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shanghai futures exchange code of conduct of floor traders-凯发k8娱乐官网入口

this code of conduct is formulated pursuant to the applicable provisions of the regulations of shanghai futures exchange and the trading rules of shanghai futures exchange for the purposes of strengthening regulation of the floor traders, normalizing their conducts and ensuring the normal trading order.

 

article 1 this code of conduct shall be applicable to the floor traders who are appointed by the member and enter the trading floor to participate in trading.

 

article 2 the floor trader shall earnestly comply with the code of conduct and conscientiously protect the trading order of the trading floor.

 

article 3 the floor trader must enter the floor at the time required by the exchange and shall not , and in case of delay, shall not enter the floor for participation in the trading of the then-current session. in case of a special circumstance, the entrance for be subject to the floor trading host’s consent.

 

article 4 the floor trader who enter the trading floor must wear the red waistcoat and the floor trader certificate as required and hold the electronic access card. entrance for trading will be prohibited in case of no certificate or being not a floor trader. each trading seat may have one to two floor traders to carry out floor trading.

 

article 5 during the trading time, the floor trader shall not chat or laugh loudly or roar, without due cause, or otherwise affect the others’ trading.

 

article 6 the floor trader must operate the computer as per the detailed operating rules formulated by the exchange and shall not damage the trading equipment or use another member’s telephone without permission, and in case of any results arising out of the violation or irregularity, must indemnify the loss and accept the punishment.

 

 

article 8 the floor trader shall not steal the data stored in the computer or damage the network, and in case of being discovered and verified to do so, shall be disqualified as a floor trader by the exchange.

 

article 9 the floor trader shall not bring tea water, beverages or otherwise into the trading floor, and shall not smoke, snack, play computer games or commit any other non-trading conduct in the trading floor.

 

article 10 in case of any issue during the trading, the floor trader must contact the trading host by raising his hand or by calling and shall not beat the trading desk, trading terminal or any other equipment.

 

article 11 the floor trader’s or absence from the floor during the trading time must be subject to the trading host’s consent.

 

article 12 in case a floor trader materially violates any of the applicable provisions, the exchange will notify the member’s headquarters and require replacement.

 

article 13 the exchange will examine the floor trader’s performances at the trading floor pursuant to the code of conduct through integration of the keeping points and appraisal, and the rewards or punishments will be made as the case may be.

 

article 14 in case of the violation of the provisions above, the points shall be deducted as per the following standards:

 

(1) in case of failing to use the electronic access card as required, wear the red waistcoat or wear the floor trader certificate, deduct 2 points/time;

(2) in case of lending the electronic access card or the floor trader certificate card to any third person, deduct 2 points/time;

(3) in case of bringing tea water, beverages or food or smoking or snacking at the floor, deduct 2 points/time;

(4) in case of delay or dozing during trading time, deduct 2 points/time;

(5) in case of leading a non-floor trader into the floor without permission, deduct 3 points/time;

(6) in case of chatting or laughing loudly or roaring, leaving his own post of duty without due cause, or otherwise affecting the others’ trading at the floor, deduct 3 points/time;

(7) in case of scrawling or scrabbling or damaging the trading equipment at the trading seat or intentionally using the trading equipment improperly, which leads to a result, deduct 3 points/time in addition to indemnification of the loss;

(8) in case of moving or using the computer, telephone or other relevant equipment not at his member seat without permission, or changing or connecting other equipment at the computer terminal without permission, deduct 3 points/time in addition to payment of the costs incurred and satisfaction of the loss;

(9) in case of defaulting without due cause within the trading time, deduct 3 points/time; and

(10) in case of any other irregularity at the trading floor, deduct one to three points/time based on the seriousness of the circumstance.

 

article 15 if a floor trader has been deducted five or more points, the exchange will report relevant information related thereto to his employer; if a floor trader has been deducted ten or more points, the exchange will suspend the floor trader’s qualification for one month; and if a floor trader is secondly suspended of entrance for trading, he shall not enter the floor for trading within the following one year (the points under this article is ).

 

article 16 during the trading time, the non-floor trader and the non-trading host shall not enter the trading floor, or in case they must enter the floor due to a special need, may enter the floor subject to approval byof the exchange and prior notification to the trading host.

 

article 17 the floor trader shall have the right to supervise the host and will be granted points as per the following standards if to be true:

 

(1) in case of complaining the trading host is unfair in handling matters, grant 2 points after verification thereof;

(2) in case of complaining the trading host fails to fully perform his duties, grant 3 points after verification thereof; and

(3) in case of complaining the trading host is not well-mannered, grant 3 points after verification thereof.

 

article 18 the exchange will annually hold a well-mannered floor trader selection activity.

 

article 19 this code of conduct shall be interpreted by the exchange.

 

article 20 this code of conduct shall

 

shanghai futures exchange

 

may 1999

 

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