郑州商品交易所违规处理办法-zce.pdf

郑州商品交易所违规处理办法 Measures for Punishment of Regulation Violations of Zhengzhou Commodity Exchange （郑州商品交易所第五届理事会：2008 年1 月7 日审议通过，自2008 年1 月15 日施行；2009 年3 月28 日修订，自2009 年4 月20 日施行；2012 年 8 月 14 日修订，自2012 年9 月3 日施行） (Approved after examination at the Fifth Council of Zhengzhou Commodity Exchange on January 7, 2008 and implemented since January 15, 2008; revised on March 28, 2009 and implemented since April 20, 2009; revised on August 14, 2012 and implemented since September 3, 2012.) 第一章 总则 Chapter 1 General Provisions 第一条 为加强期货市场管理，规范期货交易行为，保障期货市场参与者的合法 权益，根据《郑州商品交易所章程》、《郑州商品交易所交易规则》的有关规定， 制定本办法。 Article 1 These measures are formulated subject to Bylaws of Zhengzhou Commodity Exchange, Trading Rules of Zhengzhou Commodity Exchange and relevant regulations for the purpose of enhancing the management of the futures market, regulating futures trading activities and protecting legal rights of futures market participants. 第二条 本办法所称违规行为是指会员、客户、交割仓库（交割厂库）及期货市 场其他参与者违反郑州商品交易所（以下简称交易所）章程、交易规则及其他有 关规定的行为。 Article 2 Violations herein shall refer to any acts conducted by members, clients, designated delivery warehouses （factories ）and other futures market participants that violate rules and regulations of Zhengzhou Commodity Exchange（hereinafter referred to as the ZCE ）. 第三条 交易所根据公平、公正的原则，以事实为依据，对违规行为进行调查、 认定和纪律处分。违规行为构成犯罪的，移交司法机关，依法追究刑事责任。 Article 3 In accordance with fairness and justice, ZCE shall, based on facts, conduct the investigation, identification and disciplinary sanction on violating acts. Any entity with violating act that commits a crime shall be handed over to judicial agencies for criminal charging in accordance with applicable laws. 第四条 会员、客户、交割仓库及期货市场其他参与者违规行为已受到中国证监 会处罚的，交易所在决定纪律处分时可免除或减轻纪律处分。 Article 4 Punishments