【中英文对照版】上海黄金交易所交割细则(2019修订).docx
上海黄金交易所交割细则（2019年11月修订稿）目录第一章总 则第二章实物账户体系第三章实物交割第四章 入 库上海黄金交易所交割细则(2019修订)DetailedDeliveryRulesofShanghaiGoldExchange(2019Amendment)制定机关：上海黄金交易所公布日期：2019.11施行日期：2019.11效力位阶：地方规范性文件法规类别：期货交易IssuingAuthority：ShanghaiGoldExchangeDateIssued：11-2019EffectiveDate：11-20191.evelofAuthority：LocalRegulatoryDocumentsAreaofLaw：FuturesTradingDetailedDeliveryRulesofShanghaiGoldExchange(AmendedinNovember2019)ContentsChapter I GeneralProvisionsChapter II BullionAccountSystemChapter III PhysicalDeliveryChapter IV 1.oad-InChapterVLoad-Out第五章出库ChapterVlBullionTransferunderPledge,Lease,InventorySwap,andGoldETF第六章质押、租借、库存互换、黄金ETF等实物过户业务ChapterVllFees第七章费用ChapterVlllSettlementofDifferentialWeight第八章溢短结算ChapterIXResolutionofQualityDisputes第九章质量纠纷处理ChapterXManagementofUSB-KEY第十章USB-KEY管理ChapterXlAncillaryProvisions第十一章附则Annex1SGEContractsandAssociatedDeliverableBullion附1上海黄金交易所合约及交割品种对应表附2国际会员及国际客户入 库资格申请流程附3上海黄金交易所指定存 货人员登记表Annex2ApplicationProceduresforLoad-InAuthorizationofInternationalMembersandInternationalCustomersAnnex3SGERegistrationFormforDesignatedDepositPersonAnnex4SGEApplicationforLoad-In附4上海黄金交易所入库申请单Annex5SGEApplicationforLoad-Out附5上海黄金交易所出库申请单附6上海黄金交易所交割相Annex6ScheduleofSGEDeliveryFees关费用明细表ChapterIGeneralProvisions第一章总则Article1ThisDetailedDeliveryRulesofShanghaiGoldExchange(thisDetailedDeliveryRules),formulatedinaccordancewiththeRulesonSupervisionoftheBusinessActivitiesofShanghaiGoldExchangepromulgatedbythePeople'sBankofChina,theArticlesofAssociationofShanghaiGoldExchangeandtheTradingRulesofShanghaiGoldExchange,isdesignatedtoregulatetheadministrationofbulliondeliverythroughtheShanghaiGoldExchange(theExchangeorSGE),protectthelawfulrightsandinterestsoftradingparties,andensurethesecureoperationofthevaultandstoragesystemforphysicaldelivery.第一条为规范上海黄金交易所（以下简称交易所）实物交割管理工作，维护交易当事人合法权益，确保实物交割仓储系统安全运行，根据中国人民银行上海黄金交易所业务监督管理规则、上海黄金交易所章程及上海黄金交易所交易规则，制订本细则。Article2Thysicaldelivery51referstotheactofperformingatradebytransferring,inaccordancewiththerulesandproceduresoftheExchange,theownershipofthebulliontraded.第二条实物交割是指为履行交易合约，按照交易所的规则和程序进行的相应实物所有权转移的行为。Article3TheExchangeoffersawiderangeofservicesrelatingtobullion,including,butnotlimitedto:registrationandcustodianship,delivery,assayandcertification,shipmentandlogistics,transferofpossessionofpledgedorleasedbullion,andgoldETFs.Article4ThisDetailedDeliveryRulesisapplicabletotheExchange,members,customers,andCertifiedVaultswithrespecttothebullionthatmembersandcustomershaveregisteredwiththeExchangeorplacedunderitscustody.第三条交易所提供实物登记托管、交割、质量认证、物流配送、质押过户、租借过户和黄金ETF等业务服务。第四条本细则适用范围为会员及客户登记、托管在交易所的实物。交易所、会员、客户及指定仓库应当遵守本细则。第二章实物账户体系Chapter II BullionAccountSystem第五条交易所实物交 割实行一户一码制，会员及 客户开户成功即获得各自的 实物账户代码。实物交割处 理到每个会员及客户的实物 账户。Article5TheExchangeadoptsauoneaccount,onecode"systemforphysicaldelivery.EachmemberorcustomerwillreceiveauniqueBullionAccountcodeafteropeninganaccountwiththeExchange.AlldeliveryactivitiesofamemberorcustomerwillbeperformedthroughandreflectedinitsuniqueBullionAccount.第六条会员及客户登 记、托管在交易所的实物分 为交割品种和保管品种。交 割品种为可参与交易所交易 交割业务的实物，保管品种 为不可参与交易所交易交割 业务的实物。保管品种相关 业务根据上海黄金交易所 保管库管理办法执行。Article6Bullionofmembersandcustomers,eitherregisteredwiththeExchangeorplacedunderitscustody,areclassifiedintodeliverablebullionanddepositablebullion.DeliverablebullionisbullionacceptedinthedeliveryoftradesexecutedonorthroughtheExchange;depositablebullionisbullionnotacceptedinsuchdelivery.BusinessesrelatingtodepositablebullionshallbegovernedbytheMeasuresfortheAdministrationofSafeDepositVaultsofShanghaiGoldExchange.第七条实物账户分席 位登记交割，同一会员或客 户在不同席位下的库存独立 使用。Article7BullionheldinaBullionAccountisregisteredanddeliveredbyseat,i.e.,inventoriesheldbythesamememberorcustomerbutregisteredunderdifferentseatsshallbemutuallyindependentintransactions.第八条实物账户分为 未分配账户和分配账户。未 分配账户的实物不按会员及 客户单独摆放，按重量交 割，不指定到条块。分配账 户的实物指定条块交割。黄 金和箱金交割品种为未分配 账户，白银交割品种为分配Article8BullionAccountsareclassifiedintounallocatedaccountsandallocatedaccounts.Bullioninanunallocatedaccountisnotstoredbyindividualmembersorcustomersand,duringdelivery,onlyweight,ratherthanparticularingotsorbars,canbespecified.Bycontrast,bullioninanallocatedaccountisdeliveredbyspecificingotsorbars.Deliverablegoldandplatinumbullionisheldunderunallocatedaccount;deliverablesilverbullionis账户。heldunderallocatedaccount.第九条未分配账户包 括剩余库存账户及买入货权 账户。剩余库存是会员及客 户存入指定仓库的实物，记 入其剩余库存账户；买入货 权是会员及客户买入的实 物，记入其买入货权账户。 分配账户的实物统一记入剩 余库存账户。Article9UnallocatedaccountsarefurtherclassifiedintoLoad-inInventoryAccountandTradedInventoryAccount.Load-ininventoriesarebulliondepositedbyamemberorcustomerintoaCertifiedVault,andarerecordedundertheLoad-inInventoryAccount;tradedinventoriesarebullionpurchasedbyamemberorcustomer,andarerecordedundertheTradedInventoryAccount.AllbullionheldunderanallocatedaccountshallberecordedundertheL
