【中英文对照版】期货公司首席风险官管理规定(2022修正).docx

期货公司首席风险官管理规定(2022修正)Administrative Provisions on Chief Risk Officers ofFutures Companies (2022 Amendment)发布部门：中国证券监督管理委员会发文字号：中国证券监督管理委员会公告(2022) 43号发布日期：实施日期：效力级别：部门规范性文件法规类别：期货交易机构Issuing Authority： China Securities Regulatory CommissionDocument Number： Announcement No.43 2022 of the China Securities Regulatory CommissionDate Issued： 08-12-2022EfTective Date： 08-12-2022Level of Authority： Departmental Regulatory DocumentsArea of Law： Futures Trading Institutions期货公司首席风险官管理规定期货公司首席风险官管理规定(2008年3月27日中国证券监督管理 委员会公告(2008) 10号公布，根据 2022年8月12日中国证券监督管理委 员会公告(2022) 43号关于修改、 废止局部证券期货规范性文件的决定 修正)Administrative Provisions on Chief Risk Officers of Futures Companies(Issued by the Announcement No. 10 2008 of the China Securities Regulatory Commission on March 27, 2008; and amended in accordance with the Decision to Amend and Repeal Certain Securities and Futures Regulatory Documents by the Announcement No. 43 2022 of the China Securities Regulatory Commission on August 12, 2022)第一章总那么第一条为了完善期货公司治理Chapter I General ProvisionsArticle 1 These Provisions are developed in accordance with(6)0thcr circumstances as prescribed by the CSRC.（六）中国证监会规定的其他情形。As to the aforesaid circumstances, the futures company shall make a rectification under the rectification opinions of the institution dispatched by the CSRC to the place where the company is located. The chief risk officer shall help the company with the rectification and report the relevant information to the institution dispatched by the CSRC to the place where the company is located.对上述情形，期货公司应当按照公司住 所地中国证监会派出机构的整改意见进 行整改。首席风险官应当配合整改，并 将整改情况向公司住所地中国证监会派 出机构报告。Article 25 For performing the duties, a chief risk officer shall be empowered第二十五条首席风险官根据履 行职责的需要，享有以下职权：(l)to attend or observe the meetings relevant to his performance of duties;（一）参加或者列席与其履职相关的会 议；(2)to consult the relevant documents, archives and materials of the futures company;（二）查阅期货公司的相关文件、档案 和资料；(3) to talk with relevant persons of the futures company, and relevant persons of the institutions providing audit, legal service and other intermediary services to the futures company;（三）与期货公司有关人员、为期货公 司提供审计、法律等中介服务的机构的 有关人员进行谈话；(4)to acquaint himself with the business operations of the futures company; and（四）了解期货公司业务执行情况;(5)to exercise other powers as stated in the articles of association of the company.（五）公司章程规定的其他职权。Article 26 The directors, senior managers and all departments of a futures company shall support and help the chief risk officer with his work. None of them may restrict or obstruct the chief risk officer's performance of his duties under the excuse of involving business secrets, etc.第二十六条期货公司董事、高 级管理人员、各部门应当支持和配合首 席风险官的工作，不得以涉及商业秘密 或者其他理由限制、阻挠首席风险官履 行职责。10第二十七条期货公司股东、董 事不得违反公司规定的程序，越过董事 会直接向首席风险官下达指令或者干涉 首席风险官的工作。第四章监督管理第二十八条首席风险官应当在 每季度结束之日起10个工作日内向公 司住所地中国证监会派出机构提交季度 工作报告；每年1月20日前向公司住 所地中国证监会派出机构提交上一年度 全面工作报告，报告期货公司合规经 营、风险管理状况和内部控制状况，以 及首席风险官的履行职责情况，包括首 席风险官所作的尽职调查、提出的整改 意见以及期货公司整改效果等内容。第二十九条首席风险官不履行 职责或者有第十三条所列行为的，中国 证监会及其派出机构可以依照期货公 司董事、监事和高级管理人员任职管理 方法对首席风险官采取监管谈话、出 具警示函、责令更换等监管措施；情节 严重的，认定其为不适当人选。Article 27 None of the shareholders or directors of a futures company may, in violation of the procedures as prescribed by the company, directly give orders to the chief risk officer or interfere with his work by exceeding the board of directors.Chapter IV Supervision and AdministrationArticle 28 A chief risk officer shall, within 10 working days after the end of each quarter, submit a quarterly work report to the institution dispatched by the CSRC to the place where the company is located. He shall, prior to January 2() each year, submit to the institution dispatched by the CSRC to the place where the company is located an annual all-round work report about the compliance, risk management and internal control of the futures company and his performance of the chief risk officer's duties, including the duteous investigations he made, the rectification opinions he put forward and rectification effects of the futures company.Article 29 Where a chief risk officer fails to perform his or her duties or commits any of the acts as set forth in Article 13, the CSRC and its local office may, in accordance with the Measures for the Office-Holding Administration of the Directors, Supervisors, and Officers of Futures Companies, take such regulatory measures as holding regulatory interview with him or her, issuing a letter of caution, and ordering the company to replace him or her; and if the circumstances are serious, determine him or her as unfit for the position.Within 2 years after he is considered as an improper person, no futures company may appoint him as a director, supervisor or senior manager.自被中国证监会及其派出机构认定为不 适当人选之日起2年内，任何期货公司 不得任用该人员担任董事、监事和高级 管理人员。11Article 30 Where a futures company commits any serious violation or faces any serious risk, if the chief risk officer fails to timely perform the reporting obligation as required by these Provisions, he shall be subject to the corresponding legal liabilities. However, if he has performed the reporting obligation as required, the CSRC may give him a lighter or mitigated administrative punishment or exempt him from the administrative punishment.第三十条 期货公司发生严重违 规或者出现重大风险，首席风险官未及 时履行本规定所要求的报告义务的，应 当依法承当相应的法律责任。但首席风 险官已按照要求履行报告义务的，中国 证监会可以从轻、减轻或者免予行政处 罚。Article 31 Where any of the shareholders, directors or management level of a futures company restricts or obstructs the chief risk officer's normal work, the chief risk officer may report to the institution dispatched by the CSRC, the institution dispatched by the CSRC shall investigate and deal with the issue.第三十一条期货公司股东、董 事和经理层限制、阻挠首席风险官正常 开展工作的，首席风险官可以向中国证 监会派出机构报告，中国证监会派出机 构依法进行调查和处理。Article 32 If a chief risk officer is dismissed due to his proper performance of duties, the CSRC and its dispatched institution may take corresponding supervisory measures against the futures company and relevant liable persons.第三十二条首席风险官因正当 履行职责而被解聘的，中国证监会及其 派出机构可以依法对期货公司及相关责 任人员采取相应的监管措施。Article 33 The CSRC and its local office shall record the following matters in the credit archives of the futures company and the chief risk officer:第三十三条中国证监会及其派 出机构将以下事项记入期货公司及首席 风险官诚信档案：(1) The regulatory measures taken by the CSRC and its local office against the chief risk officer.(一)中国证监会及其派出机构对首席 风险官采取的监管措施；(2) Other matters relevant to the chief risk officer as determined by the CSRC and its local office.()中国证监会及其派出机构认定的 与首席风险官有关的其他事项。12第五章附那么Chapter V Supplementary ProvisionsArticle 34 These Provisions shall come into force as of May 1,第三十四条 本规定自 2008 年 52008.月1日起施行。13the Futures and Derivatives Law of the People's Republic of China, the Regulation on the Administration of Futures Trading, the Measures for the Supervision and Administration of Futures Companies, and the Measures for the Office- Holding Administration of the Directors, Supervisors, and Officers of Futures Companies for the purposes of improving the governance structure of futures companies, strengthening internal control and risk management, promoting the steady and sound operations of futures companies in accordance with the law, and safeguarding the lawful rights and interests of futures traders.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，维护期货交易 者合法权益，根据中华人民共和国期 货和衍生品法期货交易管理条例期货公司监督管理方法和期货公 司董事、监事和高级管理人员任职管理 方法，制定本规定。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.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。The chief risk officer is responsible to the board of directors of the futures company.首席风险官向期货公司董事会负责。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。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。Article 5 The CSRC and its dispatched institutions shall supervise and administer Ihe chief risk officers in accordance with the law.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。China Futures Association and the futures exchanges shall carry out self-disciplinary management of the chief risk officers.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 “Chapter II Appointment, Removal and Behavioral Norms第二章任免与行为规范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.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。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 critcrions.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。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。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。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。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。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。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.第十二条首席风险官开展工作 应当制作并保存工作底稿和工作记录， 真实、充分地反映其履行职责情况。The working papers and records shall be preserved for al least 20 years.工作底稿和工作记录应当至少保存20 年。Article 13 No chief risk officer may第十三条首席风险官不得有下 列行为：（-）擅离职守，无故不履行职责或者 授权他人代为履行职责；（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；leave his post without approval, fail to perform his duties without any justifiable reason or authorize others to perform the duties in his stead;(1) concurrently hold any post other than the pcrson-in-chargc of the compliance department in the futures company or engage in activities that may affect his independent performance of his duties;(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；(4) seek private benefits by taking the advantage of his position;（四）利用职务之便牟取私利;(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；(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；(7) conduct other acts that impair the lawful rights and (七)其他损害客户和期货公司合法权 interests of the clients and futures company.益的行为。Article 14 Prior to the expiration of the term of office of a chief risk officer, the board of directors of the futures company shall not dismiss him from his post for no justifiable reason.第十四条首席风险官任期届满 前，期货公司董事会无正当理由不得免 除其职务。Article 15 If a chief risk officer is incompetent, or if he is under any of the circumstances as described in Article 13, or if he commits any other violation, the board of directors of the futures company may dismiss him from the post of chief risk officer.第十五条首席风险官不能够胜 任工作，或者存在第十三条规定的情形 和其他违法违规行为的，期货公司董事 会可以免除首席风险官的职务。Article 16 If the board of directors of the futures company intends to dismiss the chief risk officer from his post, it shall notify the chief risk officer himself in advance and report in writing to the institution dispatched by the CSRC to the place where the company is located about the dismissal causes, the chief risk officer's performance of his duties as well as a name第十六条 期货公司董事会拟免 除首席风险官职务的，应当提前通知本 人，并按规定将免职理由、首席风险官 履行职责情况及替代人选名单书面报告 公司住所地中国证监会派出机构。list of candidates to replace him.The chief risk officer dismissed may make an explanation to the institution dispatched by the CSRC to the place where the company is located.被免职的首席风险官可以向公司住所地 中国证监会派出机构解释说明情况。Article 17 If the board of directors of the futures company decides to dismiss the chief risk officer from his post, it shall simultaneously determine the candidates or persons to perform the duties in his stead, and follow the corresponding procedures under relevant provisions.第十七条期货公司董事会决定 免除首席风险官职务时，应当同时确定 拟任人选或者代行职责人选，按照有关 规定履行相应程序。Article 18 If the chief risk officer intends to resign from his position, he shall, 30 days prior to his resignation, file an application with the board of directors of the futures company and report to the institution dispatched by the CSRC to the place where the company is located.第十八条首席风险官提出辞职 的，应当提前30日向期货公司董事会 提出申请，并报告公司住所地中国证监 会派出机构。Chapter III Duties and Guarantee of Performance of Duties第三章职责与履职保障Article 19 A chief risk officer shall report the futures company's business management compliance and risk management state to the general manager and the board of directors of the futures company and to the institution dispatched by the CSRC to the place where the company is located.第十九条首席风险官应当向期 货公司总经理、董事会和公司住所地中 国证监会派出机构报告公司经营管理行 为的合法合规性和风险管理状况。The chief ris