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Notice of the Shanghai Stock Exchange on Issuing the Detailed Implementation Rules of the Shanghai Stock Exchange for the Securities Trading of Qualified Foreign Institutional Investors and RMB Qualified Foreign Institutional Investors | | 上海证券交易所关于发布《上海证券交易所合格境外机构投资者和人民币合格境外机构投资者证券交易实施细则》的通知 |
| (No. 12 [2014] of the Shanghai Stock Exchange) | | （上证发〔2014〕12号） |
| All member entities and the relevant market participants: | | 各会员单位及相关市场参与人： |
| In order to regulate the securities trading behavior of qualified foreign institutional investors and RMB qualified foreign institutional investors and maintain the securities market order, the Shanghai Stock Exchange (“SSE”) developed the Detailed Implementation Rules of the Shanghai Stock Exchange for the Securities Trading of Qualified Foreign Institutional Investors and RMB Qualified Foreign Institutional Investors (see Annex for details), which are hereby issued, and shall come into force on the date of issuance. | | 为规范合格境外机构投资者和人民币合格境外机构投资者的证券交易行为，维护证券市场秩序，上海证券交易所（以下简称“本所”）制定了《上海证券交易所合格境外机构投资者和人民币合格境外机构投资者证券交易实施细则》（详见附件），现予发布，自发布之日起施行。 |
| The Detailed Implementation Rules of the Shanghai Stock Exchange for the Securities Trading of Qualified Foreign Institutional Investors issued on December 1, 2002, the Notice on Issues concerning the Securities Trading of Qualified Foreign Institutional Investors issued on March 27, 2003, and the Supplementary Notice on Issues concerning the Securities Trading of Qualified Foreign Institutional Investors issued on September 21, 2007 shall be repealed simultaneously. | | 本所于2002年12月1日发布的《上海证券交易所合格境外机构投资者证券交易所实施细则》、2003年3月27日发布的《关于合格境外机构投资者证券交易有关事项的通知》、2007年9月21日发布的《关于合格境外机构投资者证券交易有关事项的补充通知》同时废止。 |
| | 特此通知。 |
| Shanghai Stock Exchange | | 上海证券交易所 |
| March 19, 2014 | | 二○一四年三月十九日 |
| Detailed Implementation Rules of the Shanghai Stock Exchange for the Securities Trading of Qualified Foreign Institutional Investors and RMB Qualified Foreign Institutional Investors | | 上海证券交易所合格境外机构投资者和人民币合格境外机构投资者证券交易实施细则 |
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| Chapter I General Provisions | | 第一章 总则 |
| Article 1 In order to regulate the securities trading behavior of qualified foreign institutional investors and RMB qualified foreign institutional investors that satisfy the prescribed conditions (hereinafter referred to as “QFIIs”) on the Shanghai Stock Exchange (“SSE”) and maintain the securities market order, these Rules are developed in accordance with the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors, the Measures for the Pilot Program of Domestic Securities Investment by RMB Qualified Foreign Institutional Investors, the Provisions on Issues concerning the Implementation of the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors, the Provisions on the Implementation of the Measures for the Pilot Program of Domestic Securities Investment by RMB Qualified Foreign Institutional Investors, and the relevant business rules of SSE. | | 第一条 为规范符合条件的合格境外机构投资者和人民币合格境外机构投资者（以下简称“合格投资者”）在上海证券交易所（以下简称“本所”）的证券交易行为，维护证券市场秩序，根据《合格境外机构投资者境内证券投资管理办法》、《人民币合格境外机构投资者境内证券投资试点办法》、《关于实施〈合格境外机构投资者境内证券投资管理办法〉有关问题的规定》、《关于实施＜人民币合格境外机构投资者境内证券投资试点办法＞的规定》和本所相关业务规则，制定本细则。 |
| Article 2 These Rules apply to the securities trading activities of QFIIs on SSE. Matters not stipulated in these Rules shall be governed by the Trading Rules of the Shanghai Stock Exchange, the Member Management Rules of the Shanghai Stock Exchange and other relevant rules of SSE. | | 第二条 合格投资者在本所的证券交易活动适用本细则。本细则未作规定的，适用《上海证券交易所交易规则》、《上海证券交易所会员管理规则》及本所其他相关规定。 |
| Article 3 QFIIs, their domestic custodians, and securities companies participating in securities trading on SSE shall abide by laws, regulations, administrative rules and the business rules of SSE, and may not violate provisions on shareholding limits, information disclosure requirements and supervision over trading behavior. | | 第三条 合格投资者及其境内托管人、证券公司参与本所证券交易应当遵守法律法规、行政规章以及本所业务规则，不得违反有关持股比例限制、信息披露要求以及交易行为监督等规定。 |
| Article 4 SSE shall conduct real-time monitoring over the securities trading activities of QFIIs and, for abnormal trading behavior, subject it to intensified monitoring and take disciplinary actions and regulatory measures accordingly. | | 第四条 本所依法对合格投资者的证券交易活动进行实时监控，对其异常交易行为予以重点监控并采取相应的纪律处分和监管措施。 |
| Article 5 Matters concerning the depository and clearing of securities transactions conducted by QFIIs on SSE shall be handled by the depository and clearing institution designated by SSE (hereinafter referred to the “depository and clearing institution”) according to its business rules. | | 第五条 合格投资者参与本所证券交易的登记和结算事宜，由本所指定的登记结算机构（以下简称“登记结算机构”）按其业务规则办理。 |
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| Chapter II Trading Entrustment | | 第二章 交易委托 |
| Article 6 QFIIs shall entrust their securities trading on SSE to domestic securities companies which are members of SSE. A QFII may entrust its securities trading to three domestic securities companies at most. | | 第六条 合格投资者应当委托具有本所会员资格的境内证券公司办理本所证券交易业务，所委托的境内证券公司最多不能超过3家。 |
| Where a QFII opens multiple securities accounts for securities trading on SSE, it may only designate one domestic securities company for each securities account. | | 合格投资者开立多个证券账户参与本所证券交易的，一个证券账户只能指定在一家境内证券公司。 |
| Article 7 Securities companies entrusted by QFIIs (hereinafter referred to as “entrusted securities companies”) shall diligently perform duties, strengthen the management of the trading behavior of QFIIs, and, upon discovering any existing or potential violation in the securities trading activities of QFIIs, stop it and promptly report it to SSE. | | 第七条 接受合格投资者委托的证券公司（以下简称“受托证券公司”）应当勤勉尽责，加强对合格投资者交易行为的管理。如发现合格投资者的证券交易活动存在或者可能存在违规行为，应当予以制止并及时向本所报告。 |
| ．．．．．． | | ．．．．．． |
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