Shenzhen Securities and Futures Dispute Resolution Centre

Shenzhen Securities and Futures Dispute Resolution Centre (hereinafter the “Securities and Futures Centre”) is the first dispute resolution institution that closely integrates arbitration with mediation in the Chinese mainland capital markets and creates the "mediation + arbitration + self-discipline + administrative regulation" dispute resolution mechanism. Its establishment was jointly pushed forward by China Securities Regulatory Commission (CSRC) Shenzhen Regulatory Bureau and Shenzhen Court of International Arbitration (SCIA). The Securities and Futures Centre was co-founded by SCIA, Shenzhen Securities Association (SZSA), Shenzhen Futures Association (SZFA) and Shenzhen Asset Management Association (SZAMA). It has been functioning as a public welfare institution with legal person status permitted by and registered in Shenzhen Public Institutions Registration and Management Bureau.The Securities and Futures Centre is subject to the operational guidance of CSRC Shenzhen Regulatory Bureau. 

The Council Members of the Resolution Centre include CSRC Shenzhen Regulatory Bureau, Shenzhen Stock Exchange (SZSE), Shanghai Stock Exchange (SSE), National Equities Exchange and Quotations (NEEQ), China Securities Depository and Clearing Corporation Limited Shenzhen Branch, China Capital Market Institute (CCMI), SCIA, Shenzhen Public Companies Association(SZPCA), SZSA, SZFA, SZAMA, and Qianhai Equity Exchange (QHEE).

The Mission of the Securities and Futures Centre

The Securities and Futures Centre encourages the capital market participants to adopt a combination of mediation and arbitration in a coordinated way, fully respecting independence, voluntariness, fairness, convenience, and effectiveness. The main function of the Centre is to help resolve disputes concerning securities, futures, funds, and other types of capital market products. It wishes to advocate integrity and goodwill in financial market as well as promote self-discipline and social harmony.

The Significance of the Securities and Futures Centre

The establishment of the Securities and Futures Centre is conducive to the effective prevention and resolution of capital market disputes in a harmonious way in order to provide efficient, convenient, and low-cost dispute resolution methods for small and medium-sized investors and safeguard their legitimate rights and interests. By means of the first-in-class "mediation + arbitration + self-discipline + administrative regulation" dispute resolution mechanism, efforts are being made to explore the coordinated innovation and functional integration of professional mediation institutions, professional arbitration institutions, securities regulatory institutions, and self-discipline organizations to optimize the financial development environment in the Shenzhen Special Economic Zone and maintain a stable and healthy development of the capital market.

The Scope of acceptance of the Securities and Futures Centre

1. Mediate civil disputes arising from securities, futures, funds, venture capital or other capital market businesses between natural persons, legal persons or other organizations with equal standing.

2. Provide legal advice with respect to the dispute resolution in capital markets.

3. Conduct research, training and promotion activities regarding the dispute resolution in capital markets.

For more info：www.sfdrc.cn