | 請以中文為主 | 編號 License No. | |||||
發(fā)牌國（地區(qū))期貨監(jiān)管機(jī)構(gòu)是否已與中國證監(jiān)會簽訂監(jiān)管合作諒解備忘錄?2 Has the futures regulatory authority of the issuingcountry/region signed a memorandum of understanding on supervisory cooperation with the China Securities Regulatory Commission? 2 | □是/Yes □否/No | ||||||
委托協(xié)議 Appointment Agreement | |||||||
簽訂日期 Date of Signing | |||||||
最低保證金標(biāo)準(zhǔn) Minimum Margin Rate | |||||||
手續(xù)費(fèi)標(biāo)準(zhǔn) Service Fee Rate | |||||||
境外經(jīng)紀(jì)機(jī)構(gòu)是否在委托業(yè)務(wù)協(xié)議中承諾從事境內(nèi)期貨相關(guān)業(yè)務(wù)活動時(shí)，遵守中國法律、行政法規(guī)、行政規(guī)章和鄭商所業(yè)務(wù)規(guī)則及各項(xiàng)規(guī)定和決定，且不損害客戶和市場其他參與者的合法權(quán)益？ Has the Overseas Broker undertaken in the appointment agreement that it will comply with the PRC laws, administrative regulations and ministerial rules, business rules and each of the provisions and decisions of the Exchange, and it will not infringe any lawful rights and interests of its Clients and other participants in the market, when it carries out futures related business in the PRC？ | □是/Yes □否/No | ||||||
二、境外經(jīng)紀(jì)機(jī)構(gòu)公司簡介，應(yīng)包括公司規(guī)模、經(jīng)營范圍、行業(yè)經(jīng)驗(yàn)等
2. Introduction of the Overseas Broker, which shall include company scale, business scope, industry experience, etc.
Appendix3: Resume Template of Management Personnel of Futures Business
境外經(jīng)紀(jì)機(jī)構(gòu)期貨業(yè)務(wù)負(fù)責(zé)人簡歷
Resume Template of Person-in-Charge of Futures Business
of Overseas Broker
公司名稱 Company Name | |||
稱謂 Title | 先生 Mr. 女士 Ms. | 照片/Photo | |
名 First Name | |||
姓 Family Name | |||
國籍 Nationality | |||
聯(lián)系地址 Mailing Address | |||
郵政編碼 Postal Code | 電話 Tel. | ||
電子郵箱 Email Address | 傳真 Fax No. | ||
護(hù)照號碼 Passport No. | 到期日期 Date of Expiry | ||
如您有其他證件，請列出證件名稱、證件號、到期日期（包括：社?？?、納稅號、身份證、居住證） If you have other ID certificates , including Social Security Card, Tax Payer ID, Personal ID or Residence Permit), please list the name, number, and date of expiry of the certificate.
| |||
請按時(shí)間倒序描述您的從業(yè)經(jīng)歷(包括在職時(shí)間、崗位及工作內(nèi)容) Please describe your professional experience in reverse chronological order (including time in position, position and job description)
| |||
境外經(jīng)紀(jì)機(jī)構(gòu)期貨業(yè)務(wù)風(fēng)控負(fù)責(zé)人簡歷
Resume Template of Chief Risk Control Officerof Overseas Broker
公司名稱 CompanyName | |||
稱謂 Title | 先生 Mr. □女士 Ms.□ | 照片/Photo | |
名 First Name | |||
姓 Family Name | |||
國籍 Nationality | |||
聯(lián)系地址 MailingAddress | |||
郵政編碼 Postal Code | 電話 Tel. | ||
電子郵箱 Email Address | 傳真 Fax No. | ||
護(hù)照號碼 Passport No. | 到期日期 Date of Expiry | ||
如您有其他證件，請列出證件名稱、證件號、到期日期（包括：社?？?、納稅號、身份證、居住證） If you have other ID certificates , including Social Security Card, Tax Payer ID, Personal ID or Residence Permit), please list the name, number, and date of expiry of the certificate.
| |||
請按時(shí)間倒序描述您的從業(yè)經(jīng)歷(包括在職時(shí)間、崗位及工作內(nèi)容) Please describe your professional experience in reverse chronological order (including time in position, position and job description)
| |||
附件4：印鑒卡
Appendix 4: Signature specimen template
鄭州商品交易所印鑒卡
Specimen Signature at Zhengzhou Commodity Exchange
公司名稱 Company Name | 聯(lián)系電話 Tel.
| ||||||
職位3 Position6 | 姓名 Full Name | 預(yù)留簽名 Specimen Signature | |||||
首席執(zhí)行官 CEO | |||||||
期貨業(yè)務(wù)負(fù)責(zé)人 Person-in-charge of Futures Business | |||||||
期貨業(yè)務(wù)風(fēng)控負(fù)責(zé)人 Chief Risk Control Officer | |||||||
授權(quán)簽署人 Authorized Signatory | |||||||
Filled in by the Exchange | 接收日期 Date Received | 注銷日期 Date Cancelled | 經(jīng)辦人 Operator | 復(fù)核人 Reviewer | |||
Appendix 5:
承 諾 函
Letter of Commitment
鄭州商品交易所：
Zhengzhou Commodity Exchange:
本公司與（期貨公司會員名稱）簽訂了委托業(yè)務(wù)協(xié)議，將我司客戶參與鄭州商品交易所特定品種期貨交易業(yè)務(wù)委托給（期貨公司會員名稱）執(zhí)行。本公司承認(rèn)并遵守中國法律、行政法規(guī)、規(guī)章和鄭州商品交易所業(yè)務(wù)規(guī)則及各項(xiàng)規(guī)定和決定，確保公司經(jīng)營持續(xù)符合業(yè)務(wù)資格條件。
Our company has entered into an appointment agreement with(Name of Futures Brokerage Member), under which we appoint the(Name of Futures Brokerage Member) to undertake the business of our clients’ participation in the trading of specified futures products listed on Zhengzhou Commodity Exchange. We hereby acknowledge and covenant to abide by the PRC laws, administrative regulations, ministerial rules and the business rules, provisions and decisions of Zhengzhou Commodity Exchange, and guarantee that the operation condition of our company will always satisfy the requirements on business qualification.
本公司承諾公司具有健全的治理機(jī)構(gòu)（具備含有合規(guī)業(yè)務(wù)負(fù)責(zé)人和首席風(fēng)險(xiǎn)官等職務(wù)的經(jīng)營管理層結(jié)構(gòu)、公司股東權(quán)利義務(wù)規(guī)定、費(fèi)用及利潤分配制度、公司破產(chǎn)清算程序、管轄法律和爭議的解決辦法）和完善的內(nèi)部控制制度（包括組織結(jié)構(gòu)、業(yè)務(wù)、資金管理、清算系統(tǒng)、會計(jì)系統(tǒng)、信息技術(shù)系統(tǒng)、人力資源、內(nèi)部稽核、合規(guī)和反洗錢的內(nèi)部控制管理辦法），經(jīng)營行為規(guī)范（包括交易業(yè)務(wù)、結(jié)算業(yè)務(wù)、風(fēng)險(xiǎn)管理、投資者權(quán)益保護(hù)、檔案管理、公司崗位責(zé)任、信息公示和從業(yè)資格的制度規(guī)范），業(yè)務(wù)設(shè)施和技術(shù)系統(tǒng)符合相關(guān)技術(shù)規(guī)范且運(yùn)行狀況良好。
We hereby promise that our company is an organization with sound governance structure (including an organization structure equipped with positions of compliance officer and chief risk control officer, provisions on rights and obligations of shareholders, allocation system of expenses and profits, procedures for bankruptcy liquidation, applicable laws and dispute settlement arrangement),sound internal control system (including management measures on organization structure, business operation, capital management, clearing system, accounting system, information technology system, human resources, internal review, legal compliance and anti-money laundering), standard requirements on operation conduct (including those on trading, clearing, risk management, investor rights protection, archives management, job responsibilities, information disclosure and professional qualification of personnel)，business facilities and technological systems which satisfy relevant requirements and in good operation conditions.
我們將嚴(yán)格遵守本承諾，如有違反，愿意承擔(dān)相應(yīng)的法律責(zé)任。
We hereby promise to strictly honor this commitment and are willing to assume legal responsibilities in case there is any breach of the commitment.
特此承諾。
法定代表人或授權(quán)代表人（簽章）：
Legal Representative or Authorized Representative (signature/seal):
單位蓋章：
Seal of the Commitment Company:
年 月 日
YYYYMMDD
Appendix 6:
電子光盤封面模版
Template for CD cover
請?zhí)顚懴卤韮?nèi)容，按虛線裁剪后，插入光盤盒子的正面。
Please fill in the following form, cut it along the dotted line and insert it into the front side of the CD box.
鄭州商品交易所境外經(jīng)紀(jì)機(jī)構(gòu)備案資料 Documents of Futures Brokerage MembersFiling forOverseas Broker of Zhengzhou Commodity Exchange
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2中國證監(jiān)會與境外監(jiān)管機(jī)構(gòu)簽署的備忘錄一覽表
http://www.csrc.gov.cn/pub/newsite/gjb/jghz/
MOUs signed between CSRC and overseas financial regulatory authorities: http://www.csrc.gov.cn/pub/csrc_en/affairs/Cooperation/
3如不適用，請?jiān)诳崭裰袠?biāo)注
Please cross out the space if not applicable.
