期货从业资格考试法律法规2012新增内容(重要点标注版).doc

. 期货公司期货投资咨询业务试行办法 中国证券监督管理委员会令第70号 颁布日期　实施日期 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 1#1 第一章　总则 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 2#2 第二章　公司业务资格和人员从业资格 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 3#3 第三章　业务规则 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 4#4 第四章　防范利益冲突 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 5#5 第五章　监督管理和法律责任 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l 6#6 第六章　附则 第一章　总则 　　第一条　为了规范期货公司期货投资咨询业务活动，提高期货公司专业化服务能力，保护客户合法权益，促进期货市场更好地服务国民经济发展，根据 HYPERLINK :87/page/secondbrw.cbs?rid=4order=99result=C%3A%5CWINDOWS%5CTEMP%5CH177538%2Etmppage=allindexf=field=transword=++%C6%DA%BB%F5dkall=1OpenCondition=FULLTEXT%3D%27%28%23%CA%B1%D0%A7%D0%D4%3D%2A%29+AND++%28%C6%DA%BB%F5%29%27 \l # 《期货交易管理条例》等有关规定，制定本办法。 　　第二条　本办法所称期货公司期货投资咨询业务，是指期货公司基于客户委托从事的下列营利性活动:　　（一）协助客户建立风险管理制度、操作流程，提供风险管理