合格境外机构投资者境内证券投资申请表法律文书库

机构名称(以申请人所在国或地区注册证书为准) Name of the Applicant（Identical to its name in Business License at its home jurisdiction）	中文: English:
托管人名称 Name of the Custodian Bank	中文: English:
申请额度 Investment quota applied
机构类别 Institution category	基金管理机构 Fund management institution
	保险公司 Insurance company
	证券公司 Securities company
	商业银行 Commercial bank
	其他机构(请说明) Other institution（please specify）
成立时间 Time of establishment
注册地址 Domicile of incorporation	中文： English:
所在国家或地区注册证书号 Business License No. at home jurisdiction		所在国家或地区资产管理业务许可证号 Asset Management Certificate No. at home jurisdiction
所在国家或地区经核准的业务范围 Approved business scope at home jurisdiction
开始经营金融业务的时间、地点和业务类型 Commencing date, location and category for financial business
上一会计年度实收资本 Paid-in capital in the latest accounting year
最近一个会计年度管理的证券资产规模 Assets under management in the latest accounting year
同行业排名 Ranking in the industry
所在国或地区监管机构名称 Name of the home regulatory authority	中文： English:
近三年内是否受到所在国家或地区监管机构的处罚。如有，请说明 Has the applicant been penalized by its home regulator in recent 3 years? If yes, please specify.
从业人员符合所在国家或地区从业资格要求的情况 Professional qualifications status of the Applicant’s employees
主要股东名称、注册地、股权比例（可用英文） Names, domicile and percentage of holding of major shareholders (in English if necessary)
主要关联机构的名称、注册地(境内关联机构应详尽) Names and domiciles of major affiliates（please specify all affiliates in China）	中文： English:
申请人法定代表人或其授权代表姓名及其签名(可用英文) Name and signature of legal representative or his/her authorized representative of the Applicant (in English if necessary)
合格投资者联系人（可用英文）： QFII’s contact person (in English if necessary): 电话（Tel）: 传真（Fax）: 电子邮件（E-mail）:
托管人联系人: Custodian’s contact person 电话（Tel）: 传真（Fax）: 电子邮件（E-mail）:

要求（Requirements）

附件（Attachments）

齐备性

Completeness

(是√,否×)

(Yes√,No×)

合规性

Authenticity and accuracy

(是√,否×)

(Yes√,No×)

备注

remarks

托管人意见

checked by custodian

监管部门意见

checked by CSRC

托管人意见

checked by custodian

监管部门意见checked by CSRC

1、合格投资者申请书(包括但不限于申请人基本情况、投资理念、投资计划及有关的工作进度

Letter of Application for QFII（including but not limited to company profile, investment strategy, plan and relevant schedule of investment）

1.是否由申请人法定代表人签字（whether or not signed by the legal representative of the Applicant）

2.若由法定代表人的授权代表签署，应当出具该法定代表人的授权委托书(If not, the Power of Attorney issued by the legal representative should be presented)

3.该授权委托书须经公证，或律师出具法律意见书，或经中华人民共和国驻该国的使、领馆认证 (The Notarial Deed, or Legal Opinion issued by a lawyer, or Certification issued by the PRC Embassy in the applicant’s domicile country should be presented. Please specify)

2、申请人授权托管人办理申请事宜的授权委托书

The Applicant’s Letter of Authorization to the Custodian for the application of QFII

3、托管人对申请人是否符合《暂行办法》规定的资格条件的证明

Custodian’s statement on the applicant’s qualification according to Provisional Measures on Administration of Domestic Securities Investments of Qualified Foreign Institutional Investors

4、与托管人签订的托管协议草案

Draft Custody Agreement signed with the Applicant’s Custodian

5、申请人所在国或者地区主管部门核发的营业执照和金融业务许可证

Business License and Financial Business License by authorities at the applicant’s home jurisdiction

须经公证，或律师出具法律意见书，或经中华人民共和国驻该国的使、领馆认证(The Notarial Deed, or Legal Opinion issued by a lawyer, or Certification issued by the PRC Embassy in the applicant’s domicile country should be presented. Please specify)

6、申请人的公司章程和内部控制制度(注明允许申请人从事证券交易活动的条款和QFII风险控制条款)

Articles of Association and internal control system of the Applicant（Please specify the Articles which permit the applicant to undertake securities trading business and how to control the risks of QFII business）

同5

The requirement is the same as specified in Article 5th

7、申请人主要从业人员情况表

Name List of the key staff of the Applicant

8、申请人最近3年是否受到所在国家或地区监管机构处罚的说明

Statement on any substantial penalties imposed on the Applicant by its home regulator over the recent three years

同5

The requirement is the same as specified in Article 5th

9、资金来源说明书(资金来源合法)

Statement on sources of the funds (The applicant should claim that the sources of funds are legal)

10、无境内资金和批准时间内不撤资承诺书

Letter of commitment claiming no funds from Mainland China and not to withdraw funds during the approved period

11、最近三年经审计的财务报表和其他证明申请人符合《暂行办法》第七条规定的文件

Audited financial reports for the most recent 3 years and other supporting documents on the Applicant’s compliance with Article 7 of Provisional Measures

12、申请人或其关联方如在申请前已在中国境内设有分支机构、独资或合资企业，直接或者间接开展银行、证券及保险业务活动的，应当详细说明

If applicable, documents to specify that the applicant or its affiliates have established branches, wholly-owned enterprises and joint ventures, or are engaged in banking, securities and insurance businesses in P.R.C. directly or indirectly prior to the application

13、其他(other)

监管部门审核人及审核意见

Name of the CSRC’s reviewing staff and opinions