Administration of Accounts Involving Actual Control Relationship

Introduction

  To regulate accounts involving actual control relationship and to ensure the normal functioning of daily management, this business guideline is made according to the relevant rules of China Securities Regulatory Commission.

Procedures Involved

  Reporting, affirmation, confirmation, co-investigation, and grouping of accounts involving actual control relationship as well as speculative positioning and position consolidating, etc.

Business Details

+ Procedures of Daily Management of Accounts Involving Actual Control Relationship

Business Description
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Forms and Materials
Reporting Form for Accounts Involving Actual Control Relationship >>
Feedback Form for Affirmation of Reported Accounts Involving Actual Control Relationship >>
Feedback Form for Affirmation of Reported Accounts Involving Actual Control Relationship >>
Feedback Form for Co-investigation of Accounts Involving Actual Control Relationship >>
Compliance Statement and Letter of Commitment >>
Summary Form of Basic Information of Clients >>
Relevant Management Rules
Notice on Reporting Accounts Involving Actual Control Relationship in Provisional Regulatory Rules for Abnormal Transactions of Shanghai Futures Exchange, Notices on Affirmation Standard for Accounts Involving Actual Control Relationship in Futures Markets in Provisional Regulatory Rules for Abnormal Transactions of Shanghai Futures Exchange, and Notices on Speculative Positioning and Position Consolidating of Accounts Involving Actual Control Relationship in Futures Market in Provisional Regulatory Rules for Abnormal Transactions of Shanghai Futures Exchange.
Business Contact
Ms. Zhu

021-68401451

zhu.weiwei@shfe.com.cn 

Mr.Zhang

021-68400439

zhang.xinchi@shfe.com.cn 

Business Procedures