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Bond Connect Filing Forms

  • Guidance
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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 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 11 June 2021