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境外交易者参与境内特定品种期货交易 《期货经纪合同》补充协议(期货业协会2017版)

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<!DOCTYPE html PUBLIC "-//W3C//DTD XHTML 1.1//EN" "http://www.w3.org/TR/xhtml11/DTD/xhtml11.dtd"><html xmlns="http://www.w3.org/1999/xhtml"><head><meta http-equiv="Content-Type" content="application/xhtml+xml; charset=utf-8" /><title></title><style type="text/css">body{ font-family:'Times New Roman'; font-size:1em; } p {padding:0;margin-top:5pt;margin-right:0;margin-bottom:5pt;margin-left:0;} ul, ol{ margin-top: 0; margin-bottom: 0; } .Normal{page-break-inside:auto;page-break-after:auto;page-break-before:auto;margin-left:0.0pt;text-indent:0.0pt;border-top-style: none;border-left-style: none;border-right-style: none;border-bottom-style: none;font-size:11.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;} .Heading-1{page-break-inside:avoid;page-break-after:avoid;page-break-before:auto;margin-left:0.0pt;text-indent:0.0pt;border-top-style: none;border-left-style: none;border-right-style: none;border-bottom-style: none;color:#3B608D;font-size:14.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:'Times New Roman';font-weight:bold;} .Default-Paragraph-Font{font-size:11.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;} .Normal-Table{} .Heading-1-Char{color:#3B608D;font-size:14.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:'Times New Roman';font-weight:bold;} </style></head><body style="pagewidth:612.0pt;pageheight:792.0pt;"><div class="Section0"><div style="min-height:72pt" /> <p class="Heading-1" style="text-align:center;line-height:1.0;"><span style="color:#000000;font-size:18.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:SimSun;font-weight:bold;">境外交易者参与境内特定品种期货交易《期货经纪合同》补充协议</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">甲方:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">乙方:</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">甲方与拟参与</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">上市的</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">交易的乙方经过平等协商,就相关经纪服务事项达成如下协议,作为双方《期货经纪合同》的补充:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第一条 甲方须严格执行开户实名制、交易编码制度及交易者适当性制度,对乙方进行适当性及实名制审核并留存开户资料及影像资料,在乙方满足中国证监会、期货交易所、中国期货业协会、中国期货市场监控中心有关规定的情况下为乙方单独申请交易编码。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第二条 甲乙双方均承诺遵守中华人民共和国(以下简称“中国”)法律法规、政策、交易所业务规则、行业自律规则及合同约定事项,并切实履行反洗钱、反恐融资、反逃税等义务。任何一方违反此项承诺,导致本协议无效或者解除的,应该承担相应的法律责任。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方承诺参与中国境内特定品种期货交易符合所在国(地区)法律法规的相关规定。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">对于甲方为遵循中国法律法规、政策、交易所业务规则、行业自律规则所采取的任何行为,甲方不承担责任。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方违反上述承诺的,甲方有权拒绝乙方的委托,并有权终止与乙方的期货业务经纪关系。乙方应承担由此产生的全部责任。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第三条 乙方的开户证明文件以中国期货市场监控中心开户业务规则的要求为准。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第四条 经期货交易所批准,乙方可以以外汇资金,标准仓单等价值稳定、流动性强的有价证券作为保证金,可折抵保证金的数额、期限等依照期货交易所规则执行。甲方应按照期货交易所规则的要求代为办理。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第五条 指定存管银行或其他第三方出现未履行义务、重组、破产清算、停业结算、被接管或托管等情况,从而对乙方交存的保证金造成任何直接或间接损失的,甲方不承担责任。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第六条 乙方对其支付或收取的与本合同、期货合约等相关的款项,如涉及货币兑换,兑换汇率以兑换发生时存管银行提供的汇率为准,由乙方承担相关的货币兑换费用及汇率风险。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方的出入金环节可能存在因时差、境内外银行节假日差别等导致的风险,此风险应由乙方承担。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第七条 甲乙双方一致同意以人民币进行结算。甲方同意乙方选择以 □人民币 □</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(外币币种)收取当日盈利。乙方选择外币币种的,在确保不会造成乙方结算准备金不足的情况下,乙方账户中的当日盈利可以根据约定在当日结算后由甲方兑换成外汇。需要变更上述选择的,应当遵守期货交易所关于收取当日盈利的相关规定,并经双方书面确认。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">甲方换汇须遵守中国人民银行、中国证监会、国家外汇管理局以及期货交易所的相关规定。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第八条 乙方的资金调拨指令以书面方式下达的,应当由乙方或乙方指定的资金调拨人签字。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方的资金调拨指令以电话方式下达的,应当与甲方约定身份认证方式:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">                </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">,甲方应当进行同步录音保留原始资金调拨指令记录。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第九条 甲方有权审核乙方的资金调拨指令,包括但不限于可提资金是否充足、指令内容是否齐全和明确、是否违反有关法规规定、期货交易所规则及合约约定等,以确定指令的有效性。当确定乙方的指令为无效指令时,甲方有权拒绝执行乙方的指令。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十条 乙方同意在辅助通知方式中,以乙方预留的联系方式为准,乙方保证预留联系方式的真实、有效、畅通。如乙方需对预留联系方式进行变更,应当及时以书面、电话或合同约定的其他方式通知甲方,否则由此造成的后果及损失由乙方承担。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十一条 乙方持有某品种合约的数量达到期货交易所规定的持仓报告标准或交易所要求进行大户报告时,应当按期货交易所的业务规则向期货交易所报告。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十二条 甲方根据期货交易所规则和甲方风险控制管理制度,有权限制客户持仓数量,并有权不经乙方同意在合理的范围内对乙方的期货合约超量部分强行平仓。乙方应承担由此产生的结果。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十三条 当乙方有下列情形之一时,甲方有权通过平仓或处置质押物等方式对乙方期货账户进行清算,同时解除本合同:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(一)违反《期货经纪合同》第三条的有关声明与保证;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(二)违反社会公德,妨碍他人正常交易,严重影响甲方正常交易秩序;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(三)违反交易所业务规则的有关规定,并经甲方劝阻无效;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(四)违反甲方业务规则的有关规定,并经甲方劝阻无效;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(五)在甲方保证金存管银行开设的期货结算账户被监管机关或司法机关采取冻结、扣划等强制措施或保全措施;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(六)其他符合法定或者约定解除合同条件的情况。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十四条 关于本合同的解释、履行及争议解决等适用中华人民共和国法律。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十五条 本合同外文译本与中文文本如有差异,以中文文本为准。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十六条 乙方指定下列联系方式作为甲方向乙方发送通知、文件等的有效联系方式:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">姓名:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">地址:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">邮编:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">座机:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">手机:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">电子信箱:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">传真:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方应在上述填写内容发生变化时及时以书面形式通知甲方。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十七条 乙方委托以下在中国境内有住所的人员作为有权代其接受送达的人,各项仲裁文书、法律文书等以合同约定的送达方式送达该人即视为送达乙方:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">代收人姓名:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">地址:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">联系电话:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">电子信箱:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方应在上述填写内容发生变化时及时以书面形式通知甲方。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十八条 乙方知悉并同意甲方对其与甲方间部分或全部会话等进行记录,乙方同意甲方录音记录、系统记录等具有证据效力,甲方有权将该等记录用于任何诉讼或其认为适当的场合。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第十九条 本协议为《期货经纪合同》的组成部分,与《期货经纪合同》具有同等法律效力。本协议所称“本合同”,包括《期货经纪合同》及本协议等双方约定达成的所有文件。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">本协议与《期货经纪合同》不一致之处,以本协议为准。本协议未规定事宜,按照《期货经纪合同》执行。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第二十条 本协议如遇与法律法规、政策、行业自律规则相冲突时,以相关法律法规、政策、行业自律规则为准。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">第二十一条 本协议一式三份,甲方执两份,乙方执一份。</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">甲方(期货公司名称):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">授权签字:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(盖章)</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">乙方:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">授权签字(机构):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">(机构加盖公章或印鉴(如有))</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">签署日期:    年    月    日</span></p> </div></body></html>

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