香港地区境外特殊非经纪参与者资格申请材料清单.DOC

1、2018-O-2 1 / 30 香港 地区 境外特殊 非 经纪参与者资格申请材料清单 Application Checklist 2 有权签署人 签字的 境外特殊非经纪参与者资格承诺函（ 附件 2） ； An undertaking letter signed by the person entitled to sign（ Appendix 2） ; 承诺函内容包括：承认并遵守能源 中心业务规则及各项规定和决定，并保证所有申请材料的真实性、准确性、完整性、合规性等。 In the undertaking letter, the applicant shall undertake that it

2、 will acknowledge and abide by the business rules and each of the provisions and decisions of the Exchange, and all application materials are authentic, accurate, complete and valid, etc. 3 境外特殊非经纪参与者资格申请表（ 附件 3） ； An application form for Overseas Special Non-Brokerage Participant （ Appendix 3） ; 包含

3、组织结构图、主要股东名单、董事会成员名单、海外分支机构和关联企业名单等内容 Including organizational chart, list of major shareholders, list of the board of directors, list of overseas branches 若原 文件 非中 文版本，申请人需提供原件复印件与中文翻译件。并需签名盖章保证翻译内容真实、准确。 If the original document is in other language than Chinese, the applicant shall provide the Ch

4、inese translation together with a copy of the original document to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate. 5 经公证和依法认证的申请人合法成立的资料，如 公司注册证 等 复印件； Notarized and legally certified materials on the legal establishment of the applicant, such as a c

5、opy of Certificate of Incorporation; 1）公证：经申请者所在国家（地区）公证机构 出具证明 。认证： 经中国驻 该国（地区）使领馆出具证明； 中国香港地区：先通过委托公证人出具有关公证文书，再将该文书经中国法律服务（香港）有限公司审核并 加盖转递 章转递； 1) Notarization shall be endorsed at the notaries of the applicants residence country (region); and certification shall be endorsed by the Chinese embass

6、ies or consulates to this country (region); Hong Kong: Documents shall first be attested by a China-Appointed Attesting Officer, and then be sent to the “China Legal Service (H.K.) Limited” for “Sealing and Transfer 2018-O-2 3 / 30 Delivery”; 2 ） 若 公 司 注 册证 、商业 登 记证复印件等文件非中文版本，申请人需提供原件复印件与中文翻译件。并需签名

7、盖章保证翻译内容真实、准确。 If photocopies of Certificate of Incorporation, Business Registration Certificate or other documents are in other language than Chinese, the applicant shall provide the Chinese translation together with the copy of the original to the Exchange. The translation shall be signed and/or s

8、ealed to guarantee it is true and accurate. 6 申请人具有所在国（地区）经纪资格的证明文件，如 期货经纪业务许可证的 复印件 ； （ *仅 适用于香港地区 申请者） Photocopies of supporting documents proving that the applicant has a brokerage license in its country or region of residence, such as a copy of Futures Brokerage Business License; （ *Hong Kong Ap

9、plicants Only） 若原 文件非中 文版本，申请人需提供原件复印件与中文翻译件。并需签名盖章保证翻译内容真实、准确。 If the original is in other language than Chinese, the applicant shall provide the Chinese translation together with a copy of the original to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accur

10、ate. 7 公司章程、财务管理制度、内部风险控制制度和期货业务管理制度； Applicants Articles of Association, internal rules on financial management, risk control, and futures business 若原 文件非中 文版本，经能源中心同意后，申请人需提供中文摘要说明以及完整英文版本文件。 If the submitted statements are in other 2018-O-2 4 / 30 management; language than Chinese, the applicant

11、shall, with the consent of the Exchange, submit the whole set of documents in English together with the Chinese abstracts. 8 1)净资本或净资产不低于 1000 万元人民币或等值外币的证明文件 1)Photocopies of supporting documents of net capital or net asset of no less than RMB ten million (10,000,000) or its equivalent in foreign c

12、urrency 1)公司最近期的 财务报表或其他来源 。 1) Latest financial statement or other sources. 2) 若原文件非中文版本，申请人需提供原件复印件与中文翻译件。并需签名盖章保证翻译内容真实、准确。 2) If the original is in other language than Chinese, the applicant shall provide the Chinese translation together with a copy of the original to the Exchange. The translati

13、on shall be signed and/or sealed to guarantee it is true and accurate. 2)公司处于正常运营状态，具有良好的运营能力、诚信状况和声誉的证明文件 2) Documents that evidence the applicants normal operation condition, sound operation capabilities, good credit and reputation 1) 公司存续证明；以及所在国（地区）税务局出具的税收证明文件。 1) Certificate of Continuing Regi

14、stration /Certificate of Good Standing and certified tax documents by local tax authorities. 2) 若原文件非中文版本，申请人需提供原件复印件与中文翻译件。并需签名盖章保证翻译内容真实、准确。 2) If the original is in other language than Chinese, the applicant 2018-O-2 5 / 30 shall provide the Chinese translation together with a copy of the origina

15、l to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate. 3)经外部会计师事务所或审计师事务所审计的最近一年 审计 报告 3) Latest annual financial statements audited by an external accounting or auditing firm 若原 文件非中 文版本，经能源中心同意后，申请人需提供中文摘要说明以及完整英文版本文件。 If the submitted statements are

16、 in other language than Chinese, the applicant shall, with the consent of the Exchange, submit the whole set of documents in English together with the Chinese abstracts. 9 首席执行官 1、期货业务负责人、 期货风险控制负责人、授权签署人 的护照或能源中心认可的其他有效身份证明 复印件 、简历 （ 附件 4） 及签名 印鉴 卡 （ 附件 5） ； Photocopies of passports or other valid

17、IDs accepted by the Exchange, resumes（ Appendix 4） and signature specimens of the Chief Executive Officer1（ Appendix 5 ） , the person-in-charge of futures business, the chief risk control officer and the authorized signatory; 有效身份证明文件以其境外的官方语言为准，律所或政府相关机构认证的中文翻译为辅。 Valid IDs in the official language

18、 of the country (region) of the applicant shall prevail, whereas the Chinese translation certified by a law firm or relevant government authority shall be taken as reference. 10 涉及委托 授权签署人 签字的应提供授权 若原 文件非中 文版本，申请人需提供原1若申请主体为金融集团旗下的 自营 业务部门， 经向能源中心申请并获得同意后，申请人 仅需提交期货 自营 业务负责人 及 授权 签署人 的相关证明文件。 If the

19、 OSNBP applicant is a department under a financial holding company or a subsidiary of a financial business group, the applicant may apply to the Exchange for waive of providing CEOs identity documents, and only submit the copies of identity and related documents of the person-in-charge of its propri

20、etary business and the authorized signatory with the approval of the Exchange. 2018-O-2 6 / 30 委托书 ； Powers of Attorney (POA) where documents are signed by authorized signatories; 件复印件与中文翻译件。 If the original is in other language than Chinese, the applicant shall provide the Chinese translation toget

21、her with a copy of the original to the Exchange. 11 授权境内合法存续满一年的有固定办公场所的经济组织 或代表机构 及其相关人员为指定联络机构和指定联络人的授权文件， 合法授权文件中须具备 被授权机构和个人同意被授权的 签署 ， 另需提供联系人 和指定联络人姓名、联系方式及有效身份证明 复印件 ； Legal documents for authorizing a business organization or a representative institution that has been validly existing in the

22、 PRC for no less than one (1) year and has a fixed office premise as the designated contact institution, and authorizing relevant personnel thereof as the designated contact person, which shall be duly signed by the authorized parties to guarantee their consents to such authorization, and the names,

23、 contact details and certificates of valid IDs of the contact person and the designated contact person. 1）除本款规定相关文件外，申请人另应提交被指定联络机构存续满 一年的证 明材料，包括：工商行政管理部门核发的营业执照复印件；未办理三证合一的，须同时提供 组织机构 代码证。 1) The applicant shall also prepare and submit supporting documents proving that the designated contact insti

24、tution has validly existed in the PRC for no less than one (1) year, including copies of business license issued by industry and commerce administrations. The applicant shall also provide its organization code certificate if it does not have a unified business license. 2）若证明文件非中文版本，申请人需提供原件复印件与中文翻译件

25、。并需签名盖章保证翻译内容真实、准确。 2) If the original is in other language than Chinese, the applicant shall provide the Chinese translation 2018-O-2 7 / 30 together with a copy of the original to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate. 12 人员 （ 附件 6） 、期货交易业

26、务系统、设备和场地情况以及满足业务需要的说明； Descriptions of the personnel（ Appendix 6） , futures business trading system, facilities and premises that meet the business requirements; 1）描述公司员工数量、素质（包括从业人员 、教育培 训背景）等 Descriptions of the number and competency of employees (including certified practitioners and education/t

27、raining background), etc. 2）若证明文件非中文版本 ，经能源中心同意后，申请人需提供中文摘要说明以及完整英文版本文件 。 说明性文件必须提供中文版本。 2) If the submitted statements are in other language than Chinese, the applicant shall, with the consent of the Exchange, submit the whole set of documents in English together with the Chinese abstracts. Descrip

28、tion documents shall be provided in Chinese. 13 由所在国（地区）律师事务所或监管机构出具的律师意见或证明文件，表明本公司申请成为能源中心境外特殊非经纪参与者符合当地监管要求、不存在法律障碍； Legal opinions or other supporting documents issued by a law firm or a regulatory authority in the country (region) 若原 文件非中 文版本 ，申请人需提供原件复印件与中文翻译件。并需签名盖章保证翻译内容真实、准确。 If the origina

29、l is in other language than Chinese, the applicant shall provide the Chinese translation together with a copy of the 2018-O-2 8 / 30 of the applicant, which indicates that the application for an OSNBP of the Exchange conforms to local regulatory requirements with no legal impediment; original to the

30、 Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate. 14 能源中心或申请人认为需要提供的其他材料 ； Any other documents the Exchange or the applicant deems necessary; 15 申请材料的电子光盘。包括所有前述书面申请材料的电子文档（使用 word 格式，复印件和 审计 报告可使用 pdf 格式，文档名的编写规则为“材料名称（ XXX 公司） .doc/pdf” ， 电子光盘封面模版 见 附件

31、7） ，并与纸质材料一并以 邮寄方式发送至能源中心。若纸质申请材料与电子文档有出入，能源中心将以纸质申请材料为准。 An electronic CD for all application materials in digital file format (In WORD format except photocopies and financial statements in PDF format. Each file shall be named as “Document Name (XXX company). doc/pdf”. Appendix 7 is the template fo

32、r the CD cover) shall be posted to the Exchange together with paper documents. In the event of any discrepancy, the paper copy shall prevail. 2018-O-2 9 / 30 注 意事项： Note： 1. 所有书面材料中，单页文件加盖公章或签名；多页文件首页、尾页加盖公章或签名，并加盖骑缝章或签名； All single-page materials must be sealed or signed, and all multi-page materia

33、ls must be cross-page sealed or signed; 2. 若 以下 境外特殊非经纪参与者资格申请表 中 表格不够填写，可另附补充材料 Supplemental documents are accepted if the space in the following Overseas Special Non-Brokerage Participant Application Form is not sufficient. 3. 除能源中心认可的情形外， 书面材料均应当有中 文版本 ，并 以中文版 本 为准（人名、机构名和地址除外） ； Unless otherwise

34、 recognized by the Exchange, each application document submitted to the Exchange shall have a corresponding Chinese version, except for the addresses and the names of persons or entities. In the event of any discrepancy, the Chinese version shall prevail； *技术公司关于上海国际能源交易中心境外特殊参与者专线接入等事宜联系人为：周浩 20616

35、275，徐健 20616282 Please contact ZHOU Hao at 20616275 or XU Jian at 20616282 for any technical problem in respect to the leased line access to the Shanghai International Energy Exchange. 4. 邮寄 地址 : 李晓璇（ 021-20767580）或 王琼（ 021-20767929） 收 上海市浦东新区向城路 288 号 22 楼 邮编： 200122 Mailing Address: Xiaoxuan Li (0

36、21-20767580) or Qiong Wang (021-20767929) 22F No.288, Xiang Cheng Rd., Pudong New District, Shanghai, China, 200122 2018-O-2 10 / 30 附件 1： Appendix 1： 境外特殊 非 经纪参与者资格申请书 Overseas Special Non-Brokerage Participant Application Letter 致 上海国际能源交易中心： To Shanghai International Energy Exchange, 经自我审查，本公司满足上

37、海国际能源交易中心（以下简称能源中心）所规定的境外特殊 非 经纪参与者 资格条件，且有意于参与能源中心的期货交易活动。本公司 在能源中 心仿真环境已完成系统联调测试 ，现正式向能源中心申请成为 境外特殊 非 经纪参与者 。 After self-examination, we believe we have satisfied the application criteria for an Overseas Special Non-Brokerage Participant as prescribed by the Shanghai International Energy Exchange

38、(hereinafter referred to as the “the Exchange”), and intend to engage in the futures trading activities of the Exchange. We have completed the simulated test and we are now applying to be an Overseas Special Non-Brokerage Participant of the Exchange. 本公司成立于 年，自 年开始从事期货交易。近两年间参 与的期货交易情况，本公司的 组织机构 、经营

39、机构设置情况等信息请参考本公司所提交的申请表。 Our company was established in (year) and has engaged in futures trading since (year). Please refer to the application form for the futures trading records in the past two years, the corporate and operational structure and other related information. 注册机构名称（ Company Name） _ 注册地址（ Registration Address） _ 注册资本（ Registered Capital） _