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Bond Connect Filing 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 Filling
Application Documents Financial Institutions Foreign Central Bank/Sovereign Wealth Fund
Incorporated Entities Unincorporated Entities
  Funds / Products Mandates / SMA
Annex 2-1 CIBM Registration Application Form √ √ √  
Annex 1 Registration Form of Overseas Institutional Investors in China’s Inter-Bank Bond Market (For Incorporated Entities) √      
Annex 2 Registration Form of Overseas Institutional Investors in China’s Inter-Bank Bond Market (For Unincorporated Entities)   √ √  
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 Incorporated Entities
Incorporated Entities refer to financial institutions lawfully registered and incorporated outside the territory of the People’s Republic of China, including commercial banks, insurance companies, securities companies, fund management companies and other asset management institutions (PBOC Public Notice No. 3 [2016]).

 
Download: Incorporated entities application forms.zip

For Unincorporated Entities
Unincorporated Entities refer to funds, products, mandates, separately managed accounts (SMA), segregated accounts of the aforementioned institutions in accordance with the laws and regulations.

Filings of mandates, SMA, segregated accounts require submission of an additional Annex 7 Compliance Statement. 

 
Download: Unincorporated entities application forms (fund product).zip
 
Download: Unincorporated entities application forms (mandate). zip

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 24 July 2020