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1

備案說明（附件1），境外經紀機構備案申請表（附件2）。

A filing statement (Appendix 2-1);

Filing Form (Appendix 2-2) for Futures Brokerage Membersfiling forOverseas Brokers;

備案說明需經有權簽署人簽字。

The filing statement should be signed by the person entitled to sign.

2

境外經紀機構期貨業(yè)務負責人和期貨業(yè)務風控負責人的護照或鄭商所認可的其他有效身份證明復印件、簡歷（附件3）及簽名印鑒卡（附件4）。

Copies of passports or other valid IDs accepted by the Exchange, resumes (Appendix 3) and specimensignatures(Appendix 4) of the person-in-charge of futures business and the chief risk control officer for futures business in the overseas broker;

有效身份證明文件以其境外的官方語言為準，律所或政府相關機構認證的中文翻譯為輔。

Valid IDs in the official language of the country (region) where the overseas broker is located shall prevail, whereas the Chinese versions certified by a law firm or relevant government authority shall be taken for reference.

3

經公證和依法認證的境外經紀機構合法成立并持續(xù)經營1年以上的證明文件，如《公司注冊證》等。

Notarized and legally certified documentson the legal incorporation and continuous operation for over than one(1) year of the Overseas Broker, such as a copy ofCertificate of Incorporation.

1）公證：經申請者所在國家（地區(qū)）公證機構出具證明。認證：經中國駐該國（地區(qū)）使領館出具證明。

中國締結或者參加的國際公約、雙邊條約另有規(guī)定的，按規(guī)定內容執(zhí)行。

《取消外國公文書認證要求的公約》（以下簡稱《公約》）締約國：先經申請者所在《公約》締約國公證機構公證，再經主管機關簽發(fā)符合《公約》規(guī)定的附加證明書。

中國香港/澳門地區(qū)：先通過委托公證人出具有關公證文書，再將該文書經中國法律服務（香港/澳門）有限公司審核并加蓋轉遞章轉遞；

中國臺灣地區(qū)：先經臺灣當?shù)毓C機構公證，再經?；鶗⒐C書副本轉寄境內中國公證員協(xié)會或有關省、自治區(qū)、直轄市公證員協(xié)會。

1) Notarization shall be issued by the notary public office(s) of the country (region) where the Overseas Brokers located; and certification shall be issued by the Chinese embassy or consulate in the country (region) where the overseas broker is located.

If any provisions in bilateral treaties or international conventions concluded or acceded to by China provide otherwise, such provisions shall prevail.

Contracting Parties to the Convention Abolishing the Requirement of Legalisation for Foreign Public Documents (hereinafter the Convention):

Documents shall be notarized at a notarypublic office of the Contracting Party where the Overseas Brokeris located; and certification conforming to the Convention(i.e. Apostille) shall be issued by the Competent Authorityofthe Contracting Party where the overseas broker is located.

Hong Kong:

Documents shall first be attested by a China-Appointed Attesting Officer (H.K.), and then be sent to the “China Legal Service (H.K.) Limited” for “Sealing and Transfer Delivery”;

Macau:

Documents shall first be attested by a China-Appointed Attesting Officer(Macau), and then be sent to the “China Legal Service (Macau) Limited” for “Sealing and Transfer Delivery”;

Taiwan:

Documents shall first be notarized at a Taiwan notary, and then be transferred to the China Notary Association through the Strait Exchange Foundation (SEF) or the notary associations in relevant provinces, autonomous regions or municipalities directly under the Central Government.

2）若原文件非中文版本，申請人需提供原件復印件與中文翻譯件。并需簽名蓋章保證翻譯內容真實、準確。

If the original documents are in otherlanguage than Chinese, the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange. The translation versions shall be signed and/or sealed to guarantee they are true and accurate.

4

經公證的境外經紀機構具有所在國（地區(qū)）期貨經紀資格的證明文件，如《期貨經紀業(yè)務許可證》。

Notarized documents proving that the overseas broker has a brokerage license in the country (region) where it is located, such as Futures Brokerage Business License;

1）若原文件非中文版本，申請人需提供原件復印件與中文翻譯件。并需簽名蓋章保證翻譯內容真實、準確。

If the original documents are in otherlanguage than Chinese，the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange. The translation versions shall be signed and/or sealed to guarantee they are true and accurate.

2）如交易所可通過便捷、權威渠道查詢，可不再要求進行公證。

If the Exchange can check the documents through convenient and authoritative ways, the documents may not be required for notarization.

5

期貨公司會員委托業(yè)務制度、內部控制制度和風險管理制度的材料。

Policies of the appointment business, internal controland risk management of the Futures Brokerage Member;

若原文件非中文版本，申請人需提供中文摘要說明以及完整英文版本文件。

If the original documents are in other language than Chinese,the applicant shallsubmit the whole set of documents in English together with the Chinese abstracts.

6

承諾函（模板見附件5）

內容包括境外經紀機構具有健全的治理機構（應至少具備含有合規(guī)和首席風險官等職務的經營管理層結構、公司股東權利義務規(guī)定、費用及利潤分配制度、公司破產清算程序、管轄法律和爭議的解決辦法）和完善的內部控制制度（應至少包括組織結構、業(yè)務、資金管理、清算系統(tǒng)、會計系統(tǒng)、信息技術系統(tǒng)、人力資源、內部稽核、合規(guī)和反洗錢的內部控制管理辦法），經營行為規(guī)范（至少應包括交易業(yè)務、結算業(yè)務、風險管理、投資者權益保護、檔案管理、公司崗位責任、信息公示和從業(yè)資格的制度規(guī)范），以及其業(yè)務設施和技術系統(tǒng)符合相關技術規(guī)范且運行狀況良好。

經鄭商所認定的必要情況，需提供相應的補充證明材料。

Supporting documents shall be provided if the Exchangedeems necessary.

7

境外經紀機構凈資本不低于3000萬元人民幣或等值外幣的證明文件。

Supporting documentson the Overseas Broker’s net capital of no less than CNY 30million (￥30,000,000) or an equivalent amount in foreign currency.

1）公司最近期的財務報表或其他來源，匯率以備案當日中國人民銀行公布的銀行間外匯市場人民幣匯率中間價為準。

1) Latest financial statement or other sources. The exchange rate is subject to the RMB central parity rate of the inter-bank foreign exchange market published by the People’s Bank of China on the date of filing.

2）若原文件非中文版本，申請人需提供原件復印件與中文翻譯件。并需簽名蓋章保證翻譯內容真實、準確。

2) If the original documents are in other language than Chinese, the applicant shall provide the Chinese translation versions together with the copies of original documents to the Exchange.The translation versions shall be signed and/or sealed to guarantee they are true and accurate.

3）提供由中國境內或境外具有證券（期貨）資格會計師事務所審計，計算標準符合中國證監(jiān)會相關要求的證明材料或者提供由境外經紀機構以經審計的財務報告中凈資產數(shù)據為基礎的內部測算文件及承諾書。

3）Providethe certification audited by the securities qualification accounting firm within the territory of China or overseas, and the calculation standards meet the relevant requirements of the China Securities Regulatory Commission（CSRC）.

OR，provide a letter of commitment and internal measurement documents by oversea brokers. The calculation should bebased on net assets reported in audited financial reports and standardsmeet the relevant requirements of the China Securities Regulatory Commission（CSRC）.

8

境外經紀機構與期貨公司會員簽訂的委托協(xié)議。

Anappointment agreement between the Futures Brokerage Member and Overseas Broker.

9

涉及委托授權簽署人簽字的應提供授權委托書。

Powers of Attorney (POA) where documents are signed by the person authorized to sign.

1）授權委托書應體現(xiàn)授權委托人辦理境外經紀機構備案等事宜。

The POA should reflect the authorization from the principal for agent to manage the filing of the the overseas broker.

2）若原文件非中文版本，申請人需提供原件復印件與中文翻譯件。

2）If the original POA is in other language than Chinese, the applicant shall provide the Chinese translation version together with the copy of original POA tothe Exchange.

10

鄭商所或申請人認為需要提供的其他材料。

Any other document the Exchangeor the applicant deems necessary.

11

等效備案申請材料。

Application documents of equal force.

1）在中華人民共和國境內其他期貨交易所（交易中心）已完成委托業(yè)務備案、且相關材料正本滿足鄭商所材料要求并已提交至上述期貨交易所（交易中心）的，可由其受托期貨公司會員提供加蓋印章的相關材料復印件和備案結果證明，經鄭商所審核后、可以認定其與正本具有同等效力。其他材料仍需按上述要求提供正本。

1)For the Overseas Broker that have already completed the filing for the appointment business with other futures exchange(s) or future venue(s) within the territory of the People’s Republic of China, and relevant original documents have already been submitted to the abovementioned futures exchange(s) or future venue(s), as an alternative method, the appointed Futures Brokerage Member can submit the copies of relevant documents with its official stamp and supporting documents on filing result. After reviewed by the Exchange, the copies can be deemed to have equal force with the original documents. For other documents, their originals shall be provided according to the abovementioned requirements.

2）上述等效材料是指：材料2（簽名印鑒卡除外），材料3，材料4，材料7（需滿足最近期要求），以及鄭商所認可的其他材料。

2) Relevant documents of equal force refer to documents NO.2(except for specimensignatures), NO. 3, NO.4 and NO.7(meet the most recently requirements), and other documents approved by the Exchange.

12

申請材料的電子光盤。包括所有前述書面申請材料的電子文檔（word版和用印版pdf格式，文檔名的編寫規(guī)則為“材料名稱（XXX公司）”，電子光盤封面模版見附件6），并與紙質材料一并以郵寄方式發(fā)送至鄭商所1。若紙質申請材料與電子文檔有出入，鄭商所將以紙質申請材料為準。

An electronic CD storing all application documents(in WORD format and stamped documents in PDF format. Each file shall be named as “Document Name (XXX company)”. See Appendix 6for the template of the CD cover),which shall be posted to the Exchangetogether with paper documents. In the event of any discrepancy, the paper application documents shall prevail.