金融机构衍生产品交易业务管理暂行办法 order of the china banking regulatory commission

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1、精品文档金融机构衍生产品交易业务管理暂行办法OrderoftheChinaBankingRegulatoryCommission中国银行业监督管理委员会令No.1InterimMeasuresfortheManagementoftheDealingsofDerivativeProductsofFinancialInstitutionshavebeenadoptedatthechairmanmeetingofChinaBankingRegulatoryCommissionandareherebypromulgated.Thep

2、resentMeasuresshallcomeintoeffectasofMarch1，2004.LiuMingkang，ChairmanFebruary4，2004InterimMeasuresfortheManagementoftheDealingsofDerivativeProductsofFinancialInstitutionsChapterIGeneralProvisionsArticle1Withaviewtoregulatingthedealingsofderivativeproductsofbankingi

3、nstitutions，effectivelycontrollingtheriskofbankinginstitutionsinthetransactionofderivativeproducts，thepresentMeasuresareformulatedinaccordancewithBankingSupervisionLawofPeople’sRepublicofChinaandCommercialBankLawofPeople’sRepublicofChinaandotherrelevantlawsand2016全

4、新精品资料-全新公文范文-全程指导写作–独家原创22/22精品文档regulations.Article2ThetermoffinancialinstitutionsasmentionedinthepresentMeasuresreferstothebanks，trustandinvestmentcompanies，financecompanies，financialleasingcompanies，legalpersonofautofinancingcompaniesandbranchesofforeignbanksest

5、ablishedwithintheterritoryofPeople’sRepublicofChina（hereinafterreferredtoasbranchesofforeignbanks）。Article3ThetermofderivativeproductsasmentionedinthepresentMeasuresreferstoacertaintypeoffinancingcontractthevalueofwhichsubjectstooneormorethanonebasicassetsorindex.B

6、asictypesofthesecontractsarefutures，transactionatusance，swaptransactionandfuturesrights.Derivativeproductsalsoincludingstructuralfinancialtoolsthathaveoneormorecharacteristicoffutures，transactionatusance，swaptransactionandfuturesrights.Article4Thedealingsofderivati

7、onproductsoffinancialinstitutionsreferredtointhepresentMeasurescanbedividedintotwocategoriesasfollowed：（1）Thederivativeproducttransactionsforthe2016全新精品资料-全新公文范文-全程指导写作–独家原创22/22精品文档purposeofmakingprofitoravoidingriskoftheirowncapitalanddebt.Thefinancialinstitution

8、sareregardedasthefinalcustomerofderivativeproduct.（2）Financialinstitutionsprovidethederivativeproducttransactionstoclients（includingfinancialinst