Bond Connect Admission Guide and Forms

1 bond Connect Company Limited bond Connect Admission Guide and FormsUpdated: 25 July 2017 Overseas investors who comply with the China interbank bond Market (CIBM) Admission criteria prescribed in the People s Bank of China (PBC) Public Notice No. 3 [2016] (click here), PBC Notice No. 202 [2015] (click here), and other relevant PBC notices may apply for the bond Connect to conduct trading in CIBM. Admission Workflow: approaches his g lobal or local custodian (see list ) for CMU account contracts with one of the recognised access platforms (see list ).

2 Submits the application Forms , in colour scanned copies and by to bond Connect Company Limited ( BCCL ). Whencompleting the application Forms , investor should read through the Guidance for Investors fromSpecific Jurisdictions and Personal Information Collection Statement. Annex 1: Application Documentation Checklist Annex 2-1: CIBM Registration Application form Annex 2-2: Registration form for Overseas Institutional Investors from bond Connect (ForIncorporated Entities); orAnnex 2-3: Registration form for Overseas Institutional Investors from bond Connect (ForUnincorporated Entities) Annex 2-4: Letter of Authorization to Registration Agent Annex 3: bond Connect Investors Business Application form Annex 4: Statement of No Major Disciplinary Action in Past Three Years Annex 5: Compliance Commitment Statement Annex 6: Undertaking to BCCLA fter consolidation, necessary assistance and preliminary review, BCCL submits the completed and qualified application to CFETS.

3 CFETS shall submit documentations on behalf of the overseas investor to PBC Shanghai Headquarter for filing purpose. After receiving successful filing notification, CFETS shall generate the trading account number of the investor. 4. Investor completes the know-your-client (KYC) processes with at least one of the participating onshore dealers (see list). 5. Investor can begin trading via the access platform. bond Connect Admission Guide for Overseas Investors This Admission guidance shall apply to those overseas investors acquiring access to China interbank bond Market (hereinafter as CIBM) within the regulatory framework as prescribed in the Interim Measures for Administration of Mutual Access between Mainland China and Hong Kong bond Markets published by PBC and accept China Foreign Exchange Trade System (CFETS) for Admission registration purposes.

4 Market Admission and Trading Account application Prospective overseas investors to bond Connect shall submit1market Admission and account application documentations (Annex 1 6) in duplicate to bond Connect Company Limited (hereinafter as BCCL). BCCL shall provide necessary documentation preparation and translation service along with Admission assistance, then submit the completed and qualified application to CFETS. CFETS shall submit documentations on behalf of the overseas investor to PBC Shanghai Headquarter for filing purpose.

5 After receiving successful filing notification, CFETS shall open trading account in its system and inform the applicant via BCCL. Contact Information Contact person 1: Andrew Zhao Contact Number: +86-21-20693850 1 in colour scanned copies and by email Contact person 2: Lydia Lu Contact Number: +86-21-38585436 Contact Email: Contact person 3: Cassandra Cheng Contact Number: 852-2327-0033 Contact person 4: Thomas Huen Contact Number: 852-2327-0033 Contact Annexes Annex 1: Application Documentation Checklist Annex 2-1: CIBM Registration Application form Annex 2-2.

6 Registration form for Overseas Institutional Investors from bond Connect (For Incorporated Entities) Annex 2-3: Registration form for Overseas Institutional Investors from bond Connect (For Unincorporated Entities) Annex 2-4: Letter of Authorization to Registration Agent Annex 3: bond Connect Investors Business Application form Annex 4: Statement of No Major Disciplinary Action in Past Three Years Annex 5: Compliance Commitment Statement Annex 6: Undertaking to BCCL Annex 1 Application Documentation Checklist File Requirements A2-1 CIBM Registration Application form A2-1,A2-2, A2-3, and A2-4; Bilingual A2-2 Registration form for Overseas Institutional Investors from bond Connect (For Incorporated Entities) A2-3 Registration form for Overseas Institutional Investors from bond Connect (For Unincorporated Entities) A2-4 Letter of Authorization to registration agent A3 bond Connect Investors Business Application form Colour Scanned Copy.

7 Bilingual A4 Statement of No Major Disciplinary Action in Past Three Years2 Colour Scanned Copy; Bilingual A5 Compliance Commitment Statement Colour Scanned Copy; Bilingual A6 Undertaking to BCCL Colour Scanned Copy, Followed by Original 2 For applicants who are not subject to any major disciplinary action by the People s Republic of China and relevant jurisdiction(s) in the past three years. If this is not the case, more disclosure on the matters will be required 2-1 (Annex 2-1) CIBM Registration Application form Important Statement: I/we (including Asset management company, custodian, settlement agent and so on) accept responsibility for the truthfulness, accuracy and completeness of the submission and declare that there is no false or misleading statement or material omission.

8 Full Name of Applicant Institution Incorporated Entity and Asset Management Company of Unincorporated Fund Products Full Name of bond Account Type of Institution Type of Account Settlement Settlement Agent Direct Transaction Settlement Entrusted Settlement Agent Others ( Application Contents(It will be written in the Notice of Registration; fill in precisely) Registration of opening an account Registration of update Update Items: From to.)

9 (Multiple items are accepted.) / Contact of Asset Management Company /Incorporated Entity Company Name Department Name Title of responsible person Name of responsible person Tel. Title of operator Name of Operator Tel. Fax Email Address / Contact of Custodian/Settlement Agent Company Name Department Name Title of Responsible Person Responsible Person Name Tel.

10 Title of Operator Name of Operator Tel. Fax Email Address Registration Notification Address of Recipient Name of Recipient Date of Receipt Year/Month/Date Name of Submitting Institution Name and Contact of Submitter Application Date Year/Month/Date / (Official Seal/Signature): 2-2 (Annex 2-2) Registration form for Overseas Institutional Investors from bond Connect (For Incorporated Entities) Name of Entity Registration Agent Brief Introduction Place of Registration Registered Capital Total Assets Type of Entity Date of Establishment Source of Funds Contact Name Position Phone No.