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北向通業(yè)務(wù)指引（英文版）

GuideonRegistrationofOverseasInvestors

forNorthboundTradinginBondConnect

Article1PursuanttotheInterimMeasuresfortheAdministrationofMutualBondMarketAccessbetweenMainlandChinaandHongKong(DecreeNo.1[2017],InterimMeasures),theNoticeNo.3[2016],theNoticeofthePeople’sBankofChina(PBoC)onIssuesConcerningInvestmentofForeignCentralBanks,InternationalFinancialInstitutionsandSovereignWealthFundswithRMBFundsintheInter-bankMarket(NoticeNo.220[2015]),theGuideisformulatedforregistrationofoverseasinvestorsforNorthboundTradinginBondConnect.

Article2BondConnectandNorthboundTradingintheGuiderefertoBondConnectandNorthboundTradingspecifiedintheInterimMeasures.

Article3OverseasinvestorsforNorthboundTradingrefertoeligibleoverseasinstitutionalinvestorsspecifiedinthenotices,whichsatisfytherequirementslistedinthenoticesforentryintointer-bankbondmarket.

Article4EligibleoverseasinvestorsmayentrusttheChinaForeignExchangeTradeSystem&NationalInterbankFundingCenter(CFETS),domesticbondcustodiansrecognisedbythePBoC(domesticbondcustodians),settlementagentsintheinter-bankbondmarket,orotherinstitutionsrecognisedbythePBoCasregistrationagentstoapplyforregistrationtothePBoCShanghaiHeadOffice.

Overseasinvestorsmayprovideregistrationdocumentstotheabove-mentionedregistrationagentsdirectlyorthroughtheiroverseascounterparts.Theregistrationagentsshallproviderelevantfacilityforoverseasinvestors.

TheregistrationisconductedviatheInter-bankBondMarketRegistrationManagementSystem.

(

/IBRSW/

)

Article5TherequirementsforregistrationofoverseasinvestorsforNorthboundTradingareasfollows:

A.DocumentsforRegistration:

(1)Applicationforregistration(application);

(2)RegistrationformforoverseasinvestorsunderBondConnect(registrationform,seeAppendix);

(3)Aletterofentrustmentforregistration.

B.PleaseFillintheapplicationformviatheregistrationsystem:

(1)NameofAccount:pleasefillinthenameoftheoverseasinvestor,whichshouldbeconsistentwiththatintheregistrationform;

(2)TypeofInvestor:pleaseselectfromthelistedtypesinthesystem,whichshouldbeconsistentwithTypeofEntityintheregistrationform;

(3)TypeofSettlement:pleaseselect“BondConnect”;

(4)Whenapplyingforregistrationofalternation,pleaseselect“RegistrationofAlternation”,andfillintheitemstobealteredinastandardformat,eg.“NameofAccount”tobealteredfromXXXtoXXX;

(5)ContactinformationofCustodian/SettlementAgent:pleasefillinN/A;

C.TheregistrationformmustbecompletedinbothChineseandEnglish.

(1)TypeofEntityshouldbeconsistentwithTypeofInvestorintheapplicationform;

(2)Thecompletedregistrationformmustbesignedorsealedbythedirectoroftheoverseasinvestor.

Article6WhentheCFETS,domesticbondcustodians,settlementagentsintheinter-bankbondmarket,orotherinstitutionsrecognisedbythePBoCisentrustedasaregistrationagent,itshouldurgetheoverseasinvestortoprovidetrue,accurateandcompleteinformation.

Article7Within3businessdaysafteracceptingtheapplicationofregistration,thePBoCShanghaiHeadOfficeshallissueaRegistrationNotice,inaccordancewithrequiredconditionsandprocedures.AfterreceivingtheRegistrationNotice,anoverseasinvestormayapplytotheCFETSforopeninganaccount.

Article8Whenanoverseasinvestorneedstoalterrecordedinformationsuchasthenameofentity,investmentmanagementcompany,orcustodianetc.,theinvestorshouldapplytothePBoCShanghaiHeadOfficeforregistrationofalternationinatimelymanner.Theapplicationformshouldbefilledinviatheregistrationsystem,andaninformationnoteonthealternationshouldbesubmittedtogetherwiththeoriginalRegistrationNotice.TheRegistrationFormdoesnotneedtobesubmittedagain.Supportingdocumentsforalternationofname,contractsandotherrelevantdocumentsshouldbesubmittedaccordingly.

Article9WhentheCFETSopensanaccountforanoverseasinvestor,thenameoftheaccountshouldbeconsistentwiththatontheRegistrationNoticeissuedbythePBoCShanghaiHeadOffice.

Article10TheCFETSanddomesticcustodiansshall,inlinewiththeirrespectiveresponsibilities,makeeffortstoproviderelevantservicesandmonitortransactions.Withinthefirst5businessdaysofeachmonth,theinformationonoverseasinvestors’activitiesofNorthboundTradinginthemonthbeforeshallbereportedtothePBoCShanghaiHeadOffice,whichshouldbeguaranteedtrue,accurateandcomplete.Inparticular,namesofoverseasinvestorsshouldbeconsistentwit

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