China Securities Depository and Clearing Corporation Limited on the Revision of the “china Securities Depository and Clearing Corporation Limited
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China Securities Depository and Clearing Corporation Limited on the revision of the “China Securities Depository and Clearing Corporation Limited, qualified foreign institutional investors to invest in domestic securities registration and settlement business implementation details,” the notice
(Magic Legend: departmental rules and regulations about a)
All market participants:
July 2012, China Securities Regulatory Commission “on the implementation of
Accessories: China Securities Depository and Clearing Corporation Limited, qualified foreign institutional investors to invest in domestic securities registration and settlement business Implementing Rules
February 20, 2013
annex:
China Securities Depository and Clearing Corporation Limited, qualified foreign institutional investors to invest in domestic securities registration and settlement business Implementing Rules
(Approved by the China Securities Regulatory Commission December 1, 2002 release, February 16, 2013 Revision)
Chapter I General Provisions
First under the relevant provisions of the “qualified foreign institutional investors in securities investment management approach”, “on the implementation of
The second article of the rules applicable to qualified foreign institutional investors (hereinafter referred to as QFII) domestic securities registration and settlement business investment.
Article QFII custodian and trust of domestic securities companies and domestic investment in the process of registration and settlement of securities-related business, it should comply with these rules and other related business rules of the company.
Chapter II Securities Account Management
Article QFII shall after selecting securities for securities trading company, commissioned its own custodian, customers or managed funds (insurance funds, etc.) to apply for opening a securities account. Custodian shall apply directly to the Company pursuant to the Companys business rules.
Article 5 QFII custodian for the first time to accept the commission for opening a securities account, shall submit the following materials 🙁 a) China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission) and the State Administration of Foreign Exchange (hereinafter referred to as the State Administration of Foreign Exchange) a copy of the qualification on the approval of the trustee approved (capped custodian seal); (ii) the custodian business license (with official seal custodian); (iii) set aside the signature card (in duplicate): signature card Seal front stamped custodian and securities accounts business owners chapter names, the opposite custodian stamped seal; (iv) the trustee issued a power of attorney authorizing the managers to handle matters such as securities account opening; and (v) handling person valid identity document and a copy; (f) “agency securities account registration form”; (vii) the QFII custodian commissioned to handle the power of attorney and a copy of the original securities account opening and other matters; (viii) China Securities Regulatory Commission QFII securities investment business license and a copy of the original will be issued; QFII foreign exchange registration certificate of the original and a copy of (i) the State Administration of Foreign Exchange issued; (x) the State Administration of Foreign Exchange on QFII open foreign exchange accounts and special RMB account approval documents; (xi) the QFII custodian and trust, error prevention and treatment protocols securities transactions signed; and (xii) other materials required by the Company to offer. Custodian again entrusted to qualified investors applying for opening a securities account, the first paragraph shall be provided (a), (b), materials (c) away. QFII custodian and securities entrusted the company did not change from occurring, without providing the first paragraph (k) of the material. The company with reservation confirmation custodian trustee seal qualification to conduct securities business account. Custodian securities account in the process of business can be a one-time authorization is handling department, the mandate authorized by the department managers to handle the relevant securities account operations.
When Article QFII custodian commissioned to open a securities account, you can open a securities account, registration information changes, one-time non-trading business transfer authorization. After the trustee to obtain a one-time authorization, handle the relevant business, to be issued and a copy of the power of attorney.
Article qualified investors for their own customers or managed funds (insurance funds, etc.) open a securities account, securities account name is consistent with the special RMB account name, “identification number” of the QFII securities investment business license number .
Article VIII For each special RMB account, QFII up on participation in the Shanghai and Shenzhen Stock Exchange trading in different markets each application to open three securities accounts.
Article IX re-apply for QFII securities investment business license, shall entrust the custodian on behalf of their securities account to apply for registration information change procedures. In addition to the material “securities account management rules” provisions of the QFII custodian shall provide power of attorney, the State Administration of Foreign Exchange RMB accounts renamed approval and changes in foreign exchange registration certificate and a copy