1、2018-O-11 / 32香港地区境外特殊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经纪参与者资格承诺函（ 附件 2）；A 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 will acknowledge an
2、d 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境外特殊经纪参与者资格申请表（ 附件 3）；An application form for Overseas Special Brokerage Participant（Appendix 3）;包含组织结构图、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
3、单等内容Including organizational chart, list of major shareholders, list of the board of directors, 2018-O-12 / 32list 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 Chinese translation togeth
4、er 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 applicant, such as a copy of Certificate of Incorporatio
5、n;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 embassies or consulates to this country (region);
6、Hong Kong: Documents shall first be attested by a China-Appointed Attesting Officer, and 2018-O-13 / 32then be sent to the “China Legal Service (H.K.) Limited” for “Sealing and Transfer 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。并需签名盖章保证翻译内容真实、准确。2) If photocopies of Certificate of Incor
7、poration, 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 sealed to guarantee it is true and accurate.6申请人具有所在国（
8、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；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;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 Chine
9、se, 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 accurate.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 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
10、以及完整英文2018-O-14 / 32rules on financial management, risk control, and futures business management;版本文件。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 abstract
11、s.1)净资本不低于 3000 万元人民币或等值外币的证明文件1) Photocopies of supporting documents of net capital of no less than RMB thirty million (30,000,000) or its equivalent in foreign currency1)公司最近期的财务报表或其他来源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。1) If the original is
12、 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 accurate.82)持续经营 2 年以上 1的证明文件2) Supporting documents proving that the applicant has bee
13、n operating consecutively for over two (2) years1)如营业执照、年报等1) Such as business license, annual report, etc.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 2018-O-15 / 32Chinese translation together with a copy of
14、the original to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate.3)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3) Documents that evidence the applicants normal operation condition, sound operation capabilities, good credit and reputation1)公司存续证明；以及所在国（地区）税务局出具的税收
15、证明文件。1) Certificate of Continuing Registration /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 shall provide the Chinese translation together with a
16、copy of the original to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate.4)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4) 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 sta
17、tements are in other language than Chinese, the applicant shall, with the consent of the Exchange, submit the whole set of documents in 2018-O-16 / 32English together with the Chinese abstracts.9首席执行官 2、期货业务负责人、期货风险控业务负责人、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 o
18、r other valid IDs accepted by the Exchange, resumes（Appendix 4） and signature specimens of the Chief Executive Officer2（Appendix 5）, the person-in-charge of futures business, 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 lang
19、uage 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委托书；Powers of Attorney (POA) where documents are signed by authorized signatories;若原文件非中文版本，申请人需提供原件复印件
20、与中文翻译件。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.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 aut
21、horizing a business organization or a representative institution that has been validly existing in the PRC for no less than one (1) year and has a fixed office 1）除本款规定相关文件外，申请人应另提交被指定联络机构存续满一年的证明材料，包括：指定联络机构的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 supp
22、orting documents proving 2若申请主体为金融集团旗下的期货经纪业务部门，经向能源中心申请并获得同意后，申请人仅需提交期货经纪业务负责人及授权签署人的相关证明文件。If the 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,
23、 and only submit the copies of identity and related documents of the person-in-charge of its proprietary business and the authorized signatory with the approval of the Exchange.2018-O-17 / 32premise as the designated contact institution, and authorizing relevant personnel thereof as the designated c
24、ontact person, which shall be duly signed by the authorized parties to guarantee their consents to such authorization, and the names, contact details and certificates of valid IDs of the contact person and the designated contact person.that the designated contact institution has validly existed in t
25、he 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。并需签名盖章保证翻译内容真实、准确。2) If the ori
26、ginal 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 accurate.12人员（ 附件 6）、期货交易业务系统、设备和场地情况以及满足业务需要的说明；Descriptions of the personnel（
27、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1) Descriptions of the number and competency of employees (including certified practitioners and education/training 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
28、说明以及2018-O-18 / 32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.Description documents shall be provided in Chinese.13由所在
29、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) of the applicant, which indicates that the application for an OSNBP of the Exchange conforms to local regulatory requ
30、irements with no legal impediment;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 i
31、s 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 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2018-O-19 / 32纸质申请材料为准。An electronic CD
32、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 for the CD cover) shall be posted to the Exchange together with paper documen
33、ts. In the event of any discrepancy, the paper copy shall prevail.2018-O-110 / 32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 materials must be cross-page sealed or signed;2. 若以下境外特殊经纪参与者资格申请表中表格不够填写，可另附补充材料；Supple
34、mental documents are accepted if the space in the following Overseas Special 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 recognized by the Exchange, each application document submitted to the Exchange shall have a corre
35、sponding 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 20616275，徐健 20616282Please contact ZHOU Hao at 20616275 or XU Jian at 20616282 for any technical problem
36、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：200122Mailing Address: Xiaoxuan Li (021-20767580) or Qiong Wang (021-20767929)22F No.288, Xiang Cheng Rd., Pudong New District, Shanghai, China, 200122
