Filing & Other Administrative Forms
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Note: The application forms posted below are for general reference. Eligible Foreign Investors are advised to apply for onboarding to the Bond Connect Scheme through the BCCL E-Filing System.
DOCUMENT REQUIREMENTS FOR NEW ENTITY-BASED FILING FORMS
- For all Financial Institutions utilizing Entity-based Filing for the first time, investors should submit Entity Filing Form, Annex 2-1, Annex 2-4 and Annex 6.
Download: Entity Filing Form, Annex 2-1, Annex 2-4, and Annex 6 (zip)
- For Trading Account Opening under the entity, investors should submit Annex 3 and Annex 6. Specifically, mandate accounts are additionally required to submit Annex 7.
Download: Annex 3, Annex 6 and Annex 7 (only for mandate/SMA accounts) (zip)
To learn more about the requirements for all filing forms, please access The Handbook to Bond Connect Admission.
Download: Entity Filing Form, Annex 2-1, Annex 2-4, and Annex 6 (zip)
- For Trading Account Opening under the entity, investors should submit Annex 3 and Annex 6. Specifically, mandate accounts are additionally required to submit Annex 7.
Download: Annex 3, Annex 6 and Annex 7 (only for mandate/SMA accounts) (zip)
To learn more about the requirements for all filing forms, please access The Handbook to Bond Connect Admission.
Document Requirements for Filing
| Application Documents | Financial Institutions | Foreign Central Bank/Sovereign Wealth Fund | |||
| New Entity-based Filing | Trading Account Opening | ||||
| Funds / Products | Mandates / SMA | ||||
| Entity Filing Form | Registration Form for Overseas Institutional Investors in China’s Inter-Bank Bond Market | √ | |||
| Annex 2-1 | CIBM Registration Application Form | √ | |||
| Annex 2-4 | Letter of Authorization to Registration Agent | √ | |||
| Annex 3 | Bond Connect Investors Business Application Form/Compliance Commitment Statement for Investing in China Interbank Bond Market | √ | √ | √ | √ |
| Annex 6 | Undertaking to the Bond Connect Company Limited | √ | √ | √ | |
| Annex 7 | Compliance Statement for Mandates | √ | |||
| Annex * | Chinese Intern-Bank Market Investment Registration Form | √ | |||
For Overseas Central Banks, SWFs, International Financial Institutions
A specialized set of Bond Connect filing forms are available for foreign central banks, sovereign wealth funds and international financial institutions.
Download: CB, SWF, International Financial Institution application forms. zip
For Investors without financial business licenses
For investors without financial business licenses, pls contact BCCL at info@chinabondconnect.com
Last updated in Nov 2022
Last updated in Nov 2022
Information Update Form
The Registration Update Form allows onboarded Bond Connect investors to register changes related to asset managers, custodian banks, e-trading platforms, traders and any other sort of information update.
Specifically, if changes intended relate to change of asset management entity or a revision of the asset management entity name or fund name, applicants are required to submit an Information Update Statement.
Specifically, if changes intended relate to change of asset management entity or a revision of the asset management entity name or fund name, applicants are required to submit an Information Update Statement.
Download: Registration Update Form (available in E-Filing system)
Download: Information Update Statement
Exit Form
Overseas investors who wish to exit the Bond Connect scheme shall submit a Bond Connect Exit Form to BCCL and settle any outstanding fees and transactions accordingly. After confirming completion of relevant matters, CFETS shall close the accounts, process the market exit and inform the investor via BCCL.
Download: Bond Connect Exit Form
Last updated in Nov 2022
Download: Bond Connect Exit Form
Last updated in Nov 2022