合格境外機(jī)構(gòu)投資者境內(nèi)證券投資申請(qǐng)表

1、.：.；合格境外機(jī)構(gòu)投資者境內(nèi)證券投資懇求表APPLICATION FORM FOR QUALIFIED FOREIGN INSTITUTIONAL INVESTORS (QFIIs)致： To: 懇求人： Applicant： 懇求日期(Date)： _重要聲明：本懇求人董事會(huì)保證本懇求所載資料不存在任何虛偽記載、誤導(dǎo)性陳說(shuō)或者艱苦脫漏，并對(duì)內(nèi)容的真實(shí)性、準(zhǔn)確性和完好性承當(dāng)法律責(zé)任。Acknowledgement: The applicants Board of Directors hereby represents and warrants that this Application co

2、ntains no false representations, misleading statements or material omissions, and shall be liable for its authenticity, accuracy and completeness of the contents.機(jī)構(gòu)稱(chēng)號(hào)(以懇求人所在國(guó)或地域注冊(cè)證書(shū)為準(zhǔn))Name of the ApplicantIdentical to its name in Business License at its home jurisdiction中文:English:托管人稱(chēng)號(hào)Name of the C

3、ustodian Bank中文:English:懇求額度 Investment quota applied機(jī)構(gòu)類(lèi)別Institution category基金管理機(jī)構(gòu)Fund management institution保險(xiǎn)公司Insurance company證券公司Securities company商業(yè)銀行Commercial bank其他機(jī)構(gòu)(請(qǐng)闡明)Other institutionplease specify成立時(shí)間Time of establishment注冊(cè)地址Domicile of incorporation中文：English:所在國(guó)家或地域注冊(cè)證書(shū)號(hào)Business Li

4、cense No. at home jurisdiction所在國(guó)家或地域資產(chǎn)管理業(yè)務(wù)答應(yīng)證號(hào)Asset Management Certificate No. at home jurisdiction所在國(guó)家或地域經(jīng)核準(zhǔn)的業(yè)務(wù)范圍Approved business scopeat home jurisdiction開(kāi)場(chǎng)運(yùn)營(yíng)金融業(yè)務(wù)的時(shí)間、地點(diǎn)和業(yè)務(wù)類(lèi)型Commencing date, location and category for financial business上一會(huì)計(jì)年度實(shí)收資本Paid-in capital in the latest accounting year 最近一個(gè)會(huì)計(jì)

5、年度管理的證券資產(chǎn)規(guī)模Assets under management in the latest accounting year同行業(yè)排名Rank in the industry所在國(guó)或地域監(jiān)管機(jī)構(gòu)稱(chēng)號(hào)Name of the home regulatory authority中文：English:近三年內(nèi)能否遭到所在國(guó)家或地域監(jiān)管機(jī)構(gòu)的處分。如有，請(qǐng)闡明Has the applicant been penalized by its home regulator in recent 3 years? If yes, please specify.從業(yè)人員符合所在國(guó)家或地域從業(yè)資歷要求的情況Pro

6、fessional qualifications status of the Applicants employees主要股東稱(chēng)號(hào)、注冊(cè)地、股權(quán)比例可用英文Names, domicile and percentage of holding of major shareholders (in English if necessary)主要關(guān)聯(lián)機(jī)構(gòu)的稱(chēng)號(hào)、注冊(cè)地(境內(nèi)關(guān)聯(lián)機(jī)構(gòu)應(yīng)詳盡)Names and domiciles of major affiliatespls specify all of affiliates in China 中文：English:懇求人法定代表人或其授權(quán)代表姓名及其簽名

7、(可用英文)Name and signature of legal representative or his/her authorized representative of the Applicant (in English if necessary)合格投資者聯(lián)絡(luò)人可用英文：QFIIs contact person (in English if necessary):：:：Fax:電子郵件：:托管人聯(lián)絡(luò)人:Custodians contact personFax電子郵件 要求Requirements附件Attatchments齊備性Completeness(是,否)(Yes,No)合規(guī)性

8、Authenticity and accuracy(是,否)(Yes,No)備注remarks托管人意見(jiàn)checked by custody監(jiān)管部門(mén)意見(jiàn)checked by CSRC托管人意見(jiàn)checked by custody監(jiān)管部門(mén)意見(jiàn)checked by CSRC合格投資者懇求書(shū)(包括但不限于懇求人根本情況、投資理念、投資方案及有關(guān)的任務(wù)進(jìn)度Letter of Application for QFIIincluding but not limited to company profile, philosophy of investment, plan and relevant sched

9、ule of investment1.能否由懇求人法定代表人簽字whether or not signed by the legal representative of the applicant 2.假設(shè)由法定代表人的授權(quán)代表簽署，該當(dāng)出具該法定代表人的授權(quán)委托書(shū)(if not, the Power of Attorney issued by the legal representative should be presented)3.該授權(quán)委托書(shū)須經(jīng)公證，或律師出具法律意見(jiàn)書(shū)，或經(jīng)中華人民共和國(guó)駐該國(guó)的使、領(lǐng)館認(rèn)證 (The Notarial Deed, or Legal Opinion

10、issued by lawyer, or Certification issued by the PRC Embassy in the applicants domicile country should be presented. Pls specify)懇求人授權(quán)托管人辦理懇求事宜的授權(quán)委托書(shū)The Applicants Letter of Authorization to the Custodian for the application of QFII托管人對(duì)懇求人能否符合規(guī)定的資歷條件的證明 Custodians statement on the applicants qualifi

11、cation according to Provisional Measures on Administration of Domestic Securities Investments of Qualified Foreign Institutional Investors與托管人簽署的托管協(xié)議草案Draft Custody Agreement signed with the Applicants Custodian懇求人所在國(guó)或者地域主管部門(mén)核發(fā)的營(yíng)業(yè)執(zhí)照和金融業(yè)務(wù)答應(yīng)證Business License and Financial Business License by authoriti

12、es at the applicants home jurisdiction須經(jīng)公證，或律師出具法律意見(jiàn)書(shū)，或經(jīng)中華人民共和國(guó)駐該國(guó)的使、領(lǐng)館認(rèn)證(The Notarial Deed, or Legal Opinion issued by lawyer, or Certification issued by the PRC Embassy in the applicants domicile country should be presented. Pls specify)懇求人的公司章程和內(nèi)部控制制度(注明允許懇求人從事證券買(mǎi)賣(mài)活動(dòng)的條款和QFII風(fēng)險(xiǎn)控制條款)Articles of Ass

13、ociation and internal control system of the applicantPls specify the articles which permit the applicant to undertake securities trading business and how to control the risks of QFII business 同5The requirement is the same as specified in article 5th 懇求人主要從業(yè)人員情況表Introduction List of the key staff of

14、applicant 懇求人最近3年能否遭到所在國(guó)家或地域監(jiān)管機(jī)構(gòu)處分的闡明Statement on any substantial penalties imposed on the applicant by its home regulator over the recent three years同5The requirement is the same as specified in article 5th資金來(lái)源闡明書(shū)(資金來(lái)源合法)Statement on sources of the funds (The applicant should claim that the sources

15、 of funds are legal)無(wú)境內(nèi)資金和同意時(shí)間內(nèi)不撤資承諾書(shū)Letter of commitment claiming no funds from Mainland China and not to withdraw funds during the approved period最近三年經(jīng)審計(jì)的財(cái)務(wù)報(bào)表和其他證明懇求人符合第七條規(guī)定的文件Audited financial reports for the most recent 3 years and other supporting documents on the applicants compliance with Art

16、icle 7 of Provisional Measures懇求人或其關(guān)聯(lián)方如在懇求前已在中國(guó)境內(nèi)設(shè)有分支機(jī)構(gòu)、獨(dú)資或合資企業(yè)，直接或者間接開(kāi)展銀行、證券及保險(xiǎn)業(yè)務(wù)活動(dòng)的，該當(dāng)詳細(xì)闡明If applicable, documents to specify that the applicant or its affiliates have established branches, wholly-owned enterprises and joint ventures, or are engaged in banking, securities and insurance businesses

17、in P.R.C. directly or indirectly prior to the application其他(other)監(jiān)管部門(mén)審核人及審核意見(jiàn)Approval or not by the staff of CSRC 填表闡明：懇求資料運(yùn)用鞏固的文件夾夾好，正面、側(cè)面須注明懇求人、托管人、懇求日期、原件(副件)，有關(guān)文件應(yīng)按懇求表中附件順序裝訂，并注明序號(hào)及標(biāo)題，不得裝入塑料袋。All application materials should be bound by solid-backed folder. Clear information about applicant, custodian bank, application date, original or co