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Account Opening Instructions for Participants of Shanghai International Gold Exchange Center

Account Opening Instructions for Participants of Shanghai International Gold Exchange Center. 上海国际黄金交易中心. 参与人开户介绍. Ⅱ. Ⅲ. I. Brief Introduction of BOCOM. content. Account Opening Instructions. Advantages of BOCOM. I. 交通银行优势. 交通银行简介. 目录. Ⅱ. 参与人开户介绍. Ⅲ.

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Account Opening Instructions for Participants of Shanghai International Gold Exchange Center

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  1. Account Opening Instructions for Participants of Shanghai International Gold Exchange Center

  2. 上海国际黄金交易中心 参与人开户介绍

  3. Ⅱ Ⅲ I Brief Introduction of BOCOM content Account Opening Instructions Advantages of BOCOM

  4. I 交通银行优势 交通银行简介 目录 Ⅱ 参与人开户介绍 Ⅲ

  5. As one of the five main state-owned commercial banks, Bank of Communications was founded in 1908, and is the oldest existing Chinese commercial bank. With headquarter in Shanghai, Bank of Communications is the main comprehensive financial services provider in China, and is becoming an international business conglomerate.

  6. 交通银行始创于1908年（清光绪34年），是中国五大国有控股商业银行之一。总部位于上海，是中国现存历史最悠久的商业银行，1987年重新组建为全国第一家股份制商业银行。交通银行是中国境内主要综合金融服务供应商之一，并正在成为一家以商业银行为主体，跨市场、国际化的大型国有银行集团。交通银行始创于1908年（清光绪34年），是中国五大国有控股商业银行之一。总部位于上海，是中国现存历史最悠久的商业银行，1987年重新组建为全国第一家股份制商业银行。交通银行是中国境内主要综合金融服务供应商之一，并正在成为一家以商业银行为主体，跨市场、国际化的大型国有银行集团。

  7. The key financial rates of BOCOM in the first quarter of 2014 are as follows: total asset ￥5.98 trillion, net profit ￥18.7, core CAR 10.04%, ROAA 1.26%; ROAE 17.44%, impairment of loan rate 1.05%. BOCOM is one of the FORTUNE 500 companies for 5 years with revenue ranked 243rd. BOCOM also ranked 23rd by The Banker for its tier l capital among 1000 largest banks worldwide.

  8. 截至2014年3月末，交通银行资产总额达5.98万亿元，实现净利润187亿元；资本充足率为12.19％，核心资本充足率为10.04%；年化平均资产回报率（ROAA）为1.26%；年化加权平均净资产收益率（ROAE）为17.44%；减值贷款率为1.05%。集团连续五年跻身《财富》（FORTUNE）世界500强，营业收入排名第243位，列《银行家》（The Banker）杂志全球千家最大银行一级资本排名第23位。

  9. 2700 bankingoutlets all around China Frankfurt branch UK subsidiary Seoul Branch New York Branch Tokyo Branch San Francisco Branch Hong Kong Branch Ho-Chi-Ming City Branch Macau Branch Taipei Branch Singapore Branch 12 Oversea Branches and 55 banking outlets Sydney Branch agency relationship with 1608 banks in 144 countries Expanding financial services overseas

  10. 境内37个省区市260多个大中城市设有2700个网点 法兰克福分行 英国子公司 首尔分行 纽约分行 东京分行 旧金山分行 香港分行 澳门分行 胡志明市分行 台北分行 新加坡分行 全球12家境外分行55个营业网点 悉尼分行 与全球144个国家和地区1608家银行建立代理行关系 境内外一体化服务，实现境内金融服务的境外延伸

  11. 565家 706家 189家 115家 33家 1+1 Global Financial Service • Established agency relationship with 1608 banks across 144 countries and regions over the world. • 68 foreign currencies accounts including 17 main currencies at 53 banks around 24 countries over the world. Strategic Synergy Quantitative Indicators Complementing Advantages Cross Marketing Global financial services

  12. 565家 706家 189家 115家 33家 1+1全球金融服务 • 全球代理行总数达1608家，覆盖144个国家地区 • 已在全球24个国家的53家银行总分支机构开设了68个外币账户，包括17种主要货币。 战略协同 量化指标 交叉营销 优势互补 金融服务遍及全球

  13. 基金 OVERSEAS CHINA 保险 综合化牌照 投行 信托 租赁 BOCOM has a conglomerate business scope including funds, insurance, trust, leasing, investment banking, with advantages on diversification, cross-market and integration. Subsidiaries such as BOCOMINTERNATIONAL, BOCOM INSURANCE have made the international services of BOCOM more comprehensive and in-depth.

  14. 基金 境 内 境 外 保险 综合化牌照 投行 信托 租赁 交行已在境内外完成了横跨基金、保险、信托、租赁、投行等领域的子公司布局，形成十分明显的多元化、跨市场、一体化的金融服务优势，并在香港设有交银国际、交银保险等子公司，国际化服务实现纵深化、立体化发展。

  15. Ⅱ Ⅲ I Brief Introduction of BOCOM content Account Opening Instructions Advantages of BOCOM

  16. I 交通银行优势 交通银行简介 目录 Ⅱ 参与人开户介绍 Ⅲ

  17. Shanghai International Gold Exchange Center Category A Membership Category B Membership Institutional Investor Individual Investor Participant Structure

  18. 参与人结构图

  19. Category B Member Category A Member Proprietary Trading Account Proprietary Trading Account Agency Trading Account Retained Margin Account Retained Margin Account Accounts Structure of the Members

  20. 参与人账户结构图

  21. FTU is applied to Free Trade Unitand off-shore financial institutions. Free Trade Unit Account (FTU) For the institutions in the zone and individually-owned business registered in the zone. Free Trade Account for Entities (FTE) Types of FTA Accounts FTN account is applied to off-shore financial institutions. Free Trade Account for Nonresidents(FTN) Free trade account for the individuals in the zone has theprefix of “FTI”.Individuals in zone means Chinese citizenswho work in the Free Trade Zone and their employer havebeen paying income tax to Chinese tax authority for overoneyear. Free Trade Account for individuals (FTI) Free trade account for the foreign individuals in the zone with the prefix of “FTF” can only be opened at the financial institutions located in the zone. A natural person holding valid oversea ID document (including Hong Kong, Macau and Taiwan) with working permission who has been working in the Free Trade Zone for more than one year can be identified as foreign individuals in the Zone. Free trade account for foreign individuals (FTF)

  22. FTU开户主体为其他金融机构的试验区分账核算单元和境外金融机构。 同业机构自由贸易账户 （简称“FTU”） FTE开户主体为区内机构 区内机构自由贸易账户 （简称“FTE”） 自由贸易账户类型 FTN开户主体为境外机构 境外机构自由贸易账户 （简称“FTN”） FTI开户主体为在试验区内工作，并由其区内工作单位向中国税务机关代扣代缴一年以上所得税的中国公民 区内个人自由贸易账户 （简称“FTI” ） FTF开户主体为持有境外身份证件、在试验区内工作一年以上、持有中国境内就业许可证的境外（含港、澳、台地区）自然人。 区内境外个人自由贸易 账户（简称“FTF”）

  23. Materials Required for Opening FTU Account (1) 1.The reserved copy of Registration Certification(with official seal affixed) 2.The reserved copy of Organization Code Certificate (with official seal affixed) 3.The reserved copy of Tax Registration Certificate (both national tax bureau and local tax bureau, with official seal affixed) 4.The valid personal identification of legal representative or head in-charge(with official seal affixed) 5.The authorization letter and valid personal identification (both the original and the copy with official seal affixed ) 6.The permit of opening basic account (both the original and the copy, with official seal affixed) 7.The reserved copy of Organization Credit Code Certificate(with official seal affixed)

  24. 参与人开立FTU账户所需材料（一） 1、机构登记注册证明正本原件及复印件（加盖法人公章） 2、组织机构代码证正本原件及复印件（加盖法人公章） 3、税务登记证（地税、国税）正本原件及复印件（加盖法人公章） 4、法定代表人或者单位负责人的有效身份证件复印件（加盖法人公章） 5、授权开户委托书及代理人有效身份证件复印件（加盖法人公章） 6、基本户开户许可证原件及复印件（加盖法人公章） 7、机构信用代码证原件及复印件（加盖法人公章）

  25. 8. The statement of account opening application (Enterprises should state the reason of applying the certain account type, currency etc. is for the businesses under FTA separate accounting unit system) 9. Business license for the regulatory authority that comply with the financial industry management requirement. 10. The application form for opening a settlement account 11. The application form for additional services 12. The account management agreement 13. Reserved signature and seal card, authorization attorney of the reserved signature and seal (official seal affixed), the copy of the authorized person’s identification 14. Specimen of the signatures and seals Materials Required for Opening FTU Account (2)

  26. 8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自由贸易账户种类、币种等，并加盖法人公章）8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自由贸易账户种类、币种等，并加盖法人公章） 9、符合同业管理要求的监管部门核发的经营许可证复印件加盖公章 10、开立单位银行结算账户申请书（加盖法人公章及法人章） 11、单位开户签约类业务综合申请表（加盖法人公章及法人章） 12、自贸区分账核算业务自由贸易账户管理协议（加盖法人公章及法人章） 13、预留印鉴卡、授权预留印鉴委托书（加盖法人公章及法人章）、被授权人身份证复印件（正本加盖法人公章） 14、签章样本（加盖法人公章及法人章） 参与人开立FTU账户所需材料（二）

  27. 1.The reserved copy of Registration Certification(with official seal affixed) 2.The reserved copy of Organization Code Certificate (with official seal affixed) 3.The reserved copy of Tax Registration Certificate (both national tax bureau and local tax bureau, with official seal affixed) 4.The valid personal identification of legal representative or head in-charge(with official seal affixed) 5.The authorization letter and valid personal identification (both the original and the copy with official seal affixed ) 6.The permit of opening basic account (both the original and the copy, with official seal affixed) 7.The reserved copy of Organization Credit Code Certificate(with official seal affixed) Materials Required for Opening FTE Account (1)

  28. 1、机构登记注册证明正本原件及复印件（加盖法人公章）1、机构登记注册证明正本原件及复印件（加盖法人公章） 2、组织机构代码证正本原件及复印件（加盖法人公章） 3、税务登记证（地税、国税）正本原件及复印件（加盖法人公章） 4、法定代表人或者单位负责人的有效身份证件复印件（加盖法人公章） 5、授权开户委托书及代理人有效身份证件复印件（加盖法人公章） 6、基本户开户许可证原件及复印件（加盖法人公章） 7、机构信用代码证原件及复印件（加盖法人公章） 参与人开立FTE账户所需材料（一）

  29. 8. The statement of account opening application (Enterprises should state the reason of applying the certain account type, currency etc. is for the businesses under FTA separate accounting unit system) 9. The application form for opening a settlement account 10.The application form for additional services 11.The account management agreement 12.Reserved signature and seal card, authorization attorney of the reserved signature and seal (official seal affixed), the copy of the authorized person’s identification 13.Specimen of the signatures and seals Materials Required for Opening FTE Account (2)

  30. 8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自由贸易账户种类、币种等，并加盖法人公章）8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自由贸易账户种类、币种等，并加盖法人公章） 9、开立单位银行结算账户申请书（加盖法人公章及法人章） 10、单位开户签约类业务综合申请表（加盖法人公章及法人章） 11、自贸区分账核算业务自由贸易账户管理协议（加盖法人公章及法人章） 12、预留印鉴卡、授权预留印鉴委托书（加盖法人公章及法人章）、被授权人身份证复印件（加盖法人公章） 13、签章样本（加盖法人公章及法人章） 参与人开立FTE账户所需材料（二）

  31. 1. Clients should provide materials according to the different types of companies: For Hong Kong limited companies, please provide business registration or certificate of incorporation For non Hong Kong limited companies, please provide certificate of incorporation, certificate of register agent, business continuation proof (for company duration longer than 1 year), articles of corporation Unlimited companies please provide Business registration certificate, certificate of register agent Others: Please provide Business registration certificate, certificate of register agent Materials required for opening FTN account (1)

  32. 1、根据客户类型向我行出具： 香港有限公司：企业注册登记证明或企业商业登记证、公司章程、法团成立表格/周年申报表 非香港有限公司：企业注册登记证明（如非中文，应同时提供对应的中文翻译）、注册代理人注册登记证明（如与交通银行未签订协议，需提供此证明文件）、企业延续证明（企业存续期间大于1年，需提供此证明文件）、公司章程 无限公司：企业商业登记证（如非中文，应同时提供对应的中文翻译）、注册代理人注册登记证明（如未与交通银行签订协议时需提供此证明文件） 其它：企业商业登记证（如非中文，应同时提供对应的中文翻译）、注册代理人注册登记证明（如未与交通银行签订协议，需提供此证明文件） 参与人开立FTN账户所需材料（一）

  33. 2. The search proved (chose one in three), including: The search proved that conducted by qualified Search company which proved by our head office Certifications issued by Online Search Centre, agent research by our overseas branches, or by Chinese Embassies For listed foreign company, we can assist to obtain authenticity certificate information through publicly available documents. 3. The resolution of the board of directors 4. Three copies of the identity certificate of the board members authorized person, with official seal affixed 5. Three copies of the account opening authorization letter, with official seal affixed Materials required for Opening FTN Account (2)

  34. 2、查册证明（以下材料三选一） 包括： 具备交通银行认定的具有查册资格的合法查册公司出具的查册证明 网上查册中心、我国驻外使领馆等机构出具的证明文件，或交通银行海外分行代理查册、见证并出具的证明文件 如果境外机构为上市公司，交通银行可协助通过公开途径获得其基本信息真实性证明资料 3、董事会决议 4、董事身份证件/被授权人身份证件（此证明文件如为非中文的，应同时提供对应的中文翻译，并加盖单位公章） 5、开户经办授权书（授权经办人前往开户）一式叁份 参与人开立FTN账户所需材料（二）

  35. Materials required for Opening FTN Account (3) 6. Three copies of the identification of authorized person,a seal of prove is needed 7. Original script of special organization code certificate, with official seal affixed 8. Permit of opening basic bank account (the original) 9. Organization code certificate (the original) 10.Explanations of the account opening (Company should explain the reason that open the account and illustrate the type of account and currency of account) 11.Other certifications those are required in accordance with laws and administrative regulations or bank account administration department (if required) 12. Reserved signature card

  36. 参与人开立FTN账户所需材料（三） 6、被授权经办人身份证件 7、特殊机构代码证原件 8、基本户开户许可证原件 9、机构信用代码证原件 10、开立账户说明（企业应说明因办理自由区分账核算单元业务，所以申请开立自由贸易账户种类、币种等） 11、依照法律、行政法规或者国务院银行账户监督管理部门规定应当提供的其他证明文件（如需） 12、预留印鉴卡

  37. Materials Required for Opening FTN Account (4) 13. Special Notice: • If the valid identification cannot be issued by the legal representative or person in charge of the entity, a valid identification of the authorized account signatory and the entity constitution should be provided • The documents provided must be the original, and if they are not in Chinese, please provide the Chinese version and affix the valid official seal • For Foreign institutions which do not have valid official seal, please provide signature of the authorized person for the account • According to the real name review requirements, the operation management agency has the right to request for extra supplementary documents for identity examination purpose

  38. 参与人开立FTN账户所需材料（四） • 13、特别备注： • 如不能出具法定代表人或单位负责人的有效身份证件的，可出具公司章程规定的账户有权签字人的有效身份证件及公司章程（如非中文，应同时提供对应的中文翻译） • 上述证明文件必须为原件，如非中文，还应同时提供对应的中文翻译，并加盖单位公章或财务专用章或账户有权签字人签章 • 境外机构无单位公章或财务专用章，银行预留印鉴以及所有签章处请账户有权签字人签章。根据实名制审查要求，营业机构有权要求单位出具除上述证明文件之外的辅助身份证明文件 • 如境外机构无法派人到境内银行办理开户手续，经开户银行和申请开户主体协商一致，可以采用境外机构到境外银行（包括交通银行海外分行）或第三方公证机构见证开户的形式进行见证开户

  39. The participant must have a basic bank account Clients should submit the mandatory material and fill in the form of “Bank Settlement Account Opening Application” and sign the “Shanghai FTA separate accounting business free trade account management agreement” The branch of BOCOM will examine the account opening material to verify whether the applicant is qualified for opening FT account according to the regulations of PBOC, and ensure the realness, completeness and compliance of the account opening materials The participant should prepare the specimen of signature and official seal when applying for opening the account. Off-shore financial institutions can provide account opening instruction via SWIFT instead of providing the specimen BOCOM will establish and enable the FT account for clients in accordance with relevant regulations Account Opening Process Fill in the application forms and provide necessary materials Review of the account opening materials Filing the specimen of signatures and seals Enabling the Account

  40. 参与人必须先开立基本账户 参与人准备相关证照及资料，并连同填写好的《开立单位银行结算账户申请书》及《交通银行上海自贸区分账核算业务自由贸易账户管理协议》提交我行 交通银行开户网点根据人民银行的相关规定审核开户主体是否符合开立FT账户的开户条件，并审核开户资料的真实性、完整性和合规性 参与人申请开户时，须按规定预留印鉴或签字 境外金融机构可以采用加押SWIFT报文替代预留印鉴 交通银行根据相关业务规定为客户开立并启用FT账户 上海国际黄金交易中心参与人自由贸易账户开立流程 参与人填写并提交开户资料 开户行审核开户资料 印鉴建档 账户启用

  41. Ⅱ Ⅲ I Brief Introduction of BOCOM content Account Opening Instructions Advantages of BOCOM

  42. I 交通银行优势 交通银行简介 目录 Ⅱ 参与人开户介绍 Ⅲ

  43. SecureandStableSystemOperation ExperiencedSettlementAgencyServiceProvider Experience SafetyGuarantees ScopeofService Efficiency WideRangeofService Efficientsettlementandconvenient 服务优势 交行优势 合作情况 业务流程

  44. 系统运维 安全稳定 代理结算 经验丰富 经验优势 服务渠道 安全保障 高效便捷 服务覆盖 范围广泛 结算高效 服务便捷 服务优势 交行优势 合作情况 业务流程

  45. Full Coverage of Cooperation with Clients Full Coverage of Risk Management Full Coverage of Cooperation with Financial Markets 风险控制 全覆盖 金融要素市场 合作全覆盖 • Wide range of client groups including banks, securities companies, funds, insurance, trust and asset management companies, etc. • Steady operation and investment strategies to evade market risk • Well developed regulatory framework and stable advanced technological system. • Fullcoverageofcooperationwithallelementsoffinancialmarket. • Being the firstbatchofqualifiedclearingagents. • Leading market share .

  46. 金融要素市场 合作全覆盖 金融要素市场 合作全覆盖 金融机构客户 合作全覆盖 风险控制 全覆盖 风险控制 全覆盖 • 客户涵盖银行、券商、基金、保险、信托、资产管理公司等全方位合作 • 与各类金融要素市 • 场合作的全覆盖 • 首批的结算机构或 • 参与机构结算 • 份额名列前茅 • 稳健的经营及投资 • 策略避免市场风险 • 完善的制度建设以 • 及先进稳定的技术 • 系统

  47. Comprehensive Co-operations with Different Financial Markets Shanghai Gold Exchange Shanghai International Gold Exchange Center Zhengzhou Commodity Exchange China Securities Depository and clearing Corp. Ltd. BOCOM Dalian Commodity Exchange Shanghai Clearing House China Financial Futures Exchange Shanghai Futures Exchange

  48. 上海黄金 交易所 上海国际黄金 交易中心 中国证 券登记 结算公司 郑州商品 交易所 交通银行 大连商品 交易所 上海清算所 中国金融 期货交易所 上海期货 交易所 各大金融要素 市场全面合作

  49. Brief Introduction of Co-operation with Some Major Financial Markets ChinaFinancialFuturesExchange China Securities Depositoryand clearingCorp. Ltd. Shanghai FuturesExchange Shanghai ClearingHouse BOCOM is the earliest participant of the R&D for CFFE’s PSIS clearing system. Currently there is a total number of 76 clearing members including 15 general clearing members and 61 trading clearing members. Meanwhile 13 general members and 46 trading members have opened their settlement accounts at BOCOM. Asthestrategicpartnerand general settlementmemberof Shanghai ClearingHouse, BOCOM has gainedthe agency qualification ofall product lines.BOCOM has already been a settlement agent of RMB FFA, RMB IRS, Thermal Coal and Iron Ore. BOCOM has full-function system, perfect management process and rich service experience for this market. BOCOM is one of the earliest banks that started developing PROP clearing system.Thehighefficiency andstabilityofthesystem havebroughtthelowest rankingoferroroccurrence rate. Over80%ofthe institutionalinvestorson themarkethaveselected BOCOMastheir clearingagent. BOCOMistheearly participantoffuturesmarket. Theperformanceofhigh fundstransferringefficiency hasmademany large Chineseandforeign banks choosetoopen theirmargin accountsof Shanghai FuturesExchangeat BOCOMandthebusiness serviceteamofBOCOM isprofessional andexperienced.

  50. 金融要素市场主要合作情况简介 中国结算 上期所 中金所 清算所 交通银行是最早参与 中登公司研发PROP 清算系统的结算银行 之一。高效稳定、 差错率排名五家结 算末位获得良好的口 碑。市场上80%以上 的机构客户选择交通 银行进行资金清算。 交通银行参与期货业 务时间较早，资金划 转效率较高；多家大 型中外资银行已选择 交通银行开立上海期 货交易所保证金结算 账户；交通银行期货 业务服务团队经验 丰富。 交通银行是最早参与 中金所研发PSIS清算 系统的结算银行。中 金所共有结算会员76 家，其中， 15家全面 结算会员中有13家在 交通银行开户，61家 交易结算会员中有46 家在交通银行开户。 作为上海清算所战略 合作伙伴、综合清算 会员，具有全产品线 综合代理资格。已代 理人民币FFA、动力 煤、铁矿石清算，系 统功能完备，管理流 程完善，服务经验 丰富。

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