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汇丰贵金属交易规则

2017-09-25 15页 doc 44KB 19阅读

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汇丰贵金属交易规则汇丰贵金属交易规则 白银的交易规则(暂行) 一、交易规则制定与培训管理 1.负责交易规则、交易细则、交易体系各个环节的交易制度、会员开户管理办法、销户管理办法等相关制度的修订和完善工作, 2.配合培训部对会员进行交易规则、开户、销户流程以及相关管理办法和交易系统使用与操作等方面的培训工作。 二、交易管理 1.日常交易参数的修改。如点差的调整、出金阈值的调整、汇率的修改等, 2.根据市场需求、相关部门的要求进行交易参数的修改。如保证金的调整、交易时间的临时修改等, 3.客户开户:接收并留存会员发送的需要激活客户的相...
汇丰贵金属交易规则
汇丰贵金属交易规则 白银的交易规则(暂行) 一、交易规则制定与培训管理 1.负责交易规则、交易细则、交易体系各个环节的交易制度、会员开户、销户管理办法等相关制度的修订和完善工作, 2.配合培训部对会员进行交易规则、开户、销户流程以及相关管理办法和交易系统使用与操作等方面的培训工作。 二、交易管理 1.日常交易参数的修改。如点差的调整、出金阈值的调整、汇率的修改等, 2.根据市场需求、相关部门的要求进行交易参数的修改。如保证金的调整、交易时间的临时修改等, 3.客户开户:接收并留存会员发送的需要激活客户的相关资料~审核资料~验证资金~激活客户, 4.客户销户:根据会员提出的申请~审核客户销户需备案的资料~并将销户客户的相关资料予以备案, 5.会员开户:根据相关部门审核的资料~进行会员的系统开户, 6.会员激活:根据交易市场所有部门以及领导的签署意见~验证其风险保证金到位后~给予符合标准的会员激活处理, 7.公告发布:根据交易市场的规定以及交易的需求~对会员、投资者拟定并发布有关公告, 8.处理日常会员问:接听会员电话~解答会员发生的问题。协调处理相关问题, 9.配合风控部门对会员进行风险提示工作, 10.对违规交易的会员~进行提醒、警示公告 ~并向合规部提交处罚提议。 三、系统升级的测试和验证 1.收集、整理、筛选、总结和提交系统优化需求, 2.配合系统开发部门进行系统升级前相关功能项和数据方面的测试、验证工作, 3.将在工作的过程中发现的系统问题以及会员提出的系统问题~经过交易部验证确定以后提交系统开发部处理解决。 四、突发事件的应急与协调 1.制定并完善交易部门各项工作环节的应急预案, 2.突发事件发生时的协调与处理。 第一章 总 则 第一条 为规范兰溪汇丰贵金属交易市场(以下简称“交易市场”)的白银交易行为,维护正常交易秩序,保障交易各方的合法权益,根据国家有关的法律、法规、政策制定本规则。 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang 第二条 交易市场坚持“公开、公平、公正”的宗旨,组织特别类会员、综合类会员及营业部开展白银现货及现货延期交收业务。客户与营业部交易、营业部与综合类会员交易,综合类会员与特别类会员交易(客户与客户之间、营业部与营业部之间不能交易)。 第三条 会员、营业部是指根据白银等贵金属交易有关法律、法规及《兰溪汇丰贵金属交易市场会员管理办法》的有关规定,经交易市场审核批准,从事白银等贵金属交易活动的特许白银交易商。 第二章 产品标准及报价 第四条 会员、营业部推出实物白银投资产品,成色为AG9999,符合中华人民共和国国家标准 GB/T 4135—2002,方可用于交割,会员、营业部保证一定现货存量并承诺对售出白银产品进行回购。 第五条 会员、营业部推出的实物白银投资产品,必须具有以下要素:白银产品编码、生产厂商标识和会员营业部的品牌名称,交易市场将根据市场情况适时推出其他符合法律要求的交易产品。 第六条 报价原则:交易市场以伦敦现货白银市场价格为基础,综合国内白银市场价格及中国人民银行人民币兑美元基准汇率,连续报出现货白银的人民币中间指导价。会员、营业部根据交易市场点差管理办法,在交易市场中间指导价的基础上,报出买入价及卖出价。 第七条 报价单位:人民币元/千克,报价保留到元的整数位。 第八条 报价时间:每周一至周六开市(结算时间、国家法定节假日及国际市场休市除外) 周一早8:00至周六早4:00; 结算休市时间:交易日内凌晨4:00至6:00; 具体开市、休市时间以交易市场通知为准。 第三章 交易方式 第九条 客户可自行选择通过电话或网络系统与会员、营业部进行现货全额和现货延期交收交易。 第十条 现货全额交易前,客户必须在交易市场指定账户存入与欲购买白银产品等值的人民币资金,买入的白银产品可选择提货或再次卖出给会员、营业部;客户如需卖出已提货的白银产品,可直接通过会员、营业部柜台卖出。 第十一条 延期交收交易是指按即时价格买卖白银产品签订电子,延迟至第二个工作日后任何工作日进行实物交收的交易行为,为确保买卖双方电子合同的履行交易时支付一定比例的交易保证金,履行电子合同前买卖双方按照实时价格变动进行互相补偿差价,实物交收时结清剩余货款。(买卖双方可以通过补偿差价的方式解除电子合同,终止交易) 第十二条 现货延期交收业务交易量为1千克的整数倍,最小交易量为1千克。 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang 第十三条 交易保证金:延期交收交易采用预付交易保证金的形式进行。客户预付交易保证金为成交金额的8,,40,。 第十四条 风险保证金:会员须向交易市场指定的银行保证金账户预存风险保证金。风险保证金不能与任何的自然人储蓄账户建立保证金转账对应关系,只能与会员在银行开立的银行结算账户之间办理签约转账。交易市场按会员预存保证金金额,计算会员的最大持仓补差亏损。交易市场有权根据市场实际情况对保证金比例进行调整。 第十五条 现货全额交易及延期交收交易均可向会员、营业部进行交割申报,提取或交收实物白银产品,需支付提(交)货费。 第四章 收费标准 第十六条 客户在参与白银产品交易过程中,需支付如下费用:手续费、仓单管理费、提货费、交货费等。 第十七条 手续费收取标准为成交金额的万分之八,其中交易市场收取万分之三,其余部分由会员、营业部收取。 第十八条 仓单管理费收支标准由交易市场价格监督管理委员会根据实际情况确定,客户持有电子合同,隔夜需按价格监督委员会确定的延期费率缴收仓单管理费。 第十九条 提货费包括加工费、储运费等,收取标准为不高于成交总金额的30%;交货费包括检验费、重铸费等,收取标准为不低于成交总金额的5%。提货费、交货费由会员、营业部收取,国家规定的税收由卖方负责。 第二十条 客户的交易保证金须打入交易市场指定银行托管账户,相关交易费用由交易市场代会员、营业部统一收取,会员、营业部不得再收取客户任何费用。 第二十一条 交易市场有权根据市场实际情况对以上收费标准进行调整。 第五章 清算 第二十二条 延期交收交易实行集中、T+1的资金清算原则。“集中”是指由交易市场和托管银行对会员、营业部及客户资金统一进行清算;“T+1”是指交易市场对客户和营业部、会员每笔交易市场产生的补差盈亏及费用在第二个工作日内进行资金清算。 第二十三条 会员、营业部及客户须在交易市场指定的银行开立资金清算账户;资金托管银行根据交易系统每日结算数据,在规定时间内进行资金清算。 第二十四条 会员、营业部及客户可通过交易系统实时查询资金清算明细数据,如有异议,24小时内向交易市场提出复核申请。 第六章 交割 第二十五条 延期交收交易的实物交割地为会员、营业部所在地(包括交易市场授权的综合类会员所在地的交割仓库)。 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang 第二十六条 持有白银产品买入的客户在每个交易日上午10点至下午16点可向会员、营业部进行提货申报(客户在此之前须向其保证金账户内存入足额货款),提取实物白银产品;持有白银卖出的客户在每个交易日上午10点至下午16点向会员、营业部进行交货申报,将白银产品交与会员、营业部,结清货款,完成交割。 第二十七条 客户申请交割实物白银产品的数量须为1千克的整数倍,最少交割数量白银产品实际重量。具体交割数量及交货、付款期限如下: 交割银锭数量(G) 交货、付款期限 1千克?G,20千克 0-10个工作日 20千克?G,2000千克 20个工作日 2000千克?G 双方商定 会员回购、回收,原则上需即时向客户全额支付款项;款项不足时,延期支付日期限如下: 回收银锭数量(G) 最大支付期限 20千克?G,200千克 15个工作日 200千克?G,2000千克 20个工作日 2000千克?G 双方商定 构成交收违约的,由违约方根据交易保证金比例支付违约金给守约方。 第七章 居间业务 第二十八条 居间业务是指客户通过会员、营业部、服务中心中介开户,与会员、营业部进行白银产品交易的活动,其程序是: (1) 客户委托服务中心办理开户手续,双方签署《居间书》,服务中心协助客户与会员、营业部签署《客户》; (2)交易市场实行客户编码登记备案制度,客户开户时应由会员、营业部按交易市场统一的编码规则进行编号; (3) 每笔交易由客户通过电话或远程方式直接向会员、营业部下达指令。 第二十九条 客户也可直接与会员、营业部签署《客户协议书》并办理开户手续进行交易。 第八章 风险管理 第三十条 交易市场对客户实行单笔最大交易限额制度及最大持仓限额制度(客户单笔最大下单量为1000千克,最大持仓量为3000千克,交易市场有权根据市场情况进行调整),当客户持仓达到最大限额时,不得再向同或相反方向开仓交易。 第三十一条 交易市场实行强行风险控制制度,当客户出现下列情况之一时,交易市场对其买入或卖出的白银产品实行强行平仓: this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang (一) 交易系统以客户账户买入和卖出白银产品的风险率来衡量客户风险情况,风险率,客户账户净值?持仓占用交易保证金,当客户账户风险率小于100,时,客户交易保证金不足,由会员、营业部通知客户需要追加电子合同保证金(此提醒只是作为会员、营业部的人性化提示,并不构成会员、营业部的义务),否则客户只能减少买入或卖出的白银产品,直至客户账户风险率等于或者大于100%。当客户账户风险率?50,时,会员、营业部将客户剩余持仓电子合同进行全部强行平仓; (二) 因违规受到交易市场强行平仓处罚的; (三) 根据交易市场紧急措施应进行强行平仓的; (四) 其他应予强行平仓的情况。 第三十二条 交易市场对会员、营业部同样实行强行风险控制管理。当会员出现下列情况之一时,交易市场对其持有净电子合同实行强行平仓: (一) 交易市场以会员、营业部持有净电子合同的补差浮动亏损来衡量会员风险情况。当会员、营业部所持净电子合同补差亏损额达到其风险保证金数额的50,时,交易市场将向此会员、营业部公告其存在强平风险;当会员、营业部的补差亏损额达到初始风险保证金的70%时,会员、营业部的净电子合同将会被强行平仓; (二) 因违规受到交易市场强行平仓处罚的; (三) 根据交易市场紧急措施应进行强行平仓的; (四) 其他应予强行平仓的情况。 第三十三条 被强行平仓的会员、营业部,其名下客户的电子合同交易将直接转交给特别类会员(特别类会员的交易规则详见《特别类会员管理办法》),价格损失由会员、营业部承担。会员、营业部必须在当日结算后的两个工作日内补足最低风险保证金,否则无法继续交易,其名下所有客户由特别类会员接管。 第三十四条 交易市场实行风险警示制度。当交易市场认为必要时,可以分别采取或同时采取要求报告情况、发布风险警示公告等措施,以警示和化解风险。 第九章 异常情况处理 第三十五条 异常情况是指不可抗力的突发事件以及交易市场规定的其他情形。 第三十六条 在报价及交易过程中,如果出现以下情形,交易市场可以宣布进入异常情况,采取紧急措施化解风险: (一)地震、水灾、火灾、战争、罢工等不可抗力或计算机系统故障等不可归责于交易市场的原因导致报价无法正常进行; (二)交易市场业务规则中规定的其他情况。 出现以上所述异常情况时,交易市场可以采取调整开市收市时间、暂停报价、限期平仓、强行平仓、限制取款等紧急措施。 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang 第三十七条 交易市场宣布进入异常情况并决定采取紧急措施前须予以公告。 第三十八条 因异常情况交易市场采取的相应措施造成的损失,交易市场不承担责任。 第十章 信息管理 第三十九条 交易市场发布当日市场行情及市场有关信息。 第四十条 交易市场发布的信息包括:交易品种的最高价、最低价、最新价以及其他需要公布的信息。 第四十一条 交易市场为会员、营业部和客户提供相关信息的查询。 第四十二条交易市场产生的信息归交易市场所有。未经许可,任何机构和个人不得擅自使用和传播。 第十一章 监督管理 第四十三条 交易市场依据本规则及有关规定,对涉及交易业务的活动进行监督管理。 第四十四条 交易市场监督管理的主要内容是: (一)监督、检查市场政策、法规和交易规则的落实执行情况、控制市场风险; (二)监督、检查会员、营业部和客户的交易行为及服务中心的市场行为; (三)了解和掌握会员、营业部的财务、资信状况; (四)调解、处理报价纠纷,调查处理各种违规事件; (五)对其他违背“公开、公平、公正”原则,制造市场风险的行为进行监控。 第四十五条 交易市场履行监督管理职责时可按有关规定行使调查、取证等权利,会员、营业部、服务中心应当配合。 第四十六条 对交易过程中发生的重大问题,经交易市场决定,可由会员、营业部代表、交易市场工作人员及有关人士组成特别调查委员会。特别调查委员会存续期间,按本规则行使监督管理权。特别调查委员会实行回避制度。 第四十七条 交易市场工作人员不能正确履行监督管理职责的,会员、营业部、服务中心、客户有权向交易市场及相关部门投诉、举报。经查证属实的,应严肃处理。 第十二章 调解与处罚 第四十八条 会员、营业部、服务中心、客户之间因交易而发生纠纷时,可以自行协商解决,也可向交易市场申请调解。 第四十九条 交易市场根据一方当事人的书面申请调解纠纷。双方达成调解协议的,可由交易市场见证实施。 第五十条 对会员、营业部、服务中心、客户的违规、违约行为,交易市场有权依据国家法律、法规、政策及本交易规则并结合《兰溪汇丰贵金属交易市场违规违约管理办法》采取相应的处罚措施。 第十三章 附 则 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang 第五十一条 交易市场可根据本规则制定实施细则。 第五十二条 本规则解释权与修订权属于兰溪汇丰贵金属交易市场 。 第五十三条 本规则自发布之日起施行。 this end, Hong Haiquan Nanxun home decided to temporary shelters, but just the Nanxun, Japanese xuanfu class traitors of Nanxun from Divisional Investigation Team, sent to flood home visits. Forced Hong Haiquan to zhenze, temporary residence his father's tea shop. In April, agreed by the Zhuang Shaozhen, Hong Haiquan defected to anti-Japanese base area of southern Jiangsu Province. In October 1940, the KMT brewing for the second wave of anti-communist, Wujiang County political team was withdrawn, replaced by youth team. Zhuang Shaozhen published before the new identity was removed from post of Captain of the County's political team. Communists jindapeng managed to serve as captain of the youth team, County political group of the original officers transferred to the youth team, saved the revolutionary forces. In March or April 1941, jiuguojun entered the Tomb, hunt for Communists. Zhuang Shaozhen into rural activities were arrested. Thanks to Zhuang Shaozhen terrain at night while the enemy unprepared after the wit to get away, to the liberated areas of northern Jiangsu. 2, and CPC Central Committee special section system April 1938, CPC Central Committee special section in Shanghai of intelligence head Xu Qiang, and plateau delegate in second times domestic revolutionary war period joined CPC, and had participate in had Northeast anti-Japanese volunteer, has in Beijing, and Shanghai, to engaged in party of intelligence work of Shandong province Yixian people Li Yu autumn (and name Chen xiantang
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