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Notice of China Securities Depository and Clearing Co., Ltd. on Matters Regarding the Opening of A-share Securities Accounts by Eligible Foreigners [Effective]
中国证券登记结算有限责任公司关于符合条件的外籍人员开立A股证券账户有关事项的通知 [现行有效]
【法宝引证码】

Notice of China Securities Depository and Clearing Co., Ltd. on Matters Regarding the Opening of A-share Securities Accounts by Eligible Foreigners 

中国证券登记结算有限责任公司关于符合条件的外籍人员开立A股证券账户有关事项的通知

All market participants: 各市场参与主体:
In accordance with the Decision of the China Securities Regulatory Commission to Amend the Measures for the Administration of Securities Registration and Clearing (Order No. 147 of the China Securities Regulatory Commission) and the Decision of the China Securities Regulatory Commission to Amend the Measures for the Administration of the Equity Incentives of Listed Companies (Order No. 148 of the China Securities Regulatory Commission), you are hereby notified of the matters regarding the opening of A-share securities accounts by eligible foreigners as follows: 根据中国证监会《关于修改<证券登记结算管理办法>的决定》(证监会令第147号)以及《关于修改<上市公司股权激励管理办法>的决定》(证监会令第148号),现就符合条件的外籍人员开立A股证券账户有关事项通知如下:
I. Matters on the opening of A-share accounts by foreigners working in China   一、在境内工作的外籍人员开立A股账户有关事项
(1) A foreigner who works in China and whose securities regulatory authority in his/her home country (region) has established a regulatory cooperation mechanism with the China Securities Regulatory Commission may apply to the account opening institutions acting for our company for opening an A-share securities account. (一)在境内工作,且其归属国(地区)证券监管机构已与中国证监会建立监管合作机制的外籍人员,可以向我公司开户代理机构申请开立A股证券账户。
(2) If a foreigner working in China applies for opening an A-share securities account, s/he shall provide the following materials: (二)在境内工作的外籍人员申请开立A股证券账户的,申请材料如下:
(a) An Application Form for Opening Securities Accounts; 1、《证券账户开立申请表》;
(b) The passport and its photocopy; 2、外国护照及复印件;
(c) An employment certificate issued by a domestic institution (see Annex 1) and a photocopy of the business license or unified social credit code certificate of the institution (to which official seals must be affixed); 3、境内机构出具的就业证明(见附件1)及该机构的营业执照或统一社会信用代码证复印件(均需加盖公章);
(d) Anyone who entrusts an agent to handle the relevant matters shall also provide a notarized power of attorney, the identity card of the agent and a photocopy thereof. 4、委托他人代办的,还须提供经境内公证机关公证的委托代办书、代办人有效身份证明文件及复印件。
(3) Where an acting account-opening institution handles account opening procedures for foreigners working in China, it shall check the information on the regulatory cooperation mechanism established between the investor's securities regulator in his/her home country (region) and the China Securities Regulatory Commission by logging on to the official website of the China Securities Regulatory Commission and selecting “International Affairs” at the homepage and then “Regulatory Cooperation.” Where the investor's securities regulator in his/her home country (region) failed to establish a mechanism for regulatory cooperation with the China Securities Regulatory Commission, the account opening procedures shall be denied. (三)开户代理机构为在境内工作的外籍人员办理开户手续时,应登录中国证监会官方网站,通过“首页-国际部-监管合作”栏目查看投资者归属国(地区)证券监管机构与中国证监会建立监管合作机制信息。对于投资者归属国(地区)证券监管机构未与中国证监会建立监管合作机制的,不予办理开户手续。
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