期貨經紀公司治理準則（試行）CIRCULARISSUEDBYCHINASECURITIESREGULATORYCOMMISSIONONADMINISTRATIVERULESOFFUTURESBROKERAGECOMPANYFORTRIALIMPLEMENTFORTHEPURPOSEOFMOVINGFORWARDTHEFUTURESBROKERAGECOMPANYTOFURTHERIMPROVEADMINISTRATIONFORCOMPANY，WHILEPROMOTINGITTOOPERATEINASAFE，STEADYANDHIGHLYEFFICIENTWAY，PRESERVINGLEGALRIGHTSANDINTERESTSOFSHAREHOLDERS，FUTURESINVESTORSANDOTHERPERSONSWITHRELATEDINTERESTS，THESAIDRULESWEREFORMULATEDANDPROMULGATEDBYTHECOMMISSION，SHALLBEFOLLOWEDANDAPPLIEDCHINASECURITIESREGULATORYCOMMISSIONMARCH10，2004ADMINISTRATIVERULESOFFUTURESBROKERAGECOMPANY（FORTRIALIMPLEMENT）CHAPTER1GENERALPROVISIONSARTICLE1FORTHEPURPOSEOFADVANCINGFUTURESBROKERAGECOMPANYTOFURTHERIMPROVETHEADMINISTRATIONOFCOMPANY，ESTABLISHINGANDIMPROVINGMODERNENTERPRISESYSTEM，PROMOTINGFUTURESBROKERAGECOMPANYTOOPERATEINANORMATIVE，STEADYWAYACCORDINGTOLAW，PRESERVETHEINTERESTSOFINVESTORANDTHEPUBLIC，FURTHERSTANDARDIZETHEDEVELOPMENTOFFUTURESMARKET，THERULESAREFORMULATEDINACCORDANCEWITHCOMPANYLAWOFTHEPEOPLESREPUBLICOFCHINA，THEINTERIMADMINISTRATIONPROVISIONSFORFUTURESTRADEANDRELATEDPROVISIONSOFOTHERLAWANDREGULATIONSARTICLE2FORTHEPURPOSEOFTHERULES，THETERM“COMPANYADMINISTRATION”REFERSTOTHEORGANIZATIONSTRUCTURETHATTAKESTHEBOARDOFSHAREHOLDERS，BOARDOFDIRECTORS，BOARDOFSUPERVISORS（ORSUPERVISOR），ANDMANAGERLEVELSASMAINBODY，ASWELLTHESYSTEMARRANGETHATENSUREEFFECTEDOPERATIONANDMUTUALCHECKANDBALANCEOFTHEINNERORGANS，ANDRELATEDDECISIONMAKING，MOTIVATIONANDRESTRAINTSYSTEMARTICLE3THEFUTURESBROKERAGECOMPANYSHALL，WHILEIMPROVINGTHECOMPANYADMINISTRATION，OBSERVETHEFOLLOWINGBASICPRINCIPLES（1）TOSTRENGTHENCHECKBALANCESYSTEMTHEFUTURESBROKERAGECOMPANYSHALLFURTHERIMPROVETHECONSULTATIONSYSTEMANDDECISIONMAKINGPROCEDUREOFTHEBOARDOFSHAREHOLDERS，BOARDOFDIRECTORS，BOARDOFSUPERVISORS（ORSUPERVISOR），ANDMANAGERLEVELS，MAKEITMOREDEFINITE，DETAILEDANDWORKABLE，ANDENSURETHATTHEABOVEMENTIONEDORGANSCOULDFULFILLRESPECTFULFUNCTIONANDDUTYCOMPLETELY（2）TOAUGMENTTHERISKCONTROLWITHTHEFUTURESBROKERAGEBUSINESSTHEFUTURESBROKERAGECOMPANYSHALL，ONTHEBASISOFFOLLOWINGTHEBASICREQUESTOFLAWOFCOMPANY，REVOLVEAROUNDTHEFUTURESBROKERAGEBUSINESS，MAKEITREASONABLETODEFINECLEARLYTHEFUNCTIONANDPOWERSOFTHEBOARDOFSHAREHOLDERS，BOARDOFDIRECTORS，BOARDOFSUPERVISORS（ORSUPERVISOR），ANDMANAGERLEVELS，IMPROVEINNERADMINISTRATIONSYSTEM，TOSTRENGTHENCAPACITYOFTHECOMPANYONINNERCONTROLANDRISKPREVENTION（3）TOPRESERVEALLSHAREHOLDERSWITHEQUALSTATUSANDRIGHTS，EMPHASIZETHECREDITDUTYOFSHAREHOLDERSTHEFUTURESBROKERAGECOMPANYSHALLENSURELEGITIMATERIGHTSANDINTERESTSOFNONHOLDINGSHAREHOLDERSINSYSTEM，EMPHASIZETHECREDITDUTYOFALLSHAREHOLDERS，RESTRAINTHEHOLDINGSHAREHOLDERSTODAMAGETHEINTERESTSOFTHEFUTURESBROKERAGECOMPANYANDOTHERSHAREHOLDERS；AND（4）TOIMPROVETHEMOTIVATIONANDRESTRAINTSYSTEMTHEFUTURESBROKERAGECOMPANYSHALLESTABLISHMOREREASONABLEMOTIVATIONANDRESTRAINTSYSTEM，CREATETHECOMPANYCULTUREWITHNORMATIVEBUSINESSOPERATIONANDPOSITIVEPROGRESS，PROMOTETHEFUTURESBROKERAGECOMPANYTOOPERATEINAHIGHLYEFFICIENTANDSTEADYWAYARTICLE4THEFUTURESBROKERAGECOMPANYESTABLISHEDINACCORDANCEWITHLAWWITHINTHETERRITORYOFCHINASHALLBEGOVERNEDBYTHISRULETHEFUTURESBROKERAGECOMPANYSHALL，INACCORDANCEWITHTHEREQUESTOFTHISRULES，REVISETHECONSTITUTIONOFCOMPANY，IMPROVETHEESTABLISHMENTOFINNERORGANSINCOMPANY，FORMULATE，REVISEANDPRACTICERELATEDADMINISTRATIONSYSTEM，FURTHERIMPROVETHEADMINISTRATIVELEVELSFORCOMPANYCHAPTER2SHAREHOLDERANDBOARDOFSHAREHOLDERSARTICLE5THEFUTURESBROKERAGECOMPANYSHALL，INORDERTOAVOIDEXCESSIVECENTRALIZATIONANDDISPERSALOFSHARERIGHTS，ESTABLISHBALANCEDSHARESSTRUCTURERELATIVELYANDTHESTRUCTUREOFULTIMATEHOLDERWITHRIGHTSANDINTERESTSTHESHAREHOLDEROFTHEFUTURESBROKERAGECOMPANYCONFORMTOTHEQUALIFICATIONPRESCRIBEDBYCHINASECURITYREGULATORYCOMMISSIONANDGETRATIFICATIONFROMCHINASECURITYREGULATORYCOMMISSIONANDITSAGENCYACCORDINGTOREGULATIONS；THEFUTURESBROKERAGECOMPANYSHALLBEENCOURAGEDTOINTRODUCE，UPONASSIGNMENTOFSHARERIGHTSANDINCREASEOFCAPITAL，THESHAREHOLDERSWHOHAVEGOODFINANCES，OPERATENORMATIVEBUSINESSANDADMINISTRATION，POSSESSFINECREDITANDARECAPABLEOFSUPPORTTHECOMPANYTOMAKENORMATIVEDEVELOPMENTARTICLE6THECONSTITUTIONANDRULESOFDISCUSSIONOFHEFUTURESBROKERAGECOMPANYSHALLENSURETHATTHESHAREHOLDERSANDBOARDOFSHAREHOLDERSPOSSESSTHERIGHTSANDDUTY，WHICHAREGRANTEDBYTHECOMPANYLAWARTICLE7ALLSHAREHOLDERSOFTHEFUTURESBROKERAGECOMPANYSHALLBETREATEDASEQUALITYTHELEGALSTATUSANDRIGHTSOFMIDDLEANDMINORSHAREHOLDERSSHALLBEVALUEDANDPROTECTEDNOMAJORSHAREHOLDERSTAKEADVANTAGEOFTHESPECIALSTATUSTODAMAGETHELEGITIMATERIGHTSANDINTERESTSOFCOMPANYANDOTHERSHAREHOLDERSARTICLE8THEFUTURESBROKERAGECOMPANYMAYSTIPULATEINCOMPANYCONSTITUTIONTHATSOMEIMPORTANTMATTERSSHALLMAKEDECISIONSFROMTHEBOARDOFSHAREHOLDERSANDBEPASSEDBYSHAREHOLDERSREPRESENTINGTWOTHIRDSORMOREOFTHEVOTINGRIGHTSFORINSTANCE，INTHECASEOFRELATEDTRADEINEXCESSOFDEFINITETRADEAMOUNT，FOREIGNINVESTMENTORPURCHASEINEXCESSOFDEFINITETRADEAMOUNT，ETCNOSUCHSHAREHOLDERSASRELATEWITHTHEDISCUSSEDMATTERSSHALLPARTICIPATEINDISCUSSIONARTICLE9THESHAREHOLDERSHALLSHARETHEKNOWINGINFORMATIONRIGHTSANDPARTICIPATIONRIGHTSFORTHEIMPORTANTMATTERSOFCOMPANYTHEBOARDOFSHAREHOLDERSSHALLLISTTHESUPERVISORYANDADMINISTRATIVESUGGESTION，NOTIC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ERBEENTITLEDTOCONVENETHEGENERALMEETINGOFSHAREHOLDERS，SHALLBEDEFINEDINTHECONSTITUTIONOFTHEFUTURESBROKERAGECOMPANYCHAPTER3THEDIRECTORANDTHEBOARDOFDIRECTORSARTICLE20THEBOARDOFTHEFUTURESBROKERAGECOMPANYSHALLSERIOUSLYPERFORMTHEFUNCTIONSANDPOWERSOFTHEBOARDOFDIRECTORSPRESCRIBEDBYCOMPANYLAWEXCEPTTHEMATTERS，THEFUNCTIONSANDPOWERSPERFORMEDBYTHEBOARDOFDIRECTORSSHALLBEPRESCRIBEDINTHECONSTITUTIONOFTHEFUTURESBROKERAGECOMPANY（1）TOREVIEWANDDECIDEONADMINISTRATIONSYSTEMFORCOVERCOSTDRAFTEDBYTHEMANAGERLEVELS，TOENSURETHATADMINISTRATIONFORCOVERCOSTOFTHEFUTURESBROKERAGECOMPANYSHALLCONFORMTOVARIOUSREQUESTSOFTHECLOSEADMINISTRATIONFORCOVERCOSTFROMCHINASECURITYSUPERVISORYCOMMISSION；（2）TOREVIEWANDDECIDEONWHETHERPERFORMINGTHEPLANONRELATEDBUSINESSINNOVATION，ENSUREVALIDITYOFBUSINESSINNOVATIONACTIVITIESANDESTABLISHMENTOFRISKPREVENTIONSYSTEM；AND（3）TOREVIEWANDDECIDEONTHERISKCONTROLSYSTEMOFTHEFUTURESBROKERAGECOMPANYARTICLE21WHERETHEBOARDOFDIRECTORSAUTHORIZESTHECHAIRMANOFBOARDTOEXERCISETHEPARTPOWERSOFTHEBOARDOFDIRECTORS，THEAUTHORIZATIONPRINCIPLEANDAUTHORIZATIONCONTENTFROMTHEBOARDOFDIRECTORSSHALLALSOBESPECIFIEDCLEARLYINCOMPANYCONSTITUTIONALLTHESEMATTERSINVOLVINGTHEMAJORINTERESTSOFTHECOMPANYSHALLBESUBMITTEDTOTHEBOARDOFDIRECTORSORTHEBOARDOFSHAREHOLDERSFOREXAMINATIONANDDECISIONMAKINGFORTHEPURPOSEOFCONTROLTHEDECISIONMAKINGRISKOFTHECOMPANYEFFECTIVELY，THEBOARDOFDIRECTORSSHALLALSOSPECIFYSUCHMATTERSASTHEAUTHORIZATIONSCOPEANDLIMITFORTHEMANAGERLEVELSARTICLE22THEPUBLICANDFAIRPROCEDUREFORELECTIONANDENGAGEMENTOFTHEDIRECTORSHALLBEDESIGNATEDINTHECOMPANYCONSTITUTIONTHEMEMBERSOFBOARDOFDIRECTORSSHALLPOSSESSTHEESSENTIALKNOWLEDGE，SKILLANDQUALIFICATIONFORPERFORMINGTHEDUTIES，ASWELLPARTICIPATEINPOSITIVELYRELATEDTRAINSTHEDIRECTORSHALLENSUREENOUGHTIMEANDENERGYTOPERFORMHISDUEDUTIESARTICLE23THEMEETINGOFBOARDOFDIRECTORSSHALLBEHELDONCEEVERYYEARATLEASTANDSHALLPRODUCETHEMEETINGRECORDTHEBOARDOFDIRECTORSSHALLFORMULATENORMATIVEANDSPECIFIEDRULESOFDISCUSSIONTHEMEETINGOFBOARDOFDIRECTORSSHALLPRODUCEINTEGRATEDANDAUTHENTICMEETINGRECORD，ANDTHEATTENDINGDIRECTORSSHALLSIGNONITTHEORIGINALRECORDANDMEETINGMINUTESSHALLBERESERVEDPROPERLYARTICLE24WHERETHEDECISIONMAKINGOFTHEBOARDOFDIRECTORSVIOLATESTHELAW，REGULATIONSANDPROVISIONSOFTHECOMPANYCONSTITUTION，WHICHRESULTSINTHELOSSOFTHECOMPANY，THEDIRECTORSWHOPARTICIPATEINMAKINGDECISIONSHALLBEINVESTIGATEDWHILE，UPONMAKINGPROOF，THEDIRECTORSWHOSTATETHEOBJECTIONINVOTEANDVOTEDAGAINSTTHEDECISION，WHICHHAVEBEENRECORDEDINTHEMEETINGRECORD，SHALLNOTBEINCLUDEDARTICLE25THEBOARDOFDIRECTORSMAYESTABLISHUNDERITSUCHINSTITUTIONASTHESPECIALTYCOMMISSION，ETC，ANDFORMULATESPECIFIEDWORKINGRULESANDWORKINGDUTIES，SOASTOPROVIDETHEBOARDOFDIRECTORSWITHREFERENCESUGGESTIONINMAKINGDECISION，ENSUREFUNCTIONSOFTHEBOARDOFDIRECTORSBEINGBROUGHTINTOFULLPLAYTHERELATEDINSTITUTIONSOFBOARDOFDIRECTORSMAYENGAGEINTERMEDIARYINSTITUTIONTOASSISTINWORKPERFORMANCE，THERELATECHARGESSHALLBEPAIDBYTHECOMPANYTHEFUTURESBROKERAGECOMPANYSHALLBEENCOURAGEDTOESTABLISHSUCHMAJORINSTITUTIONSENGAGINGINSPECIALCONSULTATIONANDSUPERVISIONASAUDIT，RISKCONTROLINSTITUTION，ETC，INTENSIFYRISKSUPERVISIONFORBUSINESSOPERATIONANDMAKINGDECISIONOFTHECOMPANYANDURGETHECOMPANYTOOPERATEBUSINESSINALEGALANDSTEADYWAYARTICLE26THEFUTURESBROKERAGECOMPANYSHALLBEENCOURAGEDTOESTABLISHTHEINDEPENDENTDIRECTORSYSTEMTHEINDEPENDENTDIRECTOROFFUTURESBROKERAGECOMPANYSHALLCONCENTRATEONANDPROTECTTHEINTERESTSOFMIDDLEMINORSHAREHOLDERSANDFUTURESINVESTORSARTICLE27WHERETHEFUTURESBROKERAGECOMPANYISUNDERONEOFTHEFOLLOWINGCIRCUMSTANCES，THEINDEPENDENTDIRECTORSYSTEMSHALLBEESTABLISHED（1）WHERETHEREGISTEREDCAPITALISMORETHAN50，000，000YUAN（50，000，000YUANINCLUDED）；（2）WHEREASINGLESHAREHOLDERORTHEULTIMATEHOLDERWITHRIGHTSANDINTERESTSHOLD50PERCENTOFTHESHARESDIRECTLYORINDIRECTLYFROMTHEFUTURESBROKERAGECOMPANY；（3）WHEREASINGLEPERSONASSUMEOFFICEASTHECHAIRMANDIRECTORANDGENERALMANAGERSIMULTANEOUSLY；（4）WHERETHEFINANCIALINSTITUTIONINVESTSHARESDIRECTLYORINDIRECTLY；AND（5）OTHERCIRCUMSTANCESTHECHINASECURITYSUPERVISORYCOMMISSIONPRESCRIBEARTICLE28SUCHRELATIONSASINFLUENCETHEINDEPENDENTJUDGMENTSHALLEXISTBETWEENTHEINDEPENDENTDIRECTORANDTHEFUTURESBROKERAGECOMPANY，PRINCIPALSHAREHOLDERS，ASWELLTHEULTIMATEHOLDERSWITHRIGHTSANDINTERESTS，THEFOLLOWINGPERSONNELSHALLBEASSUMEDOFFICEASTHEINDEPENDENTDIRECTOR（1）WHERESUCHPERSONNELASHOLDTHEOFFICEINTHEFUTURESBROKERAGECOMPANYORITSSUBORDINATECOMPANY，ANDDIRECTLYRELATEDRELATIVESANDMAINRELATIVESANDFRIENDSTHESAIDPERSONNELISINCLUDED；（2）WHERESUCHPERSONNELASHOLDTHEOFFICEINTHEUNITSTHATHOLDMORETHAT5PERCENTOFSHARESRIGHTSFROMTHEFUTURESBROKERAGECOMPANYDIRECTLYORINDIRECTLY，ORTHESHAREHOLDERSUNITSTHATRANKTHETOP5OFAMOUNTOFTHESHARESINTHEFUTURESBROKERAGECOMPANY，THEDIRECTLYRELATEDRELATIVESOFTHESAIDPERSONNELISINCLUDED；（3）WHERESUCHPERSONNELASSERVETHEFUTURESBROKERAGECOMPANYWITHSERVICEONFINANCE，LAWANDCONSULTATION；（4）WHERESUCHPERSONNELASISUNDERTHEMENTIONEDABOVECIRCUMSTANCESINARECENTYEAR；（5）WHEREOTHERPERSONNELSPECIFIEDBYTHECOMPANYCONSTITUTION；AND（6）WHEREOTHERPERSONNELDESIGNATEDBYCHINASECURITYSUPERVISORYCOMMISSIONARTICLE29THESHAREHOLDER，THEBOARDOFDIRECTORSANDBOARDOFSUPERVISORS（ORSUPERVISOR）OFTHEFUTURESBROKERAGECOMPANYMAYPROPOSETHECANDIDATEFORTHEINDEPENDENTDIRECTOR，ANDWHICHSHALLBEDECIDEDUPONAVOTEBYTHEBOARDOFSHAREHOLDERSTHEONETHATNOMINATEFORTHEINDEPENDENTDIRECTORSHALLBEMADEBYTHECONSENTOFTHENOMINEEBEFORENOMINATIONTHETENUREOFTHEINDEPENDENTDIRECTORISIDENTICALWITHOTHERDIRECTORSARTICLE30THEFUTURESBROKERAGECOMPANYSHALL，WITHIN10DAYSAFTERTHEDATEOFDECISIONONELECTIONFORTHEINDEPENDENTDIRECTORBEINGMADEBYTHEBOARDOFSHAREHOLDERS，REPORTTHEINFORMATIONONTHEELECTIONANDAPPOINTMENTFORTHEINDEPENDENTDIRECTORTOCHINASECURITYSUPERVISORYCOMMISSIONWHERETHEINDEPENDENTDIRECTORLAYDOWNTHEOFFICEORISREMOVEDFROMOFFICEINHISTENUREOFOFFICE，THEINDEPENDENTDIRECTORINPERSONANDTHEFUTURESBROKERAGECOMPANYSHALLPROPOSETHEEXPLANATIONINWRITINGTOTHEBOARDOFSHAREHOLDERSANDITSAGENCYOFCHINASECURITYSUPERVISORYCOMMISSIONANDTHEBOARDOFSHAREHOLDERSARTICLE31EXCEPTTHEFUNCTIONSANDPOWERSOFTHEDIRECTORGRANTEDBYCOMPANYLAWANDOTHERLAWANDREGULATIONS，THEINDEPENDENTDIRECTOREXERCISETHEFOLLOWINGFUNCTIONSANDPOWERSPRESCRIBEDINTHECONSTITUTIONOFTHEFUTURESBROKERAGECOMPANY（1）TOPROPOSEFORCONVENINGTHEBOARDOFDIRECTOR；（2）TOSUBMITTOTHEBOARDOFDIRECTORSORTHEBOARDOFSUPERVISORS（ORSUPERVISOR）TOCONVENETHEINTERIMMEETINGOFSHAREHOLDERS（3）TOPROPOSETHATTHEBOARDOFDIRECTORSSHALLCONDUCTANAUDITWHILELEAVINGHISPOSTFORTHEADMINISTRATIVESTAFFOFCOMPANYWHOISSUSPECTEDOFVIOLATINGLAWANDREGULATIONS；TOSUBMITTOTHEBOARDOFSHAREHOLDERSTOCONDUCTAAUDITFORTHEDIRECTORANDSUPERVISORWHOISSUSPECTEDOFVIOLATINGTHELAWANDREGULATIONS（4）TOEXPRESSTHEOBJECTIVEANDFAIRINDEPENDENTOPINIONASFARASTHEFOLLOWINGMATTERSPRESCRIBEDBYTHEFUTURESBROKERAGECOMPANY；1THEINVESTMENT，CONDUCTINGFINANCEANDBUSIN上一篇英語財政部、國家稅務總局關于暫停尿素出口退稅的緊急通知URGENTCIRCULAROFTHEMINISTRYOFFINANCEANDTHESTATEADMINISTRATIONOFTAXATIONCONCERNINGTEMPORARILYSUSPENDINGTAXREBATEFORUREAEXPORT下一篇英語關于2004年境外投資聯合年檢和綜合績效評價工作有關事項的通知CIRCULARONISSUESCONCERNINGTHEJOINTANNUALINSPECTIONANDCOMPREHENSIVEPERFORMANCEEVALUATIONOFOVERSEASINVESTMENTIN2004查看更多關于法律英語的文章網友同時還瀏覽了犯罪術語12犯罪術語11犯罪術語10犯罪術語9犯罪術語8犯罪術語7法律英語期貨經紀公司治理準則（試行）CIRCULARISSUEDBYCHINASECURITIESREGULATORYCOMMISSIONONADMINISTRATIVERULESOFFUTURESBROKERAGECOMPANYFORTRIALIMPLEMENTESSOPERATIONACTIVITIESOTHERTHANTHEFUTURESBROKERAGEBUSINESS；2THEAMOUNTOFMAJORRELATEDTRANSACTIONISMORETHAN1，000，000YUAN；3THEINFORMATIONONRISKCONTROLANDTHEPRICEPAIDBYVIRTUEOFPROVIDINGTHESHAREHOLDERSANDRELATEDPARTYWITHSERVICEBYTHEFUTURESBROKERAGECOMPANY；4THEBUSINESSINNOVATIONACTIVITIESOFTHEFUTURESBROKERAGECOMPANY；5THEDISTRIBUTIONSCHEMEOFPROFIT；6THEAPPOINTMENTANDDISMISSALOFMANAGELEVELSMEMBERS；7THEMATTERSTHATCAUSEPROBABLYTHEHEAVYLOSSESOFTHEFUTURESBROKERAGECOMPANY；8THEMATTERSTHATDAMAGEPROBABLYTHERIGHTSANDINTERESTSOFMIDDLEMINORSHAREHOLDERS；9THEMATTERSTHATDAMAGEPROBABLYTHERIGHTSANDINTERESTSOFTHEFUTURESINVESTORS；10THEPLANONSALARIESANDMOTIVATIONOFTHEDIRECTOR，SUPERVISORANDMANAGERLEVELSMEMBER；AND11OTHERCIRCUMSTANCESDESIGNATEDBYTHECOMPANYCONSTITUTIONTHESUGGESTIONSEXPRESSEDBYTHEINDEPENDENTDIRECTORSSHALLBECLEARLYSTATEDINTHEMEETINGRECORDWHERETHEABOVEMENTIONEDPROPOSALSORINDEPENDENTOPINIONSOFTHEINDEPENDENTDIRECTORSHALLB