Measures for the Administration of Third-Party Service Institutions
Article 1. For the purposes of regulating the conduct and management of third-party service institutions, maintaining trading order, protecting the lawful rights and interests of all trading parties, and promoting the sound development of the iron ore spot market, Beijing Iron Ore Trading Center Corporation (hereinafter referred to as "COREX") formulates these Measures in accordance with relevant policies and regulations, such as the "Measures for the Administration of Trading Venues in Beijing".
Article 2. Third-party service institutions refer to professional organizations that provide third-party services to COREX or its members to meet the business operation or management needs of COREX, including, but not limited to, technical service providers, settlement service providers, legal service providers, accounting service providers, and other relevant institutions.
Article 3. Third-party service institutions shall meet the following conditions:
1. Be legally established, possess the appropriate qualifications, and have the capacity to independently bear civil liability;
2. Possess the necessary professional personnel, professional capabilities, and essential equipment to provide relevant services;
3. Maintain good commercial reputation;
4. Have no record of serious violations of laws or regulations in the course of their business;
5. Comply with other conditions stipulated by laws, regulations, or COREX.
Article 4. COREX shall enter into a written agreement with third-party service institutions regarding cooperation, clearly defining the scope of cooperation and the rights and obligations of both parties.
Article 5. COREX shall periodically evaluate and screen third-party service institutions, and promptly terminate the cooperation with any institution that fails to meet the prescribed requirements.
Article 6. COREX shall terminate cooperation with a third-party service institution under any of the following circumstances:
1. Fail to perform its obligations as agreed, thereby harming the interests of COREX, members or related parties;
2. Engage in serious illegal or non-compliant activities;
3. Provide false information or materials and issue false reports, certification documents, or other documents intentionally;
4. Secure business in fraudulent manners, or through bribery, collusion, kickbacks, and other unfair competitive practices;
5. Violate any other conditions stipulated by laws, regulations, or agreements that warrant termination.
Article 7. COREX may provide suggestions to third-party service institutions for improving or refining their work.
Article 8. COREX reserves the right to interpret and revise these Measures.
Article 9. Both Chinese and English versions are valid. In case of any inconsistency, the Chinese version shall prevail.
第三方服務(wù)機(jī)構(gòu)管理辦法
第一條 為規(guī)范第三方服務(wù)機(jī)構(gòu)的行為與管理,維護(hù)交易秩序,保護(hù)交易各方的合法權(quán)益,促進(jìn)鐵礦石現(xiàn)貨市場(chǎng)健康發(fā)展,根據(jù)《北京市交易場(chǎng)所管理辦法》等政策法規(guī),北京鐵礦石交易中心股份有限公司(以下簡(jiǎn)稱“北鐵中心”)制定本辦法。
第二條 第三方服務(wù)機(jī)構(gòu)是指為滿足北鐵中心業(yè)務(wù)運(yùn)營(yíng)或管理需要,為北鐵中心或會(huì)員提供第三方服務(wù)的專業(yè)機(jī)構(gòu),包括但不限于技術(shù)服務(wù)機(jī)構(gòu)、結(jié)算服務(wù)機(jī)構(gòu)、法律服務(wù)機(jī)構(gòu)、會(huì)計(jì)服務(wù)機(jī)構(gòu)等。
第三條 第三方服務(wù)機(jī)構(gòu)應(yīng)符合下列條件:
1.依法設(shè)立,取得相應(yīng)資質(zhì),具有獨(dú)立承擔(dān)民事責(zé)任的能力;
2.具有提供相應(yīng)服務(wù)所必須的專業(yè)人員、專業(yè)能力、重要設(shè)備等;
3.具有良好的商業(yè)信譽(yù);
4.經(jīng)營(yíng)活動(dòng)中沒(méi)有嚴(yán)重違法違規(guī)記錄;
5.其他法律法規(guī)或北鐵中心要求的條件。
第四條 北鐵中心與第三方服務(wù)機(jī)構(gòu)就合作事宜簽訂書面協(xié)議,明確合作內(nèi)容、雙方權(quán)利、義務(wù)等。
第五條 北鐵中心定期對(duì)第三方服務(wù)機(jī)構(gòu)進(jìn)行評(píng)價(jià)篩選,針對(duì)不符合要求的第三方服務(wù)機(jī)構(gòu)及時(shí)終止合作關(guān)系。
第六條 第三方服務(wù)機(jī)構(gòu)有以下情形之一的北鐵中心將與其終止合作:
1.未按約定履行義務(wù)損害北鐵中心、會(huì)員或相關(guān)方權(quán)益的;
2.發(fā)生嚴(yán)重違法違規(guī)行為的;
3.故意提供虛假信息、資料,出具虛假報(bào)告、證明文件及其他文件的;
4.采取欺詐、賄賂、串通、回扣等不正當(dāng)競(jìng)爭(zhēng)手段承攬業(yè)務(wù)的;
5.其他法律法規(guī)規(guī)定或協(xié)議約定終止的情形。
第七條 北鐵中心可以對(duì)第三方服務(wù)機(jī)構(gòu)的工作提出完善或改進(jìn)的建議。
第八條 本辦法由北鐵中心負(fù)責(zé)解釋和修訂。