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1、DH期貨經(jīng)紀(jì)有限公司規(guī)章制度匯編1目錄DH期貨經(jīng)紀(jì)有限公司.....................................................................................................................................6公司治理制度...................................................
2、.................................................................................................6第一章總則.....................................................................................................................
3、...............................6第二章股東會(huì)職責(zé)及其會(huì)議制度................................................................................................................6第三章董事會(huì)職責(zé)及其會(huì)議制度...............................................
4、.................................................................8第四章監(jiān)事會(huì)職責(zé)及其會(huì)議制度..............................................................................................................10第五章總經(jīng)理職責(zé)及其辦公會(huì)議制度............
5、..........................................................................................12第六章附則...........................................................................................................................
6、.....................13DH期貨經(jīng)紀(jì)有限公司...................................................................................................................................14工作崗位職責(zé)管理制度............................................
7、......................................................................................14第一章總則...............................................................................................................................
8、...................14第二章崗位職責(zé)..........................................................................................................................................14第四條公司客戶服務(wù)崗位職責(zé)包括:....................................
9、..........................................................14第五條公司交易崗位包括交易部經(jīng)理崗位、交易員崗位和出市代表崗位。..............................15第六條公司交易部經(jīng)理崗位職責(zé)包括:...............................................................................
10、...........15第七條公司交易員崗位職責(zé)包括:..................................................................................................15第八條公司出市代表崗位職責(zé)包括:............................................................................
11、..................16第九條公司結(jié)算崗位職責(zé)包括:......................................................................................................16第十一條公司財(cái)務(wù)負(fù)責(zé)人崗位職責(zé)包括:................................................................
12、......................17第十二條公司會(huì)計(jì)崗位職責(zé)包括:..................................................................................................18第十三條公司出納崗位職責(zé)包括:..................................................................
13、................................18第十四條公司風(fēng)險(xiǎn)控制崗位職責(zé)包括風(fēng)控部經(jīng)理崗位和風(fēng)控員崗位:......................................19第十六條公司行政管理崗位包括行政部經(jīng)理崗位、人力資源崗位和辦公文員崗位。..............21第三章管理與監(jiān)督........................................................
14、..............................................................................23第四章獎(jiǎng)勵(lì)與懲罰....................................................................................................................................
15、..24DH期貨經(jīng)紀(jì)有限公司...................................................................................................................................25金融期貨經(jīng)紀(jì)業(yè)務(wù)管理制度.............................................................
16、.............................................................25第一章總則..............................................................................................................................................25第二章經(jīng)紀(jì)業(yè)務(wù)管
17、理..................................................................................................................................26第三章中間介紹業(yè)務(wù)管理............................................................................
18、............................................28第四章交易結(jié)算管理..................................................................................................................................29第五章風(fēng)險(xiǎn)控制管理........................
19、..........................................................................................................30第六章金融期貨業(yè)務(wù)檔案管理...................................................................................................
20、...............31第七章附則..............................................................................................................................................32DH期貨經(jīng)紀(jì)有限公司............................................
21、.......................................................................................33財(cái)務(wù)會(huì)計(jì)管理制度...........................................................................................................................
22、...............33第一章總則..................................................................................................................................................33第二章會(huì)計(jì)崗位與會(huì)計(jì)責(zé)任......................................
23、................................................................................33第三章預(yù)算控制...................................................................................................................................
24、.......34第四章資金管理..........................................................................................................................................35第五章公司收支與實(shí)物資產(chǎn)的管理.................................................
25、.........................................................37第六章會(huì)計(jì)帳務(wù)處理和信息披露的管理要求..........................................................................................38第七章財(cái)務(wù)稽核、內(nèi)部審計(jì)與會(huì)計(jì)檔案的管理..............................
26、........................................................39DH期貨經(jīng)紀(jì)有限公司規(guī)章制度匯編3期貨保證金安全存管管理辦法......................................................................................................................77第一章總則.......
27、...........................................................................................................................................77第二章業(yè)務(wù)規(guī)則........................................................................
28、..................................................................77第三章監(jiān)督與管理........................................................................................................................................79第四章附則.
29、...............................................................................................................................................80DH期貨經(jīng)紀(jì)有限公司.................................................................
30、..................................................................82風(fēng)險(xiǎn)控制制度..................................................................................................................................................
31、82第一章總則....................................................................................................................................................82第二章風(fēng)控崗位設(shè)置和職責(zé)...................................................
32、.....................................................................83第三章保證金制度和追加保證金制度........................................................................................................85第四章強(qiáng)行平倉(cāng)制度..................
33、................................................................................................................86第五章風(fēng)險(xiǎn)預(yù)警制度.................................................................................................
34、.................................88第六章錯(cuò)單處理..........................................................................................................................................89第七章居間人管理..............................
35、..........................................................................................................90第八章附則...........................................................................................................
36、.......................................90DH期貨風(fēng)控員崗位操作流程.......................................................................................................................91DH期貨經(jīng)紀(jì)有限公司居間人管理細(xì)則............................
37、...........................................................................94期貨公司首席風(fēng)險(xiǎn)官管理規(guī)定......................................................................................................................98第一章總則.....
38、.........................................................................................................................................98第二章任免與行為規(guī)范.......................................................................
39、.....................................................98第三章職責(zé)與履職保障..........................................................................................................................100第四章監(jiān)督管理.......................
40、...................................................................................................................103第五章附則.................................................................................................
41、...........................................104DH期貨公司反洗錢(qián)管理內(nèi)控制度.............................................................................................................105DH期貨經(jīng)紀(jì)有限公司.....................................
42、............................................................................................112內(nèi)部稽核制度.......................................................................................................................
43、.........................112第一章總則.............................................................................................................................................112第二章稽核機(jī)構(gòu)的設(shè)置和人員配備............................
44、.............................................................................112第三章稽核部門(mén)的職責(zé)、權(quán)限與獎(jiǎng)懲....................................................................................................113第四章稽核內(nèi)容..............
45、............................................................................................................................115第五章稽核程序、方法和形式................................................................................
46、................................115DH期貨經(jīng)紀(jì)有限公司.................................................................................................................................118教育培訓(xùn)制度.....................................
47、...........................................................................................................118第一章總則.........................................................................................................
48、.................................118第二章教育培訓(xùn)工作的組織與領(lǐng)導(dǎo)........................................................................................................118第三章期貨從業(yè)人員培訓(xùn)的原則和內(nèi)容.............................................
49、.....................................................119第四章期貨從業(yè)人員的崗位培訓(xùn)..............................................................................................................120第五章客戶的培訓(xùn)和服務(wù)..........................
50、................................................................................................121DH期貨客戶投訴管理制度.............................................................................................................
51、............122DH期貨經(jīng)紀(jì)有限公司.................................................................................................................................124信息安全管理制度.......................................................
52、.................................................................................124第一章總則...................................................................................................................................
53、.........124第二章信息部門(mén)的設(shè)置及職能...............................................................................................................124第三章信息的收集、整理和加工...................................................................
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