image

E-Filing

image

Primary Market

image

Flash Report

image

Contact Us

Rules and Policy
Rules and Policy

Filing & Other Administrative Forms

  • Rules & Policy
    • Overall Scheme
    • Investor Admission
    • Trading, Clearing and Settlement
    • Service Fee
    • Taxation Policy
  • Onboarding
    • Guidance
    • Approved Investors
    • E-Filing System
    • Filing & Other Administrative Forms
    • Translation
  • Trading & Settlement
    • Trading Mechanism
    • Trading Calendar
    • Market Makers
    • Custodians
    • FX Settlement Banks
  • Services
    • NCD Subscription
    • Defaulted Bond Transfer
    • Backup Trading
    • Settlement Failure
    • Data Interface
    • FX Services
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 New Entity Filing Form, Annex 2-1, Annex 2-4, New Annex 3, and Annex 6.

Download: New Entity Filing Form, Annex 2-1, Annex 2-4, New Annex 3, and Annex 6 (zip)
Download with guidance: New Entity Filing Form, New Annex 3 (zip)

-  For Trading Account Opening under the entity, investors should submit New Annex 3 and Annex 6. Specifically, mandate accounts are additionally required to submit Annex 7.

Download: New Annex 3, Annex 6 and Annex 7 (only for mandate/SMA accounts) (zip)
Download with guidance: New Annex 3 (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
[New] 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      
[New] Annex 3 Bond Connect Investors Business Application Form/Compliance Commitment Statement for Investing in China Interbank Bond Market
(Refer to Note)
Annex 6 Undertaking to the Bond Connect Company Limited  
Annex 7 Compliance Statement for Mandates      
Annex * Chinese Intern-Bank Market Investment Registration Form      
(Note: During Entity-based filing, Financial Institution can elect to open a trading account concurrently by filing in * New Annex 3. Investor can also choose to open a trading account at later stage. In such case, the investor can elect to skip New Annex 3 for now).

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 on 10 June 2021

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.

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 on 20 January 2020