Core Viewpoint - The China Futures Association (CFA) has released a draft for public consultation regarding the management rules for futures companies accessing external information systems, aiming to enhance regulatory oversight and protect traders' rights [1][3]. Group 1: Management Scope and Principles - The management rules apply to futures companies accessing external systems and define external systems and external clients [3]. - The principle of "if it cannot be seen or controlled, do not engage" is emphasized, reinforcing the responsibility of futures companies in managing external systems [3]. Group 2: Comprehensive Management Requirements - Futures companies are required to establish management systems for external system access, ensuring robust trading systems and clear departmental responsibilities [3]. - A comprehensive management mechanism must be in place, including due diligence, system testing, risk warnings, access reviews, monitoring, and client feedback [3]. - Six prohibited behaviors for futures companies and their personnel are outlined to mitigate risks associated with external system management [3]. Group 3: Self-Regulation - The CFA can conduct self-regulatory inspections and impose measures on futures companies and personnel that violate the management rules [3]. Group 4: Management of Sub-Account Functions - The management rules address the risks associated with external systems that have sub-account functionalities, which have been misused for illegal activities [4]. - Prior to accessing external systems, futures companies must conduct due diligence and system testing, ensuring compliance and safety [4]. - Clients must be informed of the legal responsibilities and consequences of misusing sub-account functionalities [4]. Group 5: Ongoing Management - Futures companies are required to conduct annual reviews of clients using sub-account functionalities to confirm their awareness of account usage [5]. - Any irregularities in reporting sub-account activities must be promptly verified and addressed [5]. - Specific prohibited actions for futures companies and their personnel regarding sub-account management are detailed to prevent illegal activities [5][6].

据中国期货业协会12月26日消息，为落实《关于加强监管防范风险促进期货市场高质量发展的意见》《期货公司 监督管理办法》要求，规范期货公司外部信息系统（以下简称外部系统）接入管理，保护交易者合法权益，中国 期货业协会起草了《期货公司接入外部信息系统管理规则（征求意见稿）》（以下简称《管理规则》），面向社 会公开征求意见，意见反馈截止时间为2026年1月12日。 据期货日报记者了解，随着期货市场快速发展和信息科技广泛应用，交易者越来越多地使用专业化、个性化交易 软件接入期货公司开展期货交易。一方面，外部系统的应用帮助交易者实现了交易策略定制、全面风险管控、跨 市场产品配置等功能，提高了市场效率；另一方面，因管理链条长、信息不对称、责任边界不清等，增加了交 易、业务合规风险和信息技术安全隐患。 《关于加强监管防范风险促进期货市场高质量发展的意见》明确要求，加强期货公司信息技术监管，督促期货公 司严格交易信息系统外部接入管理，保障信息技术安全。《期货公司监督管理办法》也对期货公司建立健全外部 系统接入管理机制，保证接入系统的合规性和安全性等作出明确规定。 去年以来，中国期货业协会多次调研期货公司外部系统现状，在中国证 ...