【中英文对照版】银行间人民币外汇市场交易规则(2019修订).docx

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1、银行间人民币外汇市场交易规则第一章总则第一条为规范和发展银行 间人民币外汇市场，促进市场诚 信、公平、有序、高效运行，维 护银行间外汇市场参与者合法权 益，根据中华人民共和国外汇 管理条例（中华人民共和国国 务院令第532号）、银行间外 汇市场管理暂行规定（银发 （ 1996） 423号）等规范性文银行间人民币外汇市场交易规则(2019修订)TradingRulesofInterbankRMBForeignExchangeMarket(2019Revision)制定机关：中国外汇交易中心暨全国专艮行间同业拆借中心发文字号：中汇交发2019401号公布日期：2019.12.05施行日期：2019

2、.12.05效力位阶：部门规范性文件法规类别：人民币汇率和外汇市场IssuingAuthority：ChinaForeignExchangeTradingCenter&NationalInterbankFundingCenterDocumentNumber：No.4012019oftheChinaForeignExchangeTradeSystemDateIssued：12-05-2019EffectiveDate：12-05-20191.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：ExchangeRateofRenminb

3、iandForeignExchangeMarketTradingRulesofInterbankRMBForeignExchangeMarketChapter I GeneralProvisionsArticle1TheseTradingRules(uRuIesn)areformulatedinaccordancewiththeRegulationsonForeignExchangeSystemofthePeoplesRepublicofChina(PRCStateCouncilDecreeNo.532),theInterimProvisionsontheAdministrationofInt

4、erbankForeignExchangeMarket(PBCCircular1996No.423)andothernormativedocumentstoregulateanddeveloptheinterbankRMBforeignexchangemarket(uinterbakRMB/FXmarketn);promotemarketintegrity,fairness,orderliness,andefficiency;件，制定本交易规则(以下简称andprotectthelegitimaterightsandinterestsof本规则)otheparticipantsoftheint

5、erbankforeignexchangemarket.Article2TheChinaForeignExchangeTradeSystem(uCFETS),underthesupervisionofthePeoplesBankofChina(TBCn)andtheStateAdministrationofForeignExchange(“SAFE”),operatesatradingplatformtoorganizetradeandbusinessmanagementfortheinterbankRMB/FXmarket;toprovidetrading,post-trade,inform

6、ation,training,andotherrelatedservices;tofacilitatetheoperationandtransmissionofmonetarypolicies;toreleasebenchmarkindicatorsrelatingtotheinterbankRMB/FXmarket;andtomonitormarketactivitiesandtakeactionstoaddressabnormaltradingbehaviors,amongothers.Article3ForthepurposesoftheseRules,“interbankRMB/FXm

7、arkermeansthemarketwherequalifiedinstitutionsconductRMB/FXtransactionsthroughCFETS.Article4OnshoreandoffshoreinstitutionsmaytradeintheinterbankRMB/FXmarketonlyaftertheyareapprovedbyCFETSasmembersoftheinterbankRMB/FXmarket(uMembersn).第二条中国外汇交易中心 （以下简称交易中心）在中国人 民银行和国家外汇管理局的监管 下提供交易平台，组织银行间人 民币外汇市场交易和业

8、务管理； 提供交易、交易后、信息、培训 等相关服务；为货币政策操作和 传导提供服务；发布银行间人民 币外汇市场相关基准指标；负责 市场监测和异常交易行为处理 等。第三条 本规则所称银行间 人民币外汇市场是符合条件的机 构之间通过交易中心达成人民币 外汇交易的市场。第四条境内外机构经交易 中心核准成为银行间人民币外汇 市场会员（以下简称会员）后才 能参与银行间人民币外汇市场交 易。第五条 符合会员条件的机 构之间不得在交易中心交易平台 （以下简称交易平台）之外达成 人民币外汇交易，包括即期和衍 生品交易。Article5TheinstitutionsthatarequalifiedforMemb

9、ershipshallnotconductanyRMB/FXtransactions(includingspottransactionsandderivativestransactions)onanyplatformotherthanthetradingplatformprovidedbyCFETS(uTradingPlatform).Article6ForthepurposesoftheseRules,“concludetransactionsmeanthatbothpartiestoatransactionconfirmthetermsofthetransactionandgenerate

10、thedealticketthroughtheTradingPlatform.Article7MembersthatengageinRMB/FXtransactionsshallobservetheprinciplesofopenness,equality,fairness,andgoodfaith.Fraud,insidertrading,exchangeratemanipulation,andotherviolationsoractsthatdisrupttheinterbankforeignexchangemarketorinjurethelegitimaterightsandinter

11、estsofmarketparticipantsareprohibited.Article8Membersshallstrictlycomplywithantimoneylaunderingandcounter-terroristfinancinglaws,regulations,andotherrelatedrules,anddulyperformtheirobligationsinanti-moneylaunderingandcounter-terroristfinancing.Article9MembersshallengageinRMB/FXtransactionsinreferenc

12、etotheChinaFXCode,FXGlobalCode,andotherbestmarketpractices,andshallestablishaninternalmanagementsystemandstrengthenfront-office,middle-office,andback-officemanagementasappropriatefortheirbusinesses.Chapter II MembershipManagement第六条本规则所称交易达 成指交易双方通过交易平台确认 交易要素并生成成交单。第七条会员从事人民币外 汇交易，应当遵循公开、公平、 公正和诚实信

13、用的原则。禁止欺 诈、内幕交易和操纵汇率等违法 违规、影响银行间外汇市场交易 秩序和损害市场参与者合法权益 的行为Q第八条会员应当严格执行 反洗钱和反恐怖融资法律法规以 及有关规定，切实履行反洗钱和 反恐怖融资相关义务。第九条会员从事人民币外 汇交易，应参照中国外汇市场 准则和全球外汇市场准则 (Global Code)等市场最佳实 践要求，结合本机构业务特点， 建立健全内部管理制度，加强前 中后台管理。第二章会员管理第十条本规则所称会员包 括做市机构和普通会员。做市机 构包括做市商和尝试做市机构。 做市商指经主管部门核准承担向 银行间人民币外汇市场持续提供 相应交易品种或交易币种的买卖Art

14、icle10ForthepurposesoftheseRules,Membersconsistofmarketmakersandordinarymembers.Themarketmakersconsistofmarketmakersandtrialmarketmakers.AmarketmakerisaMemberthatisapprovedbycompetentauthoritiestoprovidecontinuoustwo-wayquotesforthecorrespondingtradinginstrumentsortradingcurrenciesattheinterbankRMB/

15、FXmarketandtotradeatthequotedpriceswhenthespecifiedconditionsaremet.AMembermustapplytobeatrialmarketmakerforarelevanttradinginstrumentbeforeapplyingtobeamarketmakerforthatinstrument.Article11Membersincludeonshorebanks,onshorenon-bankfinancialinstitutions,onshorenon-financialenterprisesandotherqualif

16、iedonshoreinstitutions,aswellasqualifiedoffshoreinstitutions.Article12AnonshorefinancialinstitutionmayapplytoCFETSforSpotMembershipafterbeingapprovedbySAFEtoobtainthebusinessqualificationofRMB/FXsettlementandsale,andapplyforDerivativeMembershipafterbeingapprovedbySAFEtoobtainthebusinessqualificationofRMB/FXsettlementandsaleandbyrelevantfinancialregulatoryauthoritiestotradederivativeins