Page:Circular of the People's Bank of China and the State Administration of Foreign Exchange on the Management of Domestic Securities Investment by RMB Qualified Foreign Institutional Investors.pdf/3

 Registration Form for RMB Qualified Foreign Institutional Investors (see Appendix 1).
 * 1) Balance sheets of the RMB qualified investor for the past three years or the previous year (or the audit reports or evidencing materials on securities assets under management), which have been audited or filed by the local regulator.
 * 2) Photocopies of the qualification certificates issued by the CSRC.

The main custodian shall earnestly perform his/her responsibilities, carefully reviewing the materials evidencing the RMB qualified investor's assets size and QFII quota already obtained, and verifying the basic quota and the investment quota intended for record filing by relevant standards and based on the distribution of assets of its own or the group it is subordinated to, and collectively submit the record filing materials for the RMB qualified investor quota to the SAFE prior to the 10th day of every month (see Appendix 2 for format). The SAFE shall confirm the record filing materials and give feedback to the main custodian.

VI. For application for an investment quota beyond the basic quota for an RMB qualified investor, the following submissions shall be provided to the SAFE through the main custodian:


 * 1) Written applications of the main custodian and the RMB qualified investor, detailing the reasons for the investment quota application and the use of existing quota. In applying for an investment quota for the first time, an RMB qualified investor shall present the Registration Form for RMB Qualified Foreign Institutional Investors and the photocopies of the qualification certificates issued by the CSRC.
 * 2) Filing Information of RMB Qualified Investor's Custodian (see Appendix 3 for format).
 * 3) Balance sheets of the RMB qualified investor for the past three years or the previous year (or the audit reports or evidencing materials on securities assets under management), which have been audited or filed by the local regulator.
 * 4) Other materials required by the SAFE.

An RMB qualified investor shall properly distribute the quotas between the main