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Circular of China Securities Depository & Clearing Corporation Limited (CSDC Co., Ltd) on the Relevant Issues concerning the Opening of A-share Securities Account by Foreign Strategic Investors [Expired]
中国证券登记结算有限责任公司关于外国战略投资者开立A股证券账户等有关问题的通知 [失效]
【法宝引证码】
 
  
  
Circular of China Securities Depository & Clearing Corporation Limited (CSDC Co., Ltd) on the Relevant Issues concerning the Opening of A-share Securities Account by Foreign Strategic Investors
(February 14, 2006)
In order to carry into effect the relevant provisions of the Measures for the Administration of Strategic Investment in Listed Companies by Foreign Investors as jointly promulgated by the Ministry of Commerce, China Securities Regulatory Commission (CSRC), State Administration of Taxation, State Administration for Industry and Commerce and State Administration of Foreign Exchange, we hereby notify as follows the relevant issues regarding the acquisition of A-shares through strategic investment in listed countries, the relevant formalities for opening A-share securities accounts (hereinafter referred to as the securities accounts) and the registration of stocks by an investor from a foreign country or from the Hong Kong SAR, Macao SAR or Taiwan Region ( hereinafter referred to as an investor):
 

中国证券登记结算有限责任公司关于外国战略投资者开立A股证券账户等有关问题的通知
(2006年2月14日)


为了落实商务部、中国证监会、国家税务总局、国家工商行政管理总局、国家外汇管理局联合发布的《外国投资者对上市公司战略投资管理办法》的有关规定,现就外国投资者以及我国香港特别行政区、澳门特别行政区、台湾地区的投资者(以下简称“投资者”)对上市公司进行战略投资取得A股股份,办理A股证券账户(以下简称“证券账户”)开立及股份登记等事项通知如下:
I.An investor who legally holds any A-share of a listed company shall apply directly to either Shanghai branch or Shenzhen branch of the CSDC Co., Ltd for opening a securities account, for which the following materials shall be submitted:
   一、投资者因合法持有上市公司A股股份,应当直接向本公司上海、深圳分公司申请开立证券账户。投资者申请开户应当提交以下材料:
1.A certification document of effective business registration of an investor as well as a photocopy thereof or any other document that could certify the establishment of relevant institution and has the same legal force as the document of business registration as well as a photocopy thereof;
 1、投资者的有效商业注册登记证明文件及复印件或其他与商业注册登记文件具有同等法律效力的可证明其机构设立的文件及复印件;
2.A power of attorney as granted to the relevant handler by the board of directors or any director thereof, major shareholder or any other competent person, which can certify that the grantor has a right of authorization as well as an effective identity certification of the grantor and a photocopy thereof;
 2、投资者董事会或者其董事、主要股东及其他有权人士对经办人的授权委托书,能够证明授权人有权授权的文件,授权人的有效身份证明文件复印件;
3.An effective identity certification of the relevant handler as well as a photocopy thereof;
 3、经办人有效身份证明文件及复印件;
4.The relevant approval documents as produced by the Ministry of Commerce and the CSRC on approving the strategic investment made by the relevant investor in a listed company as well as the relevant photocopies thereof or a certification document on shareholding as produced by the relevant listed company;
 4、商务部和中国证监会出具的同意投资者对上市公司进行战略投资的相关批准文件及复印件或者上市公司出具的持股证明;
5.An Application Form for the Registration of Securities Account; and
 5、证券账户注册申请表;
6.A Commitment on Self-disciplinary Administration of Securities Account (See the Attachment for the format).
......
 6、证券账户自律管理承诺书(格式见附件)。
......



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