Measures for Membership Suitability Management
Chapter I General Provisions
Article 1. To protect the legitimate rights and interests of members of Beijing Iron Ore Trading Center Corporation (hereinafter referred to as "COREX") participating in its iron ore spot trading, ensure the stable and orderly operation of COREX’s trading activities, and maintain the market order, these Measures are formulated in accordance with relevant national laws and regulations, the "Measures for the Administration of Trading Venues in Beijing", and the trading rules of COREX.
Article 2. COREX shall conduct membership suitability management in accordance with these Measures. Members engaged in trading via COREX and third-party service institutions for COREX’s members shall also cooperate with COREX in the implementation of such management.
Chapter II Suitability Management
Article 3. Suitability management includes the following:
1. Understanding members’ basic information and their risk tolerance;
2. Publishing trading rules and related management regulations, and conducting member training and education;
3. Fully disclosing trading brands and market risks.
Article 4. Corporate legal entities may participate in iron ore spot trading organized by COREX only after obtaining membership. Members shall fully understand market risks and agree to the "Risk Specification for Iron Ore Spot Trading" and the "Letter of Commitment for Market Access by Trading Members of Iron Ore Spot Trading."
Article 5. Members shall possess relevant knowledge of iron ore spot trading, objectively assess their risk tolerance, adhere to the principle of assumption of risks, make prudent decisions, voluntarily participate in trading, and independently bear risks in accordance with the law.
Article 6. COREX shall assess the risk tolerance of members. Members shall truthfully assess their risks and provide information including basic details, financial status, trading experience, and other relevant information.
Article 7. Members shall, in accordance with COREX trading rules and these Measures, provide their information truthfully and ensure the authenticity, accuracy and completeness of the information provided.
Article 8. Members shall, in accordance with COREX trading rules, independently review the suitability of the members they intend to trade with. They may match with the latter upon verifying their qualifications and creditworthiness in iron ore spot trading. Trading shall take place only between matched members.
Article 9. COREX shall disclose trading rules and related documents, introduce the characteristics of trading business, trading processes, main risks and precautions to members through various channels, and continuously carry out member education and training.
Article 10. COREX shall fully inform members of potential trading risks, issue market risk warnings, and guide members to trade rationally.
Article 11. COREX’s membership suitability management shall not replace members' trading judgments nor reduce the risks associated with participating in COREX trading activities. The corresponding trading risks, performance responsibilities, and costs shall be borne by members themselves.
Article 12. COREX shall properly retain materials related to membership suitability management and shall maintain confidentiality of member information.
Chapter III Supplementary Provisions
Article 13. COREX reserves the right to interpret and revise these Measures.
Article 14. Both Chinese and English versions are valid. In case of any inconsistency, the Chinese version shall prevail.
會(huì)員適當(dāng)性管理辦法
第一章 總 則
第一條 為保護(hù)參與北京鐵礦石交易中心股份有限公司（以下簡稱“北鐵中心”）組織的鐵礦石現(xiàn)貨交易活動(dòng)的會(huì)員合法權(quán)益，保障北鐵中心各項(xiàng)交易活動(dòng)的平穩(wěn)有序，維護(hù)交易市場秩序，根據(jù)國家相關(guān)法律法規(guī)、《北京市交易場所管理辦法》及北鐵中心交易規(guī)則等，制定本辦法。
第二條 北鐵中心依據(jù)本辦法進(jìn)行會(huì)員適當(dāng)性管理。參與北鐵中心交易活動(dòng)的會(huì)員、為會(huì)員提供服務(wù)的第三方服務(wù)機(jī)構(gòu)應(yīng)當(dāng)配合實(shí)施會(huì)員適當(dāng)性管理相關(guān)工作。
第二章 適當(dāng)性管理
第三條 適當(dāng)性管理包括以下內(nèi)容：
（一）了解會(huì)員相關(guān)情況及風(fēng)險(xiǎn)承受能力；
（二）發(fā)布交易規(guī)則及相關(guān)管理制度，開展會(huì)員培訓(xùn)與教育活動(dòng)；
（三）充分披露交易品種，提示市場風(fēng)險(xiǎn)信息。
第四條 企業(yè)法人在獲得會(huì)員資格后，方可參與北鐵中心組織的鐵礦石現(xiàn)貨交易，并應(yīng)充分了解市場風(fēng)險(xiǎn)并同意《鐵礦石現(xiàn)貨交易風(fēng)險(xiǎn)說明書》和《鐵礦石現(xiàn)貨交易會(huì)員入市承諾書》。
第五條 會(huì)員應(yīng)當(dāng)具備鐵礦石現(xiàn)貨交易的相關(guān)知識(shí)，并客觀評估自身風(fēng)險(xiǎn)承受能力，遵循風(fēng)險(xiǎn)自負(fù)原則，審慎決策，自愿參與交易并依法獨(dú)立承擔(dān)風(fēng)險(xiǎn)。
第六條 北鐵中心對會(huì)員進(jìn)行風(fēng)險(xiǎn)承受能力評估，會(huì)員應(yīng)如實(shí)進(jìn)行風(fēng)險(xiǎn)評估，填寫包括基本情況、財(cái)務(wù)情況、交易經(jīng)驗(yàn)等信息。
第七條 會(huì)員應(yīng)當(dāng)根據(jù)北鐵中心交易規(guī)則及本辦法規(guī)定，如實(shí)提供相關(guān)信息，并保證所提供信息的真實(shí)性、準(zhǔn)確性和完整性。
第八條 會(huì)員應(yīng)當(dāng)依據(jù)北鐵中心交易規(guī)則要求，自行審查與其進(jìn)行交易的會(huì)員適當(dāng)性。會(huì)員經(jīng)過考察，認(rèn)可與其進(jìn)行鐵礦石現(xiàn)貨交易的會(huì)員資質(zhì)、信用后與其進(jìn)行匹配，進(jìn)行匹配的會(huì)員之間方可進(jìn)行交易。
第九條 北鐵中心披露交易規(guī)則及相關(guān)文件，通過多種途徑向會(huì)員介紹交易業(yè)務(wù)特點(diǎn)、交易流程、主要風(fēng)險(xiǎn)和注意事項(xiàng)等，持續(xù)開展會(huì)員教育與培訓(xùn)工作。
第十條 北鐵中心向會(huì)員充分提示可能出現(xiàn)的交易風(fēng)險(xiǎn)，進(jìn)行市場風(fēng)險(xiǎn)警示，引導(dǎo)會(huì)員理性交易。
第十一條 北鐵中心會(huì)員適當(dāng)性管理的實(shí)施不能取代會(huì)員的交易判斷，也不會(huì)降低會(huì)員參與北鐵中心交易活動(dòng)的風(fēng)險(xiǎn)，相應(yīng)的交易風(fēng)險(xiǎn)、履約責(zé)任以及費(fèi)用由會(huì)員自行承擔(dān)。
第十二條 北鐵中心妥善保管對會(huì)員進(jìn)行適當(dāng)性管理的資料，并對會(huì)員的信息承擔(dān)保密義務(wù)。
第三章 附 則
第十三條 本辦法由北鐵中心負(fù)責(zé)解釋和修訂。
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