《境外机构投资者业务申请表》

1、附件境外机构投资者业务申请表business application form of overseas institutional investors重要声明：本机构保证在本申请表中所填写的内容不存在任何虚假记载、误导 性陈述或者重大遗漏，并承诺对其真实性、准确性、完整性和有效性承担完全的法 律责任。important statement: we guarantee that no false record, misleading statement or major omission is provided in this application form; and we promise t

2、o bear full legal responsibility for the form s authenticity, accuracy, integrity and validity.基本信息投资者中文全称 full name of the investor in chinese(小于等于50个字)(up to 50 words)投资者英文全称 full name of the investor in english(小于等于 100 个字符)(up to joo characters)投资者中文简称 abbreviated name of the investor in chinese

3、(小于等于15个字)(up to 15 words)投资者英文简称 abbreviated name of the investor in english(小于等于 50 个字符)(up to 50 characters)投资者注册地place of registration(国家/地区)(country/region) 商业银行commercial bank （人民币清算行rmb clearing bank 境外参加 行 overseas participating bank 其他 others） 保 险公司 insurance company 证券公 司 securities compan

4、y 基金管理公司 fund management firm其他资产管理机构other asset management泊（填写具体类型）（in detail）投资者类型 （请勾选）type of the investor （please tick the corresponding box） 养老基金 pension fund （ 法人 legal person 非法人 non-legal person） 慈善基金 charity fund （ 法人 legal person 非法人 non-legal person） 捐赠基金 endowment fund （ 法人 legal person

5、 非法人 non-legal person） 商业银行非法人产品 unincorporated product of a commercial bank 保险公司非法人产品 unincorporated product of an insurance company 证券公司 非 法人产 品 unincorporated product of a securities company 基金管理公司非法人产品 unincorporated product of a fund management company 其他资产管理机构非法人产品un inco rpo rated product of

6、other asset management institutions （填写具体类型）（in detail）_其他 others 填写具体类型）（7 detail） 法人 legal person非法人 non-legalperson ） qfii （ 法人 legal person a non-legal person） rqfii （ 法人 legal person non-legal person产品现有规模 outstanding volume of the product产品成立日 origination date of the product投资者信息产品到期日 maturity

7、 date of the product年 月 日 dd/mm/yyyy 无固定期限 no fixed maturityinformation oj the investor q非法人产品填 写）（applicable for unincorporated法人机构识别编 码lei（如有）（if applicable ）products only） （如有）（if applicable ）募集方式means of fundraisingo 公募 public。私募 private资金来源source of fundso 单一资金来源 single source of fund投资者名称name

8、of investor o 非单一资金来源：non- single source of fund第一大委托人consignor 第二大委托人 end 八2 consignor 第三大委托人 3rd consignor持股比例share proportion% 持股比例 share proportion% 持股比例 share proportion%投资管理人全称full name of the investment manager投资管理人法人 机构识别编码 lei of investment manager(如有)(if applicable )投资管理人注册 地址(英文) registra

9、tion address (in english)投资者信息 information of the investor (法人机构填法人机构识别编 码lei(如有)(if applicable )写)(applicable for incorporated entities only)注册地址(英文) registration address (in english)债券账号bond account number(首次开户不填)(not applicable for the first-time account opening applicant)结算类型settlement type委托结算代

10、理人代理结算settle through the settlement agent结算代理人全称凡name of the settlementagent结算代理人账号 account number of the settlement agent(在中央结算公司账号)(account number at ccdc)(在上海清算所账号)(account number at shch)托管人全称full name of the custodian(如有)(if applicable )一、加入市场 market entry口申请同业拆借中心债券市场联网applying for bond market

11、 networking with cfets 口申请在中央结算公司开立债券账户applying to open a bond account at ccdc 口申请在中央结算公司开立债券结算资金专户applying to open a dedicated cash account for bond settlement at ccdc口申请在上海清算所开立债券账户applying to open a bond account at shch 口申请在上海清算所开立债券结算资金专户applying to open a dedicated cash account for bond settlem

12、ent at shch二、信息变更' information alteration1 .如发生中国人民银行上海总部要求变更备案的情形，境外机构投资者应向其中请备案。 in case there is any alteration(s) required by pbc shanghai head office for filing, the overseas institutional investor needs to apply for the filing of alteration(s).口机构名称变更 changing the name of the institution变更

13、前机构 全称 former full name of the institution: 口结算代理人变更 changing the settlement agent变更前结算代理人全称 former full name of the settlement agent: 口投资管理人变更 changing the investment manager变更前投资管理人全称:former full name of the investment manager:口变更产品到期日 changing the maturity date 口变更预留印鉴 changing the reserved seal三

14、、退出市场market exit口申请终止与同业拆借中心的联网applying to terminate networking with cfets 口申请注销在中央结算公司的账户applying to cancel the accounts at ccdc 口申请注销在上海清算所的账户applying to cancel the accounts at shch四、其他事项other business根据申请事项填写详细内容(please provide detailed information based on the business to be applied for)请事项busin

15、ess that requires application同业拆借中心业务申请application with cfets交易方式 type of trading口代理交易 agency trading口直接交易 direct trading交易执行机构全称full name of trading execution entity交易执行机构注册国家或地区 place of registration (county and/or region) of trading execution entity交易执行机构的机构类型type of entity of trading execution e

16、ntity提取dvp结算 资金收款账户beneficiary account for withdrawing dvp settlement funds使用开立 在商业银行 的单位结算 账户to use the corporate settlement account opened at a commercial bank开户行在支付系统行号bank number in the payment system(12 位行号)(12-digit)开户行在支付系统行名bank name in the payment system资金账户账号fund account number资金账户名称fund a

17、ccount name(小于等于30个字)(up to 30 characters)付息兑付资金 收款账户beneficiary account of interest payment and principal redemption口使用开立在商业银行的单位结算账户(路径同dvp结算资金收款账户一致) to use the corporate settlement account opened at a commercial bank (the same as the beneficiary account for dvp settlement funds) 口使用开立在中央结算公司的债券结

18、算资金专户to use the dedicated cash account for bond settlement at ccdc发票联系人invoice contact person联系人姓名name联系电话contact number通讯地址contact address邮政编码 postcode中央结算公司业务申请w -上海清算所业务申请提取dvp结算 资金收款账户beneficiary account for withdrawing dvp settlement funds使用开立 在商业银行 的单位结算 账户to use the corporate settlement accou

19、nt opened at a commercial bank开户行在支付系统行号bank number in thepayment system(12 位行号)(12-digit)开户行在支付系统行名bank name in thepayment system资金账户账号fund account number资金账户名称fund account name(小于等于30个字)(up to 30 characters)口资金专户余额日终自动退回 automatic return of the balance in dedicated cash account at the end of day (

20、默认)(default)口资金专户余额自主划回 optional withdrawal of the balance in dedicated cash account付息兑付资金 收款账户beneficiary account of interest payment and principal redemption口使用开立在商业银行的单位结算账户(路径同dvp结算资金收款账户一致)to use the corporate settlement account opened at a commercial bank (the same as the beneficiary account for dvp settlement funds) 口使用开立在上海清算所的债券结算资金专户to use the dedicated cash account for bond settlement at shch发票联系人invoice co