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overseasspecialparticipantsmanagementrulesofthe.doc

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overseasspecialparticipantsmanagementrulesofthe

Overseas Special Participants Management Rules of the Shanghai International Energy Exchange (for Public Consultation) Table of Contents Chapter 1 General Provisions 2 Chapter 2 Rights and Obligations of Overseas Special Participants 3 Chapter 3 Acquisition, Change and Termination of Licenses of Overseas Special Participants 4 Chapter 4 Business Rules 13 Chapter 5 Supervision 14 Chapter 6 Dispute Resolution 17 Chapter 7 Miscellaneous 18 Chapter 1 General Provisions These Rules are formulated, pursuant to the General Exchange Rules of the Shanghai International Energy Exchange, to strengthen the self-disciplinary regulation of Overseas Special Participants and regulate the business activities of Overseas Special Participants on the Shanghai International Energy Exchange (“the Exchange”). Overseas Special Participants are overseas entities that meet the qualifications prescribed by the China Securities Regulatory Commission (the “CSRC”) and the Exchange, and are approved by the Exchange to directly engage in the trading in the Exchange, including Overseas Trading Participants that directly conduct trading in futures exchanges as stipulated in Article 5 Paragraph 2, and Overseas Brokerage Institutions that directly conduct trading in futures exchanges as stipulated in Article 6 Paragraph 2, of the Interim Measures on the Administration of Overseas Trading Participants’ and Overseas Brokerage Institutions’ Engagement in Trading of Domestic Specified Futures Products. The Exchange, Overseas Special Participants and their practitioners, Overseas Intermediaries and Clients thereof shall comply with these Rules. The provisions governing Members in each of the business rules of the Exchange shall apply to the trading activities of Overseas Special Participants in the specified domestic futures products of the Exchange, unless otherwise prescribed by the Exchange. Chapter 2 Rights and Obligations of Overseas Special Participants Overseas Special Participants are class