1

备案说明（附件1），境外经纪机构备案申请表（附件2）。

A filing statement (Appendix 2-1);

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

备案说明需经有权签署人签字。

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

2

境外经纪机构期货业务负责人和期货业务风控负责人的护照或郑商所认可的其他有效身份证明复印件、简历（附件3）及签名印鉴卡（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 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

经公证和依法认证的境外经纪机构合法成立并持续经营1年以上的证明文件，如《公司注册证》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。

中国缔结或者参加的国际公约、双边条约另有规定的，按规定内容执行。

《取消外国公文书认证要求的公约》（以下简称《公约》）缔约国：先经申请者所在《公约》缔约国公证机构公证，再经主管机关签发符合《公约》规定的附加证明书。

中国香港/澳门地区：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/澳门）有限公司审核并加盖转递章转递；

中国台湾地区：先经台湾当地公证机构公证，再经海基会将公证书副本转寄境内中国公证员协会或有关省、自治区、直辖市公证员协会。

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 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

经公证的境外经纪机构具有所在国（地区）期货经纪资格的证明文件，如《期货经纪业务许可证》。

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 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）如交易所可通过便捷、权威渠道查询，可不再要求进行公证。

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

5

期货公司会员委托业务制度、内部控制制度和风险管理制度的材料。

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

若原文件非中文版本，申请人需提供中文摘要说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

承诺函（模板见附件5）

内容包括境外经纪机构具有健全的治理机构（应至少具备含有合规和首席风险官等职务的经营管理层结构、公司股东权利义务规定、费用及利润分配制度、公司破产清算程序、管辖法律和争议的解决办法）和完善的内部控制制度（应至少包括组织结构、业务、资金管理、清算系统、会计系统、信息技术系统、人力资源、内部稽核、合规和反洗钱的内部控制管理办法），经营行为规范（至少应包括交易业务、结算业务、风险管理、投资者权益保护、档案管理、公司岗位责任、信息公示和从业资格的制度规范），以及其业务设施和技术系统符合相关技术规范且运行状况良好。

经郑商所认定的必要情况，需提供相应的补充证明材料。

Supporting documents shall be provided if the Exchangedeems necessary.

7

境外经纪机构净资本不低于3000万元人民币或等值外币的证明文件。

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）公司最近期的财务报表或其他来源，汇率以备案当日中国人民银行公布的银行间外汇市场人民币汇率中间价为准。

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 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）提供由中国境内或境外具有证券（期货）资格会计师事务所审计，计算标准符合中国证监会相关要求的证明材料或者提供由境外经纪机构以经审计的财务报告中净资产数据为基础的内部测算文件及承诺书。

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

境外经纪机构与期货公司会员签订的委托协议。

Anappointment agreement between the Futures Brokerage Member and Overseas Broker.

9

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 the person authorized to sign.

1）授权委托书应体现授权委托人办理境外经纪机构备案等事宜。

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，申请人需提供原件复印件与中文翻译件。

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

郑商所或申请人认为需要提供的其他材料。

Any other document the Exchangeor the applicant deems necessary.

11

等效备案申请材料。

Application documents of equal force.

1）在中华人民共和国境内其他期货交易所（交易中心）已完成委托业务备案、且相关材料正本满足郑商所材料要求并已提交至上述期货交易所（交易中心）的，可由其受托期货公司会员提供加盖印章的相关材料复印件和备案结果证明，经郑商所审核后、可以认定其与正本具有同等效力。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（签名印鉴卡除外），材料3，材料4，材料7（需满足最近期要求），以及郑商所认可的其他材料。

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（word版和用印版pdf格式，文档名的编写规则为“材料名称（XXX公司）”，电子光盘封面模版见附件6），并与纸质材料一并以邮寄方式发送至郑商所1。若纸质申请材料与电子文档有出入，郑商所将以纸质申请材料为准。

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.