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1、附件3 (Annex 3)：“债券通”境外投资者业务申请表Bond Connect Investors Business Application Form法人机构或资产管理人全称（中英文）Legal Entity/Asset Manager Full Name (Chinese & English)与附件2中“投资者名称”一致; 若为产品请填写投资管理人信息Same as “The Name of Entity ”in Annex 2; Fill in Asset Managers name for unincorporated entity基金产品全称（中英文）Fund Product Fu
2、ll Name (Chinese & English)与附件2中“投资者名称”一致; 如不适用，请填写 “不适用”Same as “The Name of Entity” in Annex 2 ; Fill in N/A if inapplicable请根据如下要求提供相应名称信息以创建CFETS账户Please provide corresponding names as per below requirements in order to generate CFETS ID债券账户全称-bc（中文）Full Name of Bond Account-bc (Chinese)最大长度：90个
3、中文字符/300个英文字符（包括空格和标点）90 Chinese characters/300 English characters at max, including spaces and punctuations如不适用，请填写 “不适用”Fill in N/A if inapplicable.债券账户全称-bc（英文）Full Name of Bond Account-bc (English)最大长度：300个英文字符（包括空格和标点）300 English characters at max, including spaces and punctuations债券账户短称-bc（中文）
4、Short Name of Bond Account-bc (Chinese)最大长度：30个中文字符/90个英文字符（包括空格和标点）30 Chinese characters/90 English characters at max, including spaces and punctuations如不适用，请填写 “不适用Fill in N/A if inapplicable.债券账户短称-bc（英文）Short Name of Bond Account-bc (English)最大长度：90个英文字符（包括空格和标点）90 English characters at max, inc
5、luding spaces and punctuations交易平台账户信息Information of Trading Account交易平台名称Name of Trading Platform机构登录ID Login ID at Entity level ID持有机构是否为申请人或申请人的投资管理人Whether the owner of the Login ID is consistent with applicant entity or applicants Asset Manager 是(YES) 注明ID持有机构名称 Fill in the entitys full name 否(
6、NO) 因（原因）申请人确认（交易执行机构全称）为实际交易执行机构，并向交易中心申请进行相应系统设置。 Due to (reason), we confirm (Entitys full name) is the Trading Execution Entity and requests CFETS to conduct relevant settings.交易执行机构全称（中英文）Full Name of Trading Execution Entity (Chinese & English)最大长度：90个中文字符/300个英文字符（包括空格和标点）90 Chinese character
7、s/300 English characters at max, including spaces and punctuations交易执行机构简称（中英文）Short Name of Trading Execution Entity (Chinese & English)最大长度：30个中文字符/90个英文字符（包括空格和标点）30 Chinese characters/90 English characters at max, including spaces and punctuations交易执行机构注册国家或地区Place of Registration (Country and/o
8、r Region) of Trading Execution Entity如不适用，请填写 “不适用Fill in N/A if inapplicable.交易执行机构的机构类型Type of Entity of Trading Execution Entity如不适用，请填写 “不适用Fill in N/A if inapplicable. 第三方交易执行机构盖章/负责人签字:Official Seal/Signature of External Third-party Trading Execution Entity：若有多个交易执行机构请继续添加 Add more information
9、 if there are multiply trading execution entitiesCMU账户信息Information of CMU sub-accountCMU会员名称Name of Participating CMU MemberCMU账户号码（如BANK123）CMU sub-account number (e.g. BANK123)资金账户信息Information of Cash Account资金账户开户行Name of Account-opening Bank资金账户号码Cash Account Number交易员信息 Trader information交易员真
10、实姓名Authentic Name of Trader国籍Nationality 办公电话Office Telephone Number电子邮箱Email Address交易平台用户IDTraders Login ID of Trading Platform(s) 如申请在多个平台交易，需注明不同平台对应的IDList all the relevant IDs if applying for multiply trading platforms若有更多交易员请继续添加相关信息 Add information about more traders if any联系人Contact Informa
11、tion姓名Name 联系电话Contact Number邮箱地址Email Address（机构全称）已阅读、理解并同意遵守本表所附关于投资中国银行间债券市场的合规承诺函。（Institution Name）have read and understood, and agree to be bound by the Compliance Commitment Statement for Investing in China Interbank Bond Market attached below.申请日期：Application Date:盖章/负责人签字:Official Seal/Sig
12、nature备注：Note：本表格和承诺函为中英文双语。如有歧义以中文为准。This Business Application Form and Compliance Commitment Statement are facilitated with Chinese and English. If there is any discrepancy, Chinese should prevail. 关于投资中国银行间债券市场的合规承诺函Compliance Commitment Statement for Investing in China Interbank Bond Market1. 本机
13、构已阅读、理解并同意遵守中国相关法律法规、中国银行间债券市场相关政策法规和债券通规则；We/I have read and understood, and agree to be bound by the applicable laws and regulations in China, relevant laws and regulations for the China Interbank Bond Market and Bond Connect Rules；2. 签署本合规承诺函之日前的三年内，我司未曾因债券投资业务受到中国有关监管部门及所在司法辖区相关监管机构的重大处罚；We/I he
14、reby declare that it has not been subject to any major disciplinary action in relation to bond investment by relevant regulatory authorities of the Peoples Republic of China and the jurisdiction(s) within three years prior to signing of this Compliance Commitment Statement.3. 本机构具有与开展债券通交易相适应的健全的治理结
15、构、完善的内控制度和经营行为规范；We/I have in place a sound governance structure, effective internal controls and business conduct code for operating bond investment under Bond Connect；4. 本机构开展债券通交易的资金来源合法合规，符合反洗钱、反恐怖融资、反逃税等国际国内相关规定；The source of funding for bond investment under Bond Connect is legitimate. We/I are agreed to be bound by relevant laws and regulations of anti-money laundering, anti-terrorist financing and anti-tax evasion in China and foreign countries；5. 本机构司具备相应的风险识别和承担能力，知悉并自行承担所有债券投资风险
