{"text_format":"3","workbook":"xls","n_sheets":3,"sheets":["Sheet1","Sheet2","Sheet3"],"not_rendered":{"external_links":1,"defined_names":1},"read":"whole","date_system":"1900","formulas":"cached_only"}

{"sheet":"Sheet1","index":0,"n_rows":68,"n_cols":9,"rows_kept":68,"merged":[[0,0,0,8],[35,0,36,0],[35,1,36,1],[38,0,39,0],[38,1,39,1],[40,0,41,0],[40,1,41,1],[42,0,43,0],[42,1,43,1],[44,0,45,0],[44,1,45,1],[46,0,47,0],[46,1,47,1],[48,0,49,0],[48,1,49,1],[51,0,54,0],[51,1,54,1],[56,0,57,0],[56,1,57,1],[58,0,60,0],[58,1,60,1],[61,0,62,0],[61,1,62,1],[63,0,67,0],[63,1,67,1]],"flags":["formulas_cached_only"]}
["期货公司2018年诚信评估未满分公司名单\n（2018年1月1日至12月31日）"]
["序号","主体名称","处理对象","评分类别","评分内容","处罚处理单位","处理日期","处理文件名称","文号"]
[1,"倍特期货有限公司","倍特期货有限公司","被监管部门处理","被采取监管措施","四川证监局","2018-09-11","关于对倍特期货有限公司采取责令改正行政监管措施的决定","中国证券监督管理委员会四川监管局行政监管措施决定书〔2018〕19号"]
[2,"德盛期货有限公司","德盛期货有限公司","被监管部门处理","被采取监管措施","湖南证监局","2018-09-25","关于对德盛期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会湖南监管局行政监管措施决定书〔2018〕22号"]
[3,"东航期货有限公司","东航期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-10-12","关于对东航期货有限公司采取责令改正措施的决定","沪证监决〔2018〕118号"]
[4,"东吴期货有限公司","东吴期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-10-12","关于对东吴期货有限公司采取责令改正措施的决定","沪证监决〔2018〕117号"]
[5,"福能期货股份有限公司","福能期货股份有限公司","被监管部门处理","被采取监管措施","福建证监局","2018-04-26","关于对福能期货股份有限公司采取责令改正措施的决定","中国证券监督管理委员会福建监管局行政监管措施决定书〔2018〕8号"]
[6,"广发期货有限公司","广发期货有限公司","被监管部门处理","被采取监管措施","广东证监局","2018-10-17","关于对广发期货有限公司采取责令改正措施的决定","广东证监局行政监管措施决定书〔2018〕77号"]
[7,"广州金控期货有限公司","广州金控期货有限公司","被监管部门处理","被采取监管措施","广东证监局","2018-10-17","关于对广州金控期货有限公司采取责令改正措施的决定","广东证监局行政监管措施决定书〔2018〕79号"]
[8,"国投安信期货有限公司","国投安信期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-12-29","关于对国投安信期货有限公司采取出具责令改正措施的决定","沪证监决〔2018〕151号"]
[9,"华龙期货股份有限公司","华龙期货股份有限公司","被监管部门处理","被采取监管措施","甘肃证监局","2018-09-20","关于对华龙期货股份有限公司采取责令改正监管措施的决定","甘证监行政监管措施决定书〔2018〕010号"]
[10,"华泰期货有限公司","华泰期货有限公司","被监管部门处理","被采取监管措施","广东证监局","2018-10-17","关于对华泰期货有限公司采取责令改正措施的决定","广东证监局行政监管措施决定书〔2018〕78号"]
[11,"华信期货股份有限公司","华信期货股份有限公司","被监管部门处理","被采取监管措施","河南证监局","2018-04-11","关于对华信期货股份有限公司实施责令改正措施的决定","河南证监局行政监管措施决定书〔2018〕2号"]
[12,"徽商期货有限责任公司","徽商期货有限责任公司","被监管部门处理","被采取监管措施","安徽证监局","2018-05-23","关于对徽商期货有限责任公司采取责令改正措施的决定","安徽证监局行政监管措施决定〔2018〕15号"]
[13,"金石期货有限公司","金石期货有限公司","被监管部门处理","被采取监管措施","新疆证监局","2018-09-17","关于对金石期货有限公司采取责令改正措施的决定","中国证券监督管理委员会新疆监管局行政监管措施决定书〔2018〕7号"]
[14,"金信期货有限公司","金信期货有限公司","被监管部门处理","被采取监管措施","湖南证监局","2018-09-25","关于对金信期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会湖南监管局行政监管措施决定书〔2018〕23号"]
[15,"鲁证期货股份有限公司","鲁证期货股份有限公司","被监管部门处理","被采取监管措施","山东证监局","2018-01-03","关于对鲁证期货股份有限公司采取责令改正措施的决定","行政监管措施决定书[2018]2号"]
[16,"美尔雅期货有限公司","美尔雅期货有限公司","被监管部门处理","被采取监管措施","湖北证监局","2018-10-22","湖北证监局关于对美尔雅期货有限公司采取责令改正措施的决定","湖北证监局行政监管措施决定书(2018)36号"]
[17,"上海东方期货经纪有限责任公司","上海东方期货经纪有限责任公司","被监管部门处理","被采取监管措施","上海证监局","2018-12-27","关于对上海东方期货经纪有限责任公司采取责令改正措施的决定","沪证监决〔2018〕147号"]
[18,"首创京都期货有限公司","首创京都期货有限公司","被监管部门处理","被采取监管措施","北京证监局","2018-11-15","关于对首创京都期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会北京监管局行政监管措施决定书〔2018〕88号"]
[19,"五矿经易期货有限公司","五矿经易期货有限公司","被监管部门处理","被采取监管措施","吉林证监局","2018-12-03","关于对五矿经易期货有限公司采取责令改正监管措施的决定","吉证监决〔2018〕7号"]
[20,"西部期货有限公司","西部期货有限公司","被监管部门处理","被采取监管措施","陕西证监局","2018-09-25","关于对西部期货有限公司采取责令改正措施的决定","陕证监措施字〔2018〕30号"]
[21,"兴证期货有限公司","兴证期货有限公司","被监管部门处理","被采取监管措施","福建证监局","2018-08-31","关于对兴证期货有限公司采取责令改正措施的决定","中国证券监督管理委员会福建监管局行政监管措施决定书〔2018〕26号"]
[22,"一德期货有限公司","一德期货有限公司","被监管部门处理","被采取监管措施","天津证监局","2018-10-25","关于对一德期货有限公司采取责令改正监管措施的决定","津证监措施〔2018〕6号"]
[23,"中国国际期货股份有限公司","中国国际期货股份有限公司","被监管部门处理","被采取监管措施","北京证监局","2018-11-15","关于对中国国际期货股份有限公司采取责令改正监管措施的决定","中国证券监督管理委员会北京监管局行政监管措施决定书〔2018〕89号"]
[24,"中航期货有限公司","中航期货有限公司","被监管部门处理","被采取监管措施","深圳证监局","2018-10-12","深圳证监局关于对中航期货有限公司采取责令改正监督管理措施的决定","行政监管措施决定书〔2018〕70号"]
[25,"中辉期货有限公司","中辉期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-10-12","关于对中辉期货有限公司采取责令改正措施的决定","沪证监决〔2018〕119号"]
[26,"中衍期货有限公司","中衍期货有限公司","被监管部门处理","被采取监管措施","北京证监局","2018-02-07"," 关于对中衍期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会北京监管局行政监管措施决定书〔2018〕16号"]
[27,"中原期货股份有限公司","中原期货股份有限公司","被监管部门处理","被采取监管措施","河南证监局","2018-08-28","关于对中原期货股份有限公司实施责令改正监管措施的决定","河南证监局行政监管措施〔2018〕13号"]
[28,"国盛期货有限责任公司","国盛期货有限责任公司","被监管部门处理","被采取监管措施","辽宁证监局","2018-08-29","关于对国盛期货有限责任公司采取责令改正和监管谈话措施的决定","辽宁证监局行政监管措施决定书〔2018〕6号"]
[29,"华鑫期货有限公司","华鑫期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-10-12","关于对华鑫期货有限公司采取出具警示函措施的决定","沪证监决〔2018〕115号"]
[30,"格林大华期货有限公司","格林大华期货有限公司","被监管部门处理","被采取监管措施","北京证监局","2018-05-31","关于对格林大华期货有限公司采取出具警示函监管措施的决定","中国证券监督管理委员会北京监管局行政监管措施决定书〔2018〕32号"]
[31,"江西瑞奇期货有限公司","江西瑞奇期货有限公司","被监管部门处理","被采取监管措施","江西证监局","2018-05-04"," 关于对江西瑞奇期货有限公司采取出具警示函措施的决定","中国证券监督管理委员会江西监管局行政监管措施决定书[2018]2号"]
[32,"上海东证期货有限公司","上海东证期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-05-28","关于对上海东证期货有限责任公司采取出具警示函措施的决定","沪证监决〔2018〕48号"]
[33,"新湖期货有限公司","新湖期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-07-16","关于对新湖期货有限公司采取出具警示函措施的决定","沪证监决〔2018〕74号"]
[34,"中大期货有限公司","中大期货有限公司","被监管部门处理","被采取监管措施","浙江证监局","2018-09-20","关于对中大期货有限公司采取责令改正措施的决定","浙证监措施〔2018〕058号"]
[null,null,"中大期货有限公司","被监管部门处理","被采取监管措施","浙江证监局","2018-09-11","关于对中大期货有限公司采取责令改正措施的决定","浙证监措施〔2018〕051号"]
[35,"中信建投期货有限公司","中信建投期货有限公司济南营业部","被监管部门处理","被采取监管措施","山东证监局","2018-08-13","关于对中信建投期货有限公司济南营业部采取出具警示函措施的决定","行政监管措施决定书〔2018〕48号"]
[36,"国富期货有限公司","国富期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-11-06","关于对国富期货有限公司采取责令改正措施的决定","沪证监决〔2018〕125号"]
[null,null,"国富期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-06-12","关于对国富期货有限公司采取出具警示函监管措施的决定","沪证监决〔2018〕56号"]
[37,"弘业期货股份有限公司","弘业期货股份有限公司","被监管部门处理","被采取监管措施","江苏证监局","2018-10-25","关于对弘业期货股份有限公司采取出具警示函监管措施的决定","江苏证监局行政监管措施决定书〔2018〕71号"]
[null,null,"弘业期货股份有限公司","被监管部门处理","被采取监管措施","江苏证监局","2018-10-22","关于对弘业期货股份有限公司采取责令改正监管措施的决定","江苏证监局行政监管措施决定书〔2018〕67号"]
[38,"华融期货有限责任公司","华融期货有限责任公司","被监管部门处理","被采取监管措施","海南证监局","2018-12-13","关于对华融期货有限责任公司采取责令改正监管措施的决定","海南证监局行政监管措施决定书〔2018〕19号"]
[null,null,"华融期货有限责任公司","被监管部门处理","被采取监管措施","海南证监局","2018-02-01","关于对华融期货有限责任公司采取出具警示函措施的决定","海南证监局行政监管措施决定书〔2018〕1号"]
[39,"建信期货有限责任公司","建信期货有限责任公司","被监管部门处理","被采取监管措施","上海证监局","2018-10-24","关于对建信期货有限责任公司采取责令改正措施的决定","沪证监决〔2018〕122号"]
[null,null,"建信期货有限责任公司","被监管部门处理","被采取监管措施","上海证监局","2018-06-20","关于对建信期货有限责任公司采取出具警示函措施的决定","沪证监决〔2018〕65号"]
[40,"迈科期货股份有限公司","迈科期货股份有限公司","被监管部门处理","被采取监管措施","陕西证监局","2018-11-26","关于对迈科期货股份有限公司采取出具警示函措施的决定","陕证监措施字〔2018〕35号"]
[null,null,"迈科期货股份有限公司厦门营业部","被监管部门处理","被采取监管措施","厦门证监局","2018-08-21","厦门证监局关于对迈科期货股份有限公司厦门营业部采取出具警示函行政监管措施的决定","中国证券监督管理委员会厦门监管局行政监管措施决定书〔2018〕13号"]
[41,"申银万国期货有限公司","申银万国期货有限公司广州营业部","被监管部门处理","被采取监管措施","广东监管局","2018-09-12","关于对申银万国期货有限公司广州营业部采取出具警示函措施的决定","广东证监局行政监管措施决定书〔2018〕63号"]
[null,null,"申银万国期货有限公司","被监管部门处理","被采取监管措施","上海证监局","2018-07-16","关于对申银万国期货有限公司采取出具警示函措施的决定","沪证监决〔2018〕71号"]
[42,"东方汇金期货有限公司","东方汇金期货有限公司","被监管部门处理","受到行政处罚","吉林证监局","2018-12-24","中国证券监督管理委员会吉林监管局行政处罚决定书（东方汇金期货等6名责任人）","中国证监会吉林监管局行政处罚决定书〔2018〕3号"]
[43,"大通期货经纪有限公司","大通期货经纪有限公司","被监管部门处理","被采取监管措施","黑龙江证监局","2018-09-25","关于对大通期货经纪有限公司采取责令改正措施的决定","监管措施决定书〔2018〕21号"]
[null,null,"大通期货经纪有限公司","被监管部门处理","被采取监管措施","黑龙江证监局","2018-09-25","关于对大通期货经纪有限公司采取责令改正措施的决定","监管措施决定书〔2018〕20号"]
[null,null,"大通期货经纪有限公司","被监管部门处理","被采取监管措施","黑龙江证监局","2018-05-29","黑龙江证监局关于对大通期货经纪有限公司采取责令改正措施的决定","监管措施决定书〔2018〕10号"]
[null,null,"大通期货经纪有限公司","被监管部门处理","受到行政处罚","黑龙江证监局","2018-08-06","行政处罚决定书（大通期货经纪有限公司）","行政处罚字〔2018〕4号"]
[44,"深圳金汇期货经纪有限公司","深圳金汇期货经纪有限公司","被监管部门处理","被采取监管措施","深圳证监局","2018-07-24","深圳证监局关于对深圳金汇期货经纪有限公司采取暂停新增资产管理业务监管措施的决定","行政监管措施决定书(2018)56号"]
[45,"中投天琪期货有限公司","中投天琪期货有限公司","被监管部门处理","被采取监管措施","深圳证监局","2018-10-16","深圳证监局关于对中投天琪期货有限公司采取责令改正监督管理措施的决定","行政监管措施决定书(2018)78号"]
[null,null,"中投天琪期货有限公司","被监管部门处理","被采取监管措施","深圳证监局","2018-07-24","深圳证监局关于对中投天琪期货有限公司采取暂停新增资产管理业务监管措施的决定","行政监管措施决定书(2018)57号"]
[46,"金瑞期货股份有限公司","金瑞期货股份有限公司","被监管部门处理","被采取监管措施","深圳证监局","2018-10-31","深圳证监局关于对金瑞期货股份有限公司采取责令改正并暂停新增资产管理业务监督管理措施的决定","行政监管措施决定书〔2018〕82号"]
[null,null,"金瑞期货股份有限公司佛山营业部","被监管部门处理","被采取监管措施","广东监管局","2018-09-12","关于对金瑞期货股份有限公司佛山营业部采取责令改正措施的决定","广东证监局行政监管措施决定书〔2018〕64号"]
[null,null,"金瑞期货股份有限公司厦门营业部","被监管部门处理","被采取监管措施","厦门证监局","2018-08-21","厦门证监局关于对金瑞期货股份有限公司厦门营业部采取责令改正行政监管措施的决定","中国证券监督管理委员会厦门监管局行政监管措施决定书〔2018〕14号"]
[47,"中电投先融期货股份有限公司","中电投先融期货股份有限公司","被监管部门处理","被采取监管措施","重庆证监局","2018-10-18","关于对中电投先融期货股份有限公司采取责令改正并暂停办理新增资产管理业务措施的决定","重庆局行政监管措施〔2018〕30号"]
[null,null,"中电投先融（上海）资产管理","被监管部门处理","被采取监管措施","重庆监管局","2018-09-19","关于对中电投先融（上海）资产管理有限公司\n采取出具警示函措施的决定","重庆局行政监管措施[2018]26号"]
[48,"和合期货有限公司","和合期货有限公司","被监管部门处理","被采取监管措施","山西证监局","2018-12-14","关于对和合期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会山西监管局行政监管措施决定书〔2018〕14号"]
[null,null,"和合期货有限公司","被监管部门处理","被采取监管措施","山西证监局","2018-05-24","关于对和合期货有限公司采取责令改正监管措施的决定","中国证券监督管理委员会山西监管局行政监管措施决定书〔2018〕6号"]
[null,null,"和合期货有限公司","被监管部门处理","受到行政处罚","山西证监局","2018-05-25","和合期货有限公司行政处罚决定书","山西证监局行政处罚决定书[2018]02号"]
[null,null,"和合资产管理（上海）有限公司","被监管部门处理","被采取监管措施","山西证监局","2018-12-14","关于对和合资产管理（上海）有限公司采取责令改正监管措施的决定","中国证券监督管理委员会山西监管局行政监管措施决定书〔2018〕16号"]
[null,null,"和合资产管理（上海）有限公司","被实施自律惩戒","受到协会处理","中国证券投资      基金业协会","2018-07-12","纪律处分决定书（和合资产管理（上海）有限公司、袁锦滢、蒋毅尧、郭寒冰）","中基协处分〔2018〕9号"]

{"sheet":"Sheet2","index":1,"n_rows":26,"n_cols":4,"rows_kept":26,"merged":[[2,2,5,2],[6,2,15,2],[16,2,19,2],[20,2,23,2],[24,2,25,2]],"flags":["formulas_cached_only"]}
[null,"一票否决指标","1.期货公司被监管部门或派出机构宣布为证券期货“市场禁止进入者”的。\n2.期货公司被监管部门吊销期货业务许可证或责令停业整顿的。\n3.期货公司被监管部门或派出机构责令暂停全部业务的。\n4.期货公司被监管部门采取临时接管措施的。\n5.期货公司被协会取消会员资格的。\n6.期货公司被交易所取消会员资格或被上海期货交易所、大连商品交易所、郑州商品交易所宣布为该交易所“市场禁止进入者”的。\n7.期货公司违反《刑法》，被依法追究刑事责任的。","期货公司符合“一票否决指标”7项评分内容中任何一项的，诚信评估指标扣100分，公司得分为0分。"]
[]
[null,null,"受到行政处罚","期货公司被中国证监会采取“责令改正、给予警告”行政处罚的，扣15分。"]
[{"$nulls":3},"期货公司被中国证监会采取“没收违法所得、并处违法所得1倍以上3倍以下罚款；没有违法所得或者违法所得不满10万元，并处10万元以上30万元以下罚款”行政处罚的，扣18分。"]
[{"$nulls":3},"期货公司被中国证监会采取“没收违法所得、并处违法所得1倍以上5倍以下罚款；没有违法所得或者违法所得不满10万元，并处10万元以上50万元以下罚款”行政处罚的，扣20分。"]
[{"$nulls":3},"期货公司被其他行政监管部门行政处罚的，扣5分。"]
[null,null,"被采取监管措施","期货公司被监管部门或派出机构采取“责令改正”监管措施的，扣2分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“监管谈话”监管措施的，扣3分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“出具警示函”监管措施的，扣4分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“责令公开说明”监管措施的，扣10分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“责令定期报告”监管措施的，扣10分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“暂不受理与行政许可有关文件”监管措施的，扣12分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“责令增加内部合规检查次数”监管措施的，扣12分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“公开谴责”监管措施的，扣15分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“停止批准新增业务”监管措施的，扣25分。"]
[{"$nulls":3},"期货公司被监管部门或派出机构采取“限制证券期货公司业务活动措施的，包括：限制或者暂停部分期货业务、撤销有关业务许可、关闭分支机构，或者限制分配红利、调拨和使用自有资金或者风险准备金、处置公司财产”的监督管理措施的，扣60分。"]
[null,null,"受到协会处理","期货公司被协会处以训诫纪律惩戒的，扣4分。"]
[{"$nulls":3},"期货公司被协会处以公开谴责纪律惩戒的，扣6分。"]
[{"$nulls":3},"期货公司被协会处以暂停会员部分权利纪律惩戒的，扣15分。"]
[{"$nulls":3},"期货公司被协会处以暂停会员资格纪律惩戒的，扣30分。"]
[null,null,"受到交易所处理","期货公司因违反交易所规则及其实施细则，被采取谈话提醒、书面警示或监管谈话措施的，扣2分。"]
[{"$nulls":3},"期货公司因违反交易所规则及其实施细则被通报批评或公开谴责措施的，扣6分。"]
[{"$nulls":3},"期货公司因违反交易所规则及其实施细则，而被限制开仓或强行平仓的，扣10分。"]
[{"$nulls":3},"期货公司因违反交易所规则及其实施细则被暂停或者限制业务、调整会员资格措施的，扣30分。"]
[null,null,"其他失信行为","期货公司因期货侵权、违约行为被人民法院判决承担民事赔偿责任的，扣5分。"]
[{"$nulls":3},"期货公司拒不执行已生效的法院判决、仲裁裁决和调解协议的，扣20分。"]

{"sheet":"Sheet3","index":2,"n_rows":0,"n_cols":0,"rows_kept":0,"flags":["formulas_cached_only"]}