| Notice by China Securities Depository and Clearing Corporation Limited Concerning Improving Securities Pledge Registration Elements | | 中国证券登记结算有限责任公司关于完善证券质押登记要素的通知 |
| Relevant market participants: | | 各市场相关参与主体： |
| For the purposes of further strengthening the management of the registration of a pledge of securities and risk monitoring and improving the integrity, accuracy and rationality of relevant information collection, China Securities Depository and Clearing Corporation Limited (CSDC) has revised and improved securities pledge registration elements. In the future, when handling formalities of securities pledge registration, you need to declare 4 categories of 20 basic elements, and the specific content and requirements are as follows: | | 为进一步加强证券质押登记业务管理及风险监测工作，提高相关信息采集的完整性、准确性和合理性，我公司对证券质押登记要素进行了修订完善，今后办理证券质押登记业务时，需申报4大类共20项基本要素，具体内容及要求如下： |
| I. Information on the pledgee | | 一、质权人信息 |
| (1) Name of the pledgee | | （一）质权人名称 |
| “Name of the pledgee” means the name of the subject that enjoys the pledge right over the pledged securities as agreed upon in the pledge contract. It shall be the full name and be consistent with the name on the identity certificate provided by the pledgee. | | 是指根据质押合同约定对出质证券享有质权的主体名称。要求为全称，与质权人提供的身份证件上的名称一致。 |
| (2) Types of identity certificates of the pledgee | | （二）质权人身份证件类型 |
| “Types of identity certificates of the pledgee” means the types of certificates issued by the competent authority to the pledgee to prove the subject identity thereof, including the resident identity card, business license issued by the administrative department for industry and commerce, registration certificate of the mass organization as a legal person, and the registration certificate of the public institution as a legal person, among others. | | 是指有权机关为质权人颁发的，证明其主体身份的证件类型，具体包括居民身份证、工商营业执照、社团法人登记证书、事业法人登记证书等。 |
| (3) Number of the identity certificate of the pledgee | | （三）质权人身份证件号码 |
| “Number of the identity certificate of the pledgee” means the number of the certificate held by the pledgee to prove the subject identity thereof. | | 是指质权人所持证明其主体身份的证件编号。 |
| II. Information on the pledgor and pledged securities | | 二、出质人及质押证券信息 |
| (4) Name of the pledgor | | （四）出质人名称 |
| “Name of the pledgor” means the name of the investor that applies for pledge registration of the securities held. It shall be the full name and be consistent with the name on the identity certificate provided by the pledgor. | | 是指申请就所持证券办理质押登记业务的投资者名称。要求为全称，与出质人证券账户名称一致。 |
| (5) Securities account | | （五）证券账户 |
| “Securities account” means the number of the pledgor's securities account in which the pledged securities are held. | | 是指出质人持有出质证券的证券账户号码。 |
| (6) Securities code | | （六）证券代码 |
| “Securities code” means the listing (quotation) code of the pledged securities on the stock exchange. It shall be consistent with the code determined by the trading venue. | | 是指质押证券所在交易场所的上市（挂牌）编码。要求与交易场所编制的代码一致。 |
| (7) Abbreviation of securities | | （七）证券简称 |
| “Abbreviation of securities” means the abbreviation of the pledged securities. It shall be consistent with the abbreviation determined by the trading venue. | | 是指质押证券的简称。要求与交易场所编制的简称一致。 |
| (8) Custody units | | （八）托管单元 |
| “Custody units” means the number of basic business units through which the securities companies that take custody of the pledged securities participate in registration and settlement (since designated trading rules are carried out in the Shanghai market, custody units are also called designated trading units in the Shanghai market). | | 是指质押证券所托管的证券公司参与登记结算的基本业务单元号码（由于上海市场实行指定交易制度，因此托管单元在上海市场也被称为指定交易单元）。 |
| (9) Types of securities | | （九）证券类别 |
| “Types of securities” means the types of pledged securities which are categorized by the nature of rights represented by pledged securities, including stocks, bonds, and funds, among others. Stocks are categorized into non-tradable shares, restricted tradable shares, and unrestricted tradable shares according to the circulation thereof. | | 是根据质押证券所代表的权利性质进行的分类，具体包括股票、债券、基金等，其中股票根据其流通情况，划分为非流通股、限售流通股、无限售流通股。 |
| (10) Number of pledged securities | | （十）质押证券数量 |
“Number of pledged securities” means the number of securities of which both parties to pledge apply for pledge registration. Unit of securities: stocks are measured by “share”; funds by “share”; bonds by yuan (par value) in Shanghai market but by “bond” in Shenzhen market.
．．．．．． | | 是指质押双方申请办理证券质押登记的证券数量。证券数量单位：股票为“股”，基金为“份”，上海市场债券为“元（面值）”、深圳市场债券为“张”。
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