B股业务登记结算服务指南.doc

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1 B...2 B B...10 B T B

3 B B B 2 3 T R =T+3 T+4 4 T+3 B A B B A B B A B T T X X

4 10 B 1 = B 1B B B 5

5 T-25 T T-22 T-20 T-12 T-7 T-3 T

6 7

7 8

8 Company Name FORM OF PROXY FOR ANNUAL/SPECIAL GENERAL MEETING TO BE HELD ON I/We (1) Of, being the registered holder of (2) Shares of each ( Shares ) in the capital of Holdings limited (the company ), HEREBY APPOINT CHINA SECURITIES DEPOSITORY AND CLEARING CORPORATION LIMITED SHENZHEN BRANCH of NO. 1093SHENNAN Mid ROAD, SHENZHEN, CHINA as my/our proxy to attend, act and vote for me/us and on my/our behalf at the annual/special general Meeting of the Company to be held at On at, and at any adjournment thereof on the Resolutions referred to in the Notice of Annual/Special General Meeting (with or without modifications) as indicated below: RESOLUTIONS FOR(3) AGAINST(4) Dated this day of, Signature(4) Notes: (1) Full name(s) and address(es) to be inserted in BLOCK CAPITALS. The names of all joint holders should be states. 9

1093SHENNAN Mid ROAD, SHENZHEN, CHINA as my/our proxy to attend, act and vote for me/us and on my/our behalf at the annual/special general Meeting of the Company to be held at On at, and at any

9 (2) Please insert the number of shares to which this form of proxy relates registered in your name(s). (3) IMPORTANT: IF YOU WISH TO VOTE FOR A PARTICULAR RESOLUTION, TICK IN THE RELEVANT BOX MARKED FOR. IF YOU WISH TO VOTE AGAINST A PARTICULAR RESOLUTION, TICK IN THE RELEVANT BOX MARKED AGAINST. Failure to tick a box will entitle your proxy to cast your vote at his discretion. Your proxy will also be entitled to vote at his discretion on any resolution properly put to the meeting other than those referred to in the notice convening the meeting. (4) This form of proxy must be signed by you or your attorney duly authorized in writing or, in case of a corporation must be either under its seal or under the hand of an officer or attorney duly authorized. (5) In order to be valid, this form of proxy, together with the power of attorney or other authority (if any) under which it is signed or a notarially certified copy there of must lodged at company s principal office not less than days before the time appointed for the holding of the Meeting or any adjournment thereof. 10

Failure to tick a box will entitle your proxy to cast your vote at his discretion.

10 B B B B 1 B 2 B 3 1 B 57 B B 4 B 50 5 B B A B 6 11

11 7 IST IST IST B B 1 B IDFQ006 B B2016 B B B 3 B IST 8 B 12

12 B B 1 B 2 1 B 59 4 B 5B 3 B 50 4 B 5 6 B / B 1 B 2 B 3 1 B B B 13

13 4 B 50 5 B 6 7 B B 1 B 2 1 B B 3 B

14 15

15 B APPLICATION FORM FOR ADMISSION AS A B SHARES CLEARING PARTICIPANT OF CSDCC SHENZHEN : Applicant: : Date: China Securities Depository & Clearing Corp. Ltd. Shenzhen Branch 16

16 B APPLICATION FORM FOR ADMISSION AS A B SHARES CLEARING PARTICIPANT OF CSDCC SHENZHEN -Notes- 1,,, Before fill in the form, please read the notes carefully. If you have any doubt as to how to complete this form, please contact with the International Settlement Department of China Securities Depository & Clearing Corp. Ltd. Shenzhen Branch (CSDCC SZ). 2 The information given by the applicant must be real and accurate; a participant shall be liable to punishment for the false information given. 3 B B B In accordance with the Rules of the Shenzhen Stock Exchange (SSE), every broker who carries on the B shares business of dealing on SSE shall be required to be a Clearing Participant of Shenzhen B Shares Clearing and Settlement System. And until such time as a broker becomes a Clearing Participant it shall not be allowed to trade on SSE. 4 B B The applicant must follow all the provisions presented in the Operating Rules for the Clearing and Registration of Special Renminbi-denominated Shares and other relative rules and regulations. 5 B The applicant is required to submit to CSDCC Shenzhen the Guarantee Fund for B shares settlement. (1) B For Primary Participant and Special Participant, the Guarantee Fund is HKD500, per trading seat, and for Ordinary Participant is HKD300,000.00; (2) : i

2 The information given by the applicant must be real and accurate; a participant shall be liable to punishment for the false information given.

17 ii Please remit the Guarantee Fund to Standard Chartered Bank Shenzhen Branch A/C# or Bank Of China Shenzhen Branch A/C# in favor of China Securities Depository & Clearing Corp. Ltd. Shenzhen Branch. 6. The applicant is required to submit to CSDCC Shenzhen the following documents in support of its application:, Copy of Qualification Certificate of Securities Dealing Business issued by China Securities Regulatory Committee (CSRC) with applicant s company chop (For local brokers only)., Copy of Qualification Certificate of Dealing Foreign Currency Shares Business issued by CSRC with applicant s company chop overseas brokers only, Copy of License of Dealing Foreign Currency Businessissued by the State Administration of Foreign Exchange (SAFE) with applicant s company chop (For local brokers only). B Copy of Approval of Opening B shares Trading issued by SSE with applicant s company chop. Copy of Incorporation Registration Certificate with applicant s company chop. ( ) Bank Certificate issued by the applicant s designated bank (For local brokers only).. B Duplication of Specimen of Authorized Signatures for B shares business. B Application Form for Communication Services of CSDCC Shenzhen. Other documents may required by CSDCC Shenzhen. 7. This form should be completed in block or by typing. For 18

The applicant is required to submit to CSDCC Shenzhen the following documents in support of its application:, Copy of Qualification Certificate of Securities Dealing Business issued by China

18 B Full Name of Applicant :( ) G E N E R A L Registration No. of CSRC Approval Certificate: I N F O R M A T I O N Registration No. of Incorporation Certificate: Name of Legal Representative: : Capital of incorporation Tel. No. Fax No. ( ) Registered Address: Business Address: Address of Representative Office in China: Liaison of the Office: Tel. No. Fax No. ( ) 19

of Incorporation Certificate: Name of Legal Representative: : Capital of incorporation Tel.

19 B B B / B S H A R E S B U S I N E S S I N F O R M A T I O N Designated Trading Seat For Cash Settlement/agent (if applicable) B Standard Chartered Bank Designated Settlement Bank: Bank of China Designated Bank Account: Opening Bank : Bank Account No. Bank Reference Account Name B Head of the Department: Tel. No. Fax No. Cell Phone ( ) B Liaison of B shares Cash Settlement: Tel. No. Fax No. ( ) B Liaison of IT Department: Tel. No. Fax No. ( ) 20

Bank : Bank Account No. Bank Reference Account Name B Head of the Department: Tel. No. Fax No.

20 B / ( ) B Application of B Shares Settlement Business for its Affiliates/Branches A F F I L I A T E S I N F O R M A T I O N U P D A T E 21

21 B Application is hereby made for admission as a B Shares Clearing Participant of CSDCC Shenzhen. We agree to abide by the Operating Rules for the Clearing and Registration of Special Renminbi-denominated Shares and other relative rules and regulations. We hereby declare that, to the best of our knowledge and belief, the information and documents submitted hereto in support of this application is true and correct. We also undertake to notify CSDCC Shenzhen immediately in writing of any changes hereafter in the information given.. Authorized Signatures Date: 22

22 B Application Form for Communication Services of CSDCC Shenzhen Applicant s Name Liaison Applicants Member Code Tel. No. For Applicant Only Address System Applied B Real-time Account Opening System B Communication System for Cash Clearing(IST) B Communication System for B shares Settlement Installation Maintenance Service of Data Inquiry Telephone Instruction In-Door Service By Hardcopy via Mail ( ) (Please state in detail your system error or data inquired): For CSDCC Only Authorized signatures Date Remarks by International Settlement Dept. : : Remarks by Other Relative Dept.: : : 23

23 B B B B B B 5B 6 B 1 B 2B B T T-1 IST B

24 1 B 2B 3 T-1 IST B 1B 2B

25 B B B B B B B B

26 B APPLICATION FORM FOR PARTICIPANT INFORMATION UPDATE : Applicant: : Date: China Securities Depository & Clearing Corp. Ltd. Shenzhen Branch 27

27 B Application Form for Participant Information Update Participant s Name Participant s Code / Designated Agent/Seat for SettlementFor local/ordinary participants General Information Information to be updated. Bank Account Information / Affiliates Information B Close B Shares Business Documents attached in support of the information update Copy of Name Change Certificate and renewed Incorporation Registration Certificate issued by the relative authority (if applicable). Copy of Notice on Name Change issued by SSE B Bank Certificate issued by the applicant s designated bank (if applicable). B Notice from the applicant on change of specimen of authorized signatures for B shares business Notice from the applicant on change of addresscontact numbers or liaison officer. Other documents This is to certify that the information updated is in accordance with Operating Rules for the Clearing and Registration of Special Renminbi-denominated Shares and other relative rules and regulations. We hereby declare that the information and documents submitted hereto in support of this amendment is true and correct. We will take all the responsibilities arising from this amendment. Authorized Signatures Date 28

28 B Full Name of Applicant :( ) G E N E R A L I N F O R M A T I O N Registration No. of CSRC Approval Certificate: Registration No. of Incorporation Certificate: Name of Legal Representative: Registered Address: : Capital of incorporation Tel. No. Fax No. ( ) Business Address: Address of Representative Office in China: Liaison of the Office: Tel. No. Fax No. ( ) B Liaison of B Shares Settlement: Tel. No. Fax No. ( ) Postal Code 29

29 B / Designated Seat for Cash Settlement /AgentFor Ordinary /Local participants B U S I N E S S I N F O R M A T I O N U P D A T E B / Change of Designated Seat for Cash Settlement /Agent : B Change of Designated Settlement Bank: Standard Chartered Bank Bank of China Change of Designated Bank Account: Opening Bank : Bank Account No. Bank Reference Account Name Effective from : Other changes (Please state in details): 30

30 B / ( ) A F F I L I A T E S B Business Type( ) Please state the business type under Remarks B Application of B Shares Settlement Business for its Affiliates/Branches / (Information Update for Affiliates/Branches) B (Close Settlement Business for Affiliates/Branches) I N F O R M A T I O N F O R L O C A L P A R T I C I P A N T S 31

31 B ( ) A F F I L I A T E S I N F O R M A T I O N B B Shares Trading Seat: A Designated Trading Seat for Cash Settlement B Business Type( ; Please state the business type un Remarks) B (Application as Account Opening Agents for its Affiliates/Branches) B (Application of Other Account Business for its Affiliates/Branches) / (Information Update for Affiliates/Branches) B (Close Other Account Business for its Affiliates/Branches) B (Close Account Opening Business for Affiliates/Branches) F O R L O C A L P A R T I C I P A N T S 32

32 B 1 B 2B 3 EXCEL

33 1 B 2 B

34 CUSTODIAN DESIGNATION / RE-DESIGNATION APPLICATION FORM (SHENZHEN) Application for custodian Initial designation Re-designation Investor Code Investor Name Current Custodian New Custodian Notes 1 B Custodian here refers to the B shares Clearing Participant of CSDCC Shenzhen. 2 Each investor can designate one custodian only. 3 Please write under New Custodian when lnitial designation is applicable. 4 Both custodians are required to fill the form when re-designation is applicable Authorized signatures by the Custodian 35

36 T

37 1 B 2 3 R

38 Settlement Instruction II To: CSDCC, Shenzhen From (Participant Name):......(Participant code): Settlement Date: SI II No.: Counterpart s Code: Securities Code: Securities Name: Del or Rec: Investor Code: Investor Name: No. Of Shares: AP or FP: Settlement Amount: Authorized Signature(s) 39

39 40

40 120 CDP

41 CHINA SECURITIES DEPOSITORY AND CLEARING CORP. LTD SHENZHEN BRANCH (? )TO: CHINA SECURITIES DEPOSITORY AND CLEARING CORP. LTD SHENZHEN BRANCH ( CSDCC SHENZHEN ) Name of CSDCC SHENZHEN Participant delivering the shares in Shenzhen Account No. with CSDCC SHENZHEN Participant Security Name Quantity of Shares to be transferred Name of Depositor/CDP Depository Agent Direct CDP Securities Account No./CDP Depository Agent Sub-account No. I/We hereby authorize CSDCC SHENZHEN to debit my/our CSDCC SHENZHEN Participant account with the abovementioned number of securities upon receipt of this form and to effect a transfer of the shares from CSDCC SHENZHEN into CDP Signature Date For CSDCC SHENZHEN Confirmation to CDP For and on behalf of CSDCC SHENZHEN Date 42

42 FOR CSDCC SHENZHEN OFFICIAL USE Date Received : Amount Received : Received by : Account debited on : Important 1. Barring unforeseen circumstances, the transfer will be affected within 2 market days from the day CSDCC SHENZHEN receives the transfer request. CSDCC SHENZHEN will debit the account upon receipt of the request and forward the same to CDP who is responsible for crediting your securities account with CDP. You will be notified of the crediting of the shares into your securities account with CDP. 2. You should ensure that the shares are credited into your securities account in time for settlement of sale transactions. Otherwise SES will institute a buying-in against you. 3. The transfer fee payable is HK$120.00per request. 4. CSDCC SHENZHEN reserves the right to reject any transfer request where payment of the fees is not made or where the particulars given on this form are incomplete. 43

43 1 1 T T 2 T T B B B 44

45 Settlement Instruction I To: CSDCC, ShenZhen (Fm) (Participant Code): Trade Date No. SSE Ref. Stock Code Wrong Buy or Settlement Date: No.of Correct Investor Sell Shares Investor Code Code Amendment For SI 1 Adjustment For Shares 46

46 47

47 B B 1 T+2 2 T+3 3 T T+5 5 T+4 B 66 6 T+3 48

48 7 1 B 1 1 B 2 T+5 3 T+5 T

49 T+0 T+0 T T+0 T+1 T+0 T+0 T+1 B 66 T B

50 Form012 51

51 52

53 1 T+3 2T+3 3 B T

54 55

55 B % 0.2% 2001/11/16 0.3% 2002/05/ /08/ % /01/ % /01/ %, HKD HKD50.00/ 0.3% x 0.1% x 0.2% ( x )x0.2841% HKD100.00/, SI2 HKD50.00/ HKD100.00/, 0.5% HKD1.00/ HKD1.00/ 56

56 B B B B T+0 B Add: International Settlement Department 18F CITIC Building 1093 Shennan Road Center Shenzhen, PRC. 57

入學考試網上報名指南

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