Interim Measures for the Administration of Trading in Designated Domestic Futures Products Foreign Traders and Foreign Brokerage Agencies?[Effective]
Order of the China Securities Regulatory Commission
(No. 116)
The Interim Measures for the Administration of Trading in Designated Domestic Futures Products by Foreign Traders and Foreign Brokerage Agencies, as deliberated and adopted at the 71st Chairman's executive meeting on December 8, 2014, are hereby issued, and shall come into force on August 1, 2015.
Chairman of the China Securities Regulatory Commission: Xiao Gang
June 26, 2015
Annex:
Interim Measures for the Administration of Trading in Designated Domestic Futures Products by Foreign Traders and Foreign Brokerage Agencies
Article 1 To enhance the innovative development and opening up of the futures market, strengthen the administration of trading in designated domestic futures products by foreign traders and foreign brokerage agencies, maintain the order of the futures market, and protect the lawful rights and interests of traders, these Measures are developed in accordance with the Regulation on the Administration of Futures Trading and other relevant laws and regulations.
Article 2 Foreign traders and foreign brokerage agencies shall abide by these Measures when engaging in trading in designated domestic futures products and relevant business activities.
For the purpose of these Measures, the term “foreign traders” means the legal persons and other economic organizations lawfully formed outside the territory of the People's Republic of China, or the natural persons lawfully having the identity of foreign citizens, who engage in futures trading and undertake the results of such trading.
For the purpose of these Measures, the term “foreign brokerage agencies” means the financial institutions lawfully formed outside the territory of the People's Republic of China, with the qualification recognized by the futures regulatory authorities of the countries (or regions) where they are located to accept the funds and trading instructions of traders and conduct futures trading for traders in their own names.
For the purpose of these Measures, the term “designated domestic futures products” shall be determined and published by the China securities Regulatory Commission (“CSRC”).
Article 3 The CSRC and the local offices thereof shall oversee and regulate trading in designated domestic futures products by foreign traders and foreign brokerage agencies according to the law.
Futures exchanges shall conduct self-regulation of trading in designated domestic futures products and relevant business activities in accordance with the self-regulatory rules.
China Futures Association (“CFA”) shall conduct industry self-regulation of trading in designated domestic futures products and relevant business activities in accordance with the self-regulatory rules.
China?Futures Market?Monitoring Center Co.,Ltd (“CFMMC”) shall monitor trading in designated domestic futures products and relevant business activities according to the law.
Article 4 Foreign traders and foreign brokerage agencies shall abide by the laws and regulations of the People's Republic of China and these Measures, and shall fulfill obligations against money laundering, terrorist financing, and tax evasion.
Article 5 Foreign traders may commission domestic futures companies (hereinafter referred to as “futures companies”) or foreign brokerage agencies to engage in trading in designated domestic futures products.
With the approval of futures exchanges, qualified foreign traders may directly engage in trading in designated domestic futures products at futures exchanges.
Foreign traders that may directly trade at futures exchanges as mentioned in the preceding paragraph shall meet the following conditions:
(1) The countries (or regions) where they are located have sound laws and regulatory rules.
(2) They are financially stable, have a good credit standing, and have sufficient operating capital.
(3) They have sound governance structures and internal control rules, and their operating activities are in compliance with regulations.
(4) Other conditions as set out by futures exchanges.
Article 6 After accepting a foreign trader's commission, a foreign brokerage agency may commission a futures company to engage in trading in designated domestic futures products. After accepting the commission, the futures company shall, in its own name, engage in trading for the foreign brokerage agency.
With the approval of futures exchanges, qualified foreign brokerage agencies may accept the commission of foreign traders and, in their own names, directly engage in trading in designated domestic futures products for foreign traders at futures exchanges.
Foreign brokerage agencies that directly trade at futures exchanges as mentioned in the preceding paragraph shall comply with paragraph 3, Article 5 of these Measures, and the countries (or regions) where they are located shall have signed a memorandum of understanding regarding securities supervision cooperation?with the CSRC.
Article 7 Foreign brokerage agencies shall not accept the commission of domestic traders and the entities and individuals mentioned in Article 26 of the Regulation on the Administration of Futures Trading and conduct futures trading for them.
Article 8 For foreign traders and foreign brokerage agencies that directly trade at futures exchanges, futures exchanges shall provide for the conditions and procedures for obtainment and termination of their qualifications and specify their rights and obligations.
Article 9 Foreign traders that engage in trading in designated domestic futures products shall comply with the self-regulatory rules of futures exchanges, follow the principles of “trading at one's own discretion, assuming one's own risks, and taking responsibility for one's own profits and losses,” and be responsible for
the performance of contracts and results of futures trading.
Article 10 Foreign traders shall open accounts with true and lawful identities, and truthfully provide lawful and valid certification documents on foreign citizenship or the qualifications as foreign legal persons or other economic organizations. The identity certification documents of foreign traders and the requirements shall be separately provided for by CFMMC.
Article 11 Foreign brokerage agencies that engage in trading in designated domestic futures products on the commission of foreign traders shall, in accordance with the Provisions on the Administration of Opening Accounts for Investors in the Futures Market and the business rules of CFMMC, open accounts and undergo other procedures for foreign traders and apply for a trading code for each foreign trader, and such trading codes may not be mixed in the course of trading.
Futures companies that accept the commission of foreign brokerage agencies shall provide necessary assistance for foreign brokerage agencies to undergo the procedures mentioned in the preceding paragraph in accordance with the business rules of CFMMC.
Foreign traders that directly trade at futures exchanges shall open accounts and undergo other procedures with futures exchanges and apply for trading codes, and futures exchanges shall submit relevant materials to CFMMC for recordation before they start trading.
Article 12 The trader suitability system shall apply to trading in designated domestic futures products.
Futures exchanges, futures companies, and foreign brokerage agencies shall implement the trader suitability system. Foreign traders shall comply with the system.
Article 13 Before accepting a foreign trader's commission, a foreign brokerage agency shall present the risk disclosure statement to the foreign trader and enter into a written contract with the foreign trader, and shall not engage in futures trading without or in inconsistency with the commission of the foreign trader, or conceal important matters or induce foreign traders into giving trading instructions by other improper means.
Article 14 Foreign brokerage agencies that directly trade at futures exchanges shall establish, improve, and strictly implement business management rules and risk management rules, comply with the information disclosure rules, and ensure the safe custody of the margin of foreign traders.
Article 15 A futures exchange with settlement functions shall, in the capacity of a central counterparty, organize the settlement of trades in designated domestic futures products in a centralized manner. Foreign traders and foreign brokerage agencies shall entrust the settlement to futures companies or other institutions qualified for settlement business in accordance with the rules of the futures exchange, to which the provisions governing clients and futures companies in Articles 29, 34, 35, and 37 of the Regulation on the Administration of Futures Trading shall apply.
The term “central counterparty” as mentioned in the preceding paragraph means a legal person that gets between both parties to a futures trade after conclusion of the trade, becoming the buyer to every seller and the seller to every buyer, conducts clearing on a net basis, and provides centralized performance guarantee for futures trading.
Article 16 Foreign traders and foreign brokerage agencies that directly trade at futures exchanges, as well as foreign traders and foreign brokerage agencies that commission futures companies to engage in trading in designated domestic futures products, shall open bank accounts that meet the prescribed conditions in China and designate such accounts as futures settlement accounts.
Article 17 Foreign traders and foreign brokerage agencies shall comply with the CSRC provisions on the safe custody of margin.
Futures companies shall deposit the margin collected from the foreign traders and foreign brokerage agencies that commission the futures companies to conduct settlement in the special margin accounts of futures companies. Futures companies shall deposit the margin from China and the margin from overseas areas in separate accounts for management.
The funds transfers between the domestic accounts of futures exchanges, futures companies, and the foreign traders and foreign brokerage agencies mentioned in Article 16 of these Measures shall be conducted through special settlement accounts, special margin accounts, and futures settlement accounts.
Article 18 Where the position held by a foreign trader or foreign brokerage agency reaches the reporting threshold set by the futures exchange concerned, the foreign trader or foreign brokerage agency shall report to the futures exchange. If the foreign trader fails to report, the futures company or foreign brokerage agency commissioned by the foreign trader to conduct trade shall report to the futures exchange.
Article 19 Margin shall only be used to secure the performance of futures or options contracts, and shall not be used for other purposes, except as otherwise prescribed by the law.
Where a foreign trader or foreign brokerage agency is taken over, bankrupt or liquidated, its margin shall be firstly used to perform the futures or options contracts unsettled with the futures exchange.
Article 20 Where the futures market is under the circumstance specified in Article 85 or 87 of the Measures for the Administration of Futures Exchanges, futures exchanges may, in accordance with its rules for clients and members, take measures against foreign traders and foreign brokerage agencies.
Article 21 Where any dispute arises from futures business between a futures company and a foreign trader or foreign brokerage agency, they may request the CFA, the futures exchange or any other mediation organization to settle through mediation.
Article 22 A futures company shall, in its monthly and annual reports, report information about trades in designated domestic futures products on the commission of foreign traders and foreign brokerage agencies.
The chief risk officer of a futures company shall be responsible for overseeing and inspecting business activities related to trading in designated domestic futures products and shall fulfill obligations such as urging rectification and reporting..
Article 23 The CSRC and the local offices thereof may, according to their regulatory duties, require futures companies, foreign traders, and foreign brokerage agencies to provide the following information or written materials, and make necessary inquiries and inspections:
(1) The names (titles), nationality, valid identity certificates (numbers), contact information and other relevant information, and source of funds, among others, of the ultimate beneficiaries of the accounts, and all the sub-accounts thereof, of foreign traders and foreign brokerage agencies.
(2) The names, nationality, valid identity certificates (numbers), contact information, and other relevant information of persons giving instructions under the accounts, and all the sub-accounts thereof, of foreign traders and foreign brokerage agencies.
(3) Detailed materials on the transfer and use of funds in the accounts, and all the sub-accounts thereof, of foreign traders and foreign brokerage agencies.
(4) Detailed materials on transactions conducted under the accounts, and all the sub-accounts thereof, of foreign traders and foreign brokerage agencies.
(5) Other materials required by the CSRC under the principle of prudential supervision.
Article 24 Under any of the following major circumstances, a futures company shall report it to the CSRC office at its place of domicile within five working days after being informed or as required:
(1) A foreign trader or foreign brokerage agency has any violation, is taken over or bankrupt, or has any other risk event.
(2) Any futures-related dispute, arbitration or litigation involving foreign traders or foreign brokerage agencies occurs.
(3) Any other circumstance that has an impact on trading in designated domestic futures products by foreign traders or foreign brokerage agencies.
The futures company shall report the cause of the event, the status quo, the possible consequences, and the plan or measure to deal with it, among others.
Article 25 Where a futures company or any of its employees violates these Measures, the competent authority may, according to relevant provisions of the Regulation on the Administration of Futures Trading, take regulatory measures, such as ordering correction with a certain time limit, holding a regulatory interview, or ordering the replacement of relevant liable person, and record it in the violator's integrity file.
Article 26 The trading and settlement software of foreign traders and foreign brokerage agencies that directly trade at futures exchanges shall satisfy the risk management requirements of futures exchanges and the CSRC requirements for the safe custody of margin. Otherwise, the CSRC shall have the power to ask the foreign traders and foreign brokerage agencies to improve or replace their software.
The CSRC may require the trading and settlement software suppliers of foreign traders and foreign brokerage agencies that directly trade at futures exchanges to provide materials about such software, and the suppliers shall be cooperative. The CSRC shall be obligated to keep confidential the materials provided by the suppliers.
Article 27 The CSRC and the local offices thereof may, according to their regulatory duties, conduct on-site inspections on trading in designated domestic futures products by foreign traders and foreign brokerage agencies and relevant business activities on a regular basis or from time to time.
Article 28 A futures exchange that grants permission to a foreign trader or foreign brokerage agency to directly trade at the futures exchange shall be punished or sanctioned under Article 65 of the Regulation on the Administration of Futures Trading.
A futures exchange that permits a foreign trader or foreign brokerage agency that directly trades at the futures exchange to engage in futures trading when its margin is insufficient shall be punished or sanctioned under Article 66 of the Regulation on the Administration of Futures Trading.
Article 29 With any of the conduct listed in items (1), (7) through (9), (11), and (14) through (16), paragraph 1, Article 67 of the Regulation on the Administration of Futures Trading, a foreign brokerage agency shall be punished under paragraph 1, Article 67 of the Regulation on the Administration of Futures Trading.
With the fraudulent conduct mentioned in paragraph 1, Article 68 of the Regulation on the Administration of Futures Trading, a foreign brokerage agency shall be punished under paragraph 1, Article 68 of the Regulation on the Administration of Futures Trading.
Article 30 Where the trading or settlement software supplier of a foreign trader or foreign brokerage agency that directly trades at a futures exchange refuses to cooperate in an investigation conducted by the CSRC or the local office thereof, or fails to provide relevant information about the software to the CSRC or the local office thereof as required, or provides information with any falsification or material omission, it shall be punished under Article 76 of the Regulation on the Administration of Futures Trading.
Article 31 Where a futures exchange, futures company, foreign trader or foreign brokerage agency violates the law in business operations or has any major operating risk, which severely endangers the futures market order of China and damages the lawful rights and interests of traders, administrative punishment shall be imposed under the Regulation on the Administration of Futures Trading if it is legally required; if the violator is suspected of any crime, the case shall be transferred to the judicial authority for criminal investigation.
Article 32 Where a foreign trader or foreign brokerage agency violates the Regulation on the Administration of Futures Trading or relevant provisions of the CSRC, the CSRC shall investigate and punish it according to the law.
When it needs assistance from the regulatory authority at the locality of a foreign trader or foreign brokerage agency, the CSRC may conduct cross-border regulatory cooperation under the bilateral or multilateral memorandum of understanding regarding securities supervision cooperation signed with the regulatory authority or any other cross-border regulatory cooperation mechanism.
Article 33 These Measures shall apply to trading in designated domestic futures products at other futures trading venues approved by the CSRC and the relevant business activities.
Article 34 Where the legal persons or other economic organizations formed in Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan Region, or nature persons with the resident identity of Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan Region engage in trading in designated domestic futures products, these Measures shall apply.
Article 35 These Measures come into force on August 1, 2015.
境外交易者和境外经纪机构从事境内特定品种期货交易管理暂行办法
第一条: 为了促进期货市场创新发展和对外开放,加强对境外交易者和境外经纪机构从事境内特定品种期货交易的管理,维护期货市场秩序,保护交易者合法权益,根据《期货交易管理条例》及有关法律法规,制定本办法。
第二条: 境外交易者、境外经纪机构从事我国境内特定品种期货交易及其相关业务活动,应当遵守本办法。本办法所称境外交易者,是指从事期货交易并承担交易结果,在中华人民共和国境外依法成立的法人、其他经济组织,或者依法拥有境外公民身份的自然人。本办法所称境外经纪机构,是指在中华人民共和国境外依法设立、具有所在国(地区)期货监管机构认可的可以接受交易者资金和交易指令并以自己名义为交易者进行期货交易资质的金融机构。本办法所称境内特定品种由中国证券监督管理委员会(以下简称中国证监会)确定并公布。
第三条: 中国证监会及其派出机构依法对境外交易者和境外经纪机构从事境内特定品种期货交易实行监督管理。期货交易所依据自律规则对境内特定品种期货交易及相关业务活动实行自律管理。中国期货业协会依据自律规则对境内特定品种期货交易及相关业务活动实行行业自律管理。中国期货市场监控中心有限责任公司依法对境内特定品种期货交易及相关业务活动实施监测监控。
第四条: 境外交易者和境外经纪机构应当遵守中华人民共和国法律法规和本办法,并履行反洗钱、反恐融资、反逃税等义务。
第五条: 境外交易者可以委托境内期货公司(以下简称期货公司)或者境外经纪机构参与境内特定品种期货交易。经期货交易所批准,符合条件的境外交易者可以直接在期货交易所从事境内特定品种期货交易。前款所述直接入场交易的境外交易者应当具备下列条件:
(一)所在国(地区)具有完善的法律和监管制度;
(二)财务稳健,资信良好,具备充足的流动资本;
(三)具有健全的治理结构和完善的内部控制制度,经营行为规范;
(四)期货交易所规定的其他条件。
第六条: 境外经纪机构在接受境外交易者委托后,可以委托期货公司进行境内特定品种期货交易。期货公司接受委托后,以自己的名义为该境外经纪机构进行交易。经期货交易所批准,符合条件的境外经纪机构可以接受境外交易者委托,直接在期货交易所以自己的名义为境外交易者进行境内特定品种期货交易。前款所述直接入场交易的境外经纪机构应当符合本办法
第五条: 第三款的规定,且其所在国(地区)期货监管机构已与中国证监会签署监管合作谅解备忘录。
第七条: 境外经纪机构不得接受境内交易者和《期货交易管理条例》第二十六条规定的单位和个人的委托,为其进行境内期货交易。
第八条: 对直接入场交易的境外交易者和境外经纪机构,期货交易所应当规定其资格取得与终止的条件和程序,明确其权利和义务。
第九条: 境外交易者从事境内特定品种期货交易,应当遵守期货交易所的自律规则,遵守“买卖自愿、风险自担、盈亏自负”的原则,承担期货交易的履约责任和交易结果。
第十条: 境外交易者应当以真实合法身份办理开户,如实提供境外公民身份证明、境外法人资格或者其他经济组织资格的合法有效证明文件。境外交易者的身份证明文件及要求由中国期货市场监控中心有限责任公司另行规定。
第十一条: 境外经纪机构接受境外交易者委托进行境内特定品种期货交易的,应当按照《期货市场客户开户管理规定》和中国期货市场监控中心有限责任公司的业务规则,为境外交易者办理账户开立等手续,并为每个境外交易者单独申请交易编码,不得进行混码交易。接受境外经纪机构委托的期货公司,应当按照中国期货市场监控中心有限责任公司的业务规则,为境外经纪机构办理前款所述手续提供必要的协助。直接入场交易的境外交易者应当向期货交易所办理账户开立等手续并申请交易编码,期货交易所应当在其开始交易之前将有关材料报中国期货市场监控中心有限责任公司备案。
第十二条: 境内特定品种期货交易实行交易者适当性制度。期货交易所、期货公司和境外经纪机构应当执行交易者适当性制度。境外交易者应当遵守交易者适当性制度。
第十三条: 境外经纪机构接受境外交易者委托的,应当事先向境外交易者出示风险说明书,与境外交易者签订书面合同,不得未经境外交易者委托或者不按照境外交易者委托内容,擅自进行期货交易,不得隐瞒重要事项或者使用其他不正当手段诱骗境外交易者发出交易指令。
第十四条: 直接入场交易的境外经纪机构应当建立健全并严格执行业务管理规则、风险管理制度,遵守信息披露制度,保障境外交易者保证金的存管安全。
第十五条: 承担结算职能的期货交易所作为中央对手方,统一组织境内特定品种期货交易的结算。境外交易者、境外经纪机构应当根据期货交易所的规定委托具有结算资格的期货公司或者其他机构进行结算,并适用《期货交易管理条例》第二十九条、第三十四条、第三十五条、第三十七条对客户和期货公司的规定。前款所称中央对手方,是指期货交易达成后介入期货交易双方,成为所有买方的卖方和所有卖方的买方,以净额方式结算,为期货交易提供集中履约保障的法人。
第十六条: 直接入场交易的境外交易者和境外经纪机构,以及委托期货公司进行境内特定品种期货交易的境外交易者和境外经纪机构,应当在境内开立符合条件的银行账户,并将其设定为期货结算账户。
第十七条: 境外交易者和境外经纪机构应当遵守中国证监会关于保证金安全存管的规定。期货公司应当将向委托其结算的境外交易者和境外经纪机构收取的保证金存放在期货公司的保证金专用账户。期货公司应当将来源于境内和境外的保证金按币种分账户管理。期货交易所、期货公司、本办法第十六条所指的境外交易者和境外经纪机构之间的境内账户资金划转,应当通过专用结算账户、保证金专用账户和期货结算账户进行。
第十八条: 境外交易者和境外经纪机构持仓达到期货交易所规定的持仓报告标准的,境外交易者和境外经纪机构应当向期货交易所报告。境外交易者未报告的,受托交易的期货公司、境外经纪机构应当向期货交易所报告。
第十九条: 保证金只能用于担保期货合约或者期权合约的履行,除法定情形外,严禁挪作他用。境外交易者和境外经纪机构被接管、破产或者清算的,其保证金均应当优先用于履行在期货交易所未了结的期货合约或期权合约。
第二十条: 期货市场出现《期货交易所管理办法》第八十五条、第八十七条规定情形的,期货交易所可以按照对客户和会员的规定,对境外交易者和境外经纪机构采取措施。
第二十一条: 期货公司与境外交易者或者境外经纪机构发生期货业务纠纷的,可以提请中国期货业协会、期货交易所以及其他调解组织调解处理。
第二十二条: 期货公司应当在月度、年度报告中报送接受境外交易者和境外经纪机构委托进行境内特定品种期货交易的情况。期货公司首席风险官应当负责对本公司境内特定品种期货交易相关业务活动进行监督和检查,并履行督促整改和报告等义务。
第二十三条: 中国证监会及其派出机构可以根据监管职责要求期货公司、境外交易者和境外经纪机构提供下列信息或者书面资料,并进行必要的询问和检查:
(一)境外交易者和境外经纪机构的账户、所有子账户的最终受益人姓名(名称)、国籍、有效身份证件(号码)、联系方式及相关信息、资金来源等;
(二)境外交易者和境外经纪机构的账户、所有子账户的指令下达人姓名、国籍、有效身份证件(号码)、联系方式及相关信息等;
(三)境外交易者和境外经纪机构的账户、所有子账户资金划拨、使用的明细资料;
(四)境外交易者和境外经纪机构的账户、所有子账户交易的明细资料;
(五)中国证监会根据审慎监管原则要求的其他材料。
第二十四条: 发生下列重大情形之一的,期货公司应当在知情后5个工作日内或者按照规定向其住所地的中国证监会派出机构报告:
(一)境外交易者或者境外经纪机构发生违规、被接管、破产或者其他风险事件;
(二)发生涉及境外交易者或者境外经纪机构的期货纠纷、仲裁或者诉讼;
(三)其他影响境外交易者或者境外经纪机构从事境内特定品种期货交易的情形。期货公司的报告应当包括事件的起因、目前的状态、可能发生的后果以及应对方案或者措施等内容。
第二十五条: 期货公司及其从业人员违反本办法的,依照《期货交易管理条: 例》的有关规定,采取责令限期整改、监管谈话、责令更换有关责任人员等监管措施,并记入诚信档案。
第二十六条: 直接入场交易的境外交易者和境外经纪机构的交易结算软件,应当满足期货交易所风险管理以及中国证监会有关保证金安全存管监控规定的要求。不符合要求的,中国证监会有权要求直接入场交易的境外交易者和境外经纪机构予以改进或者更换。中国证监会可以要求直接入场交易的境外交易者和境外经纪机构的交易软件、结算软件的供应商提供该软件的相关资料,供应商应当予以配合。中国证监会对供应商提供的相关资料负有保密义务。
第二十七条: 中国证监会及其派出机构可以根据监管职责对境外交易者或者境外经纪机构进行境内特定品种期货交易及相关业务活动进行定期或者不定期现场检查。
第二十八条: 期货交易所违反规定接纳直接入场交易的境外交易者或者境外经纪机构的,依照《期货交易管理条例》
第六十五条: 的规定处罚、处分。期货交易所允许直接入场交易的境外交易者或者境外经纪机构在保证金不足的情况下进行期货交易的,依照《期货交易管理条例》
第六十六条: 的规定处罚、处分。
第二十九条: 境外经纪机构有《期货交易管理条例》第六十七条第一款第一项、第七项至第九项、第十一项、第十四项至第十六项所列行为之一的,依照《期货交易管理条: 例》第六十七条:
第一款规定处罚。境外经纪机构有《期货交易管理条例》第六十八条第一款所列欺诈行为的,依照《期货交易管理条例》第六十八条第一款的规定处罚。
第三十条: 直接入场交易的境外交易者或者境外经纪机构的交易软件、结算软件供应商拒不配合中国证监会及其派出机构调查,或者未按照规定向中国证监会及其派出机构提供相关软件资料,或者提供的软件资料有虚假、重大遗漏的,依照《期货交易管理条例》第七十六条的规定处罚。
第三十一条: 期货交易所、期货公司、境外交易者或者境外经纪机构违法经营或者出现重大经营风险,严重危害中国期货市场秩序、损害交易者合法权益,依法应予以行政处罚的,依照《期货交易管理条例》进行处罚;涉嫌犯罪的,依法移送司法机关,追究刑事责任。
第三十二条: 境外交易者或者境外经纪机构违反《期货交易管理条例》和中国证监会有关规定的,中国证监会依法进行查处。需要境外交易者或者境外经纪机构所在地监管机构协助的,中国证监会可以根据与其签署的双边或者多边监管合作谅解备忘录等跨境监管合作机制进行跨境监管合作。
第三十三条: 在中国证监会批准的其他期货交易场所从事境内特定品种期货交易及相关业务活动的,适用本办法。
第三十四条: 香港、澳门特别行政区和台湾地区设立的法人、其他经济组织,或者拥有香港、澳门特别行政区和台湾地区居民身份的自然人从事境内特定品种期货交易的,适用本办法。
第三十五条: 本办法自2015年8月1日起施行。