Page 37 - 期货和衍生品行业监管动态（2023年2月）

期货和衍生品行业监管动态

3. Jiang has been accredited to Jinrui Futures and approved to act as its
responsible officer for Type 2 (dealing in futures contracts) regulated

activity since June 2009. Jiang has been Jinrui Futures’ MIC of the (i)

Operational Control and Review and AML/CFT functions since March 2016,

and (ii) Compliance function from March 2016 to July 2019.

4. CSSs are trading software developed and/or designated by the clients that

enable them to conduct electronic trading through the internet, mobile

phones and other electronic channels.

5. The CSSs were connected to Jinrui Futures’ broker supplied system (BSS)

through application programming interface (a set of functions that allows

applications to access data and interact with external software components

or operating systems). BSSs are trading facilities developed by exchange
participants or vendors that enable the exchange participants to provide

electronic trading services to investors through the internet, mobile phones

and other electronic channels.

6. Code of Conduct for Persons Licensed by or Registered with the Securities

and Futures Commission.

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