香港地区境外特殊非经纪参和者资格申请材料清单.docVIP

2018-O-2 PAGE21 / NUMPAGES30 香港地区境外特殊非经纪参与者资格申请材料清单 Application Checklist Forms for Overseas Special Non-Brokerage Participant (Hong Kong) 序号 No. 材料清单 Checklist 说明 Explanations 公司确认（包含请打√） Confirmed by the applicant (“√”) INE确认（包含请打√） Confirmed by the INE (“√”) 1 有权签署人签字的境外特殊非经纪参与者资格申请书 （HYPERLINK \l 附件1附件1）； An application letter signed by the person entitled to sign（Appendix 1）; 2 有权签署人签字的境外特殊非经纪参与者资格承诺函（HYPERLINK \l 附件2附件2）； An undertaking letter signed by the person entitled to sign（Appendix 2）; 承诺函内容包括：承认并遵守能源中心业务规则及各项规定和决定，并保证所有申请材料的真实性、准确性、完整性、合规性等。 In the undertaking letter, the applicant shall undertake that it will acknowledge and abide by the business rules and each of the provisions and decisions of the Exchange, and all application materials are authentic, accurate, complete and valid, etc. 3 境外特殊非经纪参与者资格申请表（ HYPERLINK \l 附件3 附件3）； An application form for Overseas Special Non-Brokerage Participant（Appendix 3）; 包含组织结构图、主要股东名单、董事会成员名单、海外分支机构和关联企业名单等内容 Including organizational chart, list of major shareholders, list of the board of directors, list of overseas branches affiliates, etc. 4 董事会或公司经营管理层同意申请境外特殊非经纪参与者资格的批准文件； Approval documents by the Board of Directors or the management team on the application of an Overseas Special Non-Brokerage Participant qualification with the Exchange; 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 document is in other language than Chinese, the applicant shall provide the Chinese translation together with a copy of the original document to the Exchange. The translation shall be signed and/or sealed to guarantee it is true and accurate. 5 经公证和依法认证的申请人合法成立的资料，如《公司注册证》等复印件； Notarized and legally certified materials on the legal establishment of the applicant, such as a copy of Certificate 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； 中国香港地区：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）有限公司审核并加盖转递章转递； 1) Notarization shall be endorsed at the notaries of the applicant’s residence country (region