I
content
Brief Introduction of BOCOM
Ⅱ
Account Opening Instructions
Ⅲ
Advantages of BOCOM
I
目录
交通银行简介
Ⅱ
参与人开户介绍
Ⅲ
交通银行优势
As one of the five main
state-owned commercial banks,
Bank of Communications was
founded in 1908, and is the
oldest existing Chinese
commercial bank.
With headquarter in
Shanghai, Bank of
Communications is the main
comprehensive financial
services provider in China, and
is becoming an international
business conglomerate.
交通银行始创于1908年（清
光绪34年），是中国五大国有控
股商业银行之一。总部位于上海，
是中国现存历史最悠久的商业银
行，1987年重新组建为全国第一
家股份制商业银行。交通银行是
中国境内主要综合金融服务供应
商之一，并正在成为一家以商业
银行为主体，跨市场、国际化的
大型国有银行集团。
The key financial rates of BOCOM in the first quarter of 2014 are as
follows: total asset ￥5.98 trillion, net profit ￥18.7, core CAR 10.04%, ROAA
1.26%; ROAE 17.44%, impairment of loan rate 1.05%.
BOCOM is one of the FORTUNE 500 companies for 5 years with
revenue ranked 243rd. BOCOM also ranked 23rd by The Banker for its tier l
capital among 1000 largest banks worldwide.
截至2014年3月末，交通银行资产总额达5.98万亿元，实现净利润187亿
元；资本充足率为12.19％，核心资本充足率为10.04%；年化平均资产回报率
（ROAA）为1.26%；年化加权平均净资产收益率（ROAE）为17.44%；减值贷款
率为1.05%。集团连续五年跻身《财富》（FORTUNE）世界500强，营业收入排
名第243位，列《银行家》（The Banker）杂志全球千家最大银行一级资本排
名第23位。
2700 banking outlets all around
China
Frankfurt branch
UK subsidiary
Seoul Branch
New York
Branch
Tokyo Branch
Hong Kong
Branch
Ho-Chi-Ming City
Branch
Singapore
Branch
agency relationship with 1608
banks in 144 countries
San Francisco
Branch
Macau Branch
Taipei
Branch
Sydney
Branch
12 Oversea Branches and
55 banking outlets
Expanding financial services overseas
境内37个省区市260多个大中城
市设有2700个网点
法兰克福分行
英国子公司
首尔分行
东京分行
旧金山分行
香港分行
胡志明市分行
新加坡分行
澳门分行
台北分行
悉尼分行
与全球144个国家和地区1608家银
行建立代理行关系
纽约分行
全球12家境外分行55个
营业网点
境内外一体化服务，实现境内金融服务的境外延伸
565家
706家
189家
115家
33家
1+1 Global Financial Service
•
Established agency relationship with 1608
banks across 144 countries and regions
over the world.
Strategic
Synergy
Quantitative
Indicators
•
68 foreign currencies accounts including 17
main currencies at 53 banks around 24
countries over the world.
Cross
Marketing
Complementing
Advantages
Global financial services
565家
706家
189家
115家
33家
1+1全球金融服务
•
全球代理行总数达1608家，覆盖144个国家
地区
战略协同
量化指标
•
已在全球24个国家的53家银行总分支机构开
设了68个外币账户，包括17种主要货币。
交叉营销
优势互补
金融服务遍及全球
CHINA
OVERSEAS
BOCOM has a conglomerate business scope including funds, insurance,
trust, leasing, investment banking, with advantages on diversification, crossmarket and integration. Subsidiaries such as BOCOM INTERNATIONAL,
BOCOM INSURANCE have made the international services of BOCOM
more comprehensive and in-depth.
境 内
境 外
交行已在境内外完成了横跨基金、保险、信托、租赁、投行等领域的子公
司布局，形成十分明显的多元化、跨市场、一体化的金融服务优势，并在香港
设有交银国际、交银保险等子公司，国际化服务实现纵深化、立体化发展。
I
content
Brief Introduction of BOCOM
Ⅱ
Account Opening Instructions
Ⅲ
Advantages of BOCOM
I
目录
交通银行简介
Ⅱ
参与人开户介绍
Ⅲ
交通银行优势
Participant Structure
Shanghai
International
Gold Exchange Center
Category A
Membership
Institutional
Investor
Category B
Membership
Individual
Investor
参与人结构图
上海国际黄金
交易中心
A类会员
机构投资者
B类会员
个人投资者
Accounts Structure of the Members
Category B
Member
Category A
Member
Proprietary
Trading Account
Agency Trading
Account
Retained
Margin Account
Proprietary
Trading Account
Retained
Margin Account
参与人账户结构图
B类会员
A类会员
会员自营
专用账户
会员代理
专用账户
会员自有
专用账户
会员自营
专用账户
会员自有
专用账户
Types
of
FTA
Accounts
Free Trade Unit
Account (FTU)
FTU is applied to Free Trade Unit and off-shore
financial institutions.
Free Trade Account for
Entities (FTE)
For the institutions in the zone and
individually-owned
business registered in the zone.
Free Trade Account for
Nonresidents (FTN)
Free Trade Account for
individuals (FTI)
Free trade account for
foreign individuals (FTF)
FTN account is applied to
off-shore financial institutions.
Free trade account for the individuals in the zone
has the prefix of “FTI”. Individuals in zone means
Chinese citizens who work in the Free Trade Zone
and their employer have been paying income tax to
Chinese tax authority for over one year.
Free trade account for the foreign individuals in the zone
with the prefix of “FTF” can only be opened at the financial
institutions located in the zone. A natural person holding
valid oversea ID document (including Hong Kong, Macau
and Taiwan) with working permission who has been working
in the Free Trade Zone for more than one year can be
identified as foreign individuals in the Zone.
自
由
贸
易
账
户
类
型
同业机构自由贸易账户
FTU开户主体为其他金融机构的试验区分账
（简称“FTU”）
核算单元和境外金融机构。
区内机构自由贸易账户
FTE开户主体为区内机构
（简称“FTE”）
境外机构自由贸易账户
（简称“FTN”）
FTN开户主体为境外机构
FTI开户主体为在试验区内工作，并由其
区内工作单位向中国税务机关代扣代缴一
区内个人自由贸易账户
年以上所得税的中国公民
（简称“FTI” ）
FTF开户主体为持有境外身份证件、在试验区
区内境外个人自由贸易
账户（简称“FTF”）
内工作一年以上、持有中国境内就业许可证
的境外（含港、澳、台地区）自然人。
Materials Required for Opening FTU Account (1)
1. The reserved copy of Registration Certification (with official seal
affixed)
2. The reserved copy of Organization Code Certificate (with official
seal affixed)
3. The reserved copy of Tax Registration Certificate (both national tax
bureau and local tax bureau, with official seal affixed)
4. The valid personal identification of legal representative or head incharge (with official seal affixed)
5. The authorization letter and valid personal identification (both the
original and the copy with official seal affixed )
6. The permit of opening basic account (both the original and the
copy, with official seal affixed)
7. The reserved copy of Organization Credit Code Certificate (with
official seal affixed)
参与人开立FTU账户所需材料（一）
1、机构登记注册证明正本原件及复印件（加盖法人公章）
2、组织机构代码证正本原件及复印件（加盖法人公章）
3、税务登记证（地税、国税）正本原件及复印件（加盖法人公章）
4、法定代表人或者单位负责人的有效身份证件复印件（加盖法人公章）
5、授权开户委托书及代理人有效身份证件复印件（加盖法人公章）
6、基本户开户许可证原件及复印件（加盖法人公章）
7、机构信用代码证原件及复印件（加盖法人公章）
Materials Required for Opening FTU Account (2)
8. The statement of account opening application (Enterprises should
state the reason of applying the certain account type, currency
etc. is for the businesses under FTA separate accounting unit
system)
9. Business license for the regulatory authority that comply with the
financial industry management requirement.
10. The application form for opening a settlement account
11. The application form for additional services
12. The account management agreement
13. Reserved signature and seal card, authorization attorney of the
reserved signature and seal (official seal affixed), the copy of the
authorized person’s identification
14. Specimen of the signatures and seals
参与人开立FTU账户所需材料（二）
8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自
由贸易账户种类、币种等，并加盖法人公章）
9、符合同业管理要求的监管部门核发的经营许可证复印件加盖公章
10、开立单位银行结算账户申请书（加盖法人公章及法人章）
11、单位开户签约类业务综合申请表（加盖法人公章及法人章）
12、自贸区分账核算业务自由贸易账户管理协议（加盖法人公章及法人章）
13、预留印鉴卡、授权预留印鉴委托书（加盖法人公章及法人章）、被授权
人身份证复印件（正本加盖法人公章）
14、签章样本（加盖法人公章及法人章）
Materials Required for Opening FTE Account (1)
1. The reserved copy of Registration Certification (with official seal
affixed)
2. The reserved copy of Organization Code Certificate (with official
seal affixed)
3. The reserved copy of Tax Registration Certificate (both national tax
bureau and local tax bureau, with official seal affixed)
4. The valid personal identification of legal representative or head incharge (with official seal affixed)
5. The authorization letter and valid personal identification (both the
original and the copy with official seal affixed )
6. The permit of opening basic account (both the original and the
copy, with official seal affixed)
7. The reserved copy of Organization Credit Code Certificate (with
official seal affixed)
参与人开立FTE账户所需材料（一）
1、机构登记注册证明正本原件及复印件（加盖法人公章）
2、组织机构代码证正本原件及复印件（加盖法人公章）
3、税务登记证（地税、国税）正本原件及复印件（加盖法人公章）
4、法定代表人或者单位负责人的有效身份证件复印件（加盖法人公章）
5、授权开户委托书及代理人有效身份证件复印件（加盖法人公章）
6、基本户开户许可证原件及复印件（加盖法人公章）
7、机构信用代码证原件及复印件（加盖法人公章）
Materials Required for Opening FTE Account (2)
8. The statement of account opening application (Enterprises should
state the reason of applying the certain account type, currency etc.
is for the businesses under FTA separate accounting unit system)
9. The application form for opening a settlement account
10.The application form for additional services
11.The account management agreement
12.Reserved signature and seal card, authorization attorney of the
reserved signature and seal (official seal affixed), the copy of the
authorized person’s identification
13.Specimen of the signatures and seals
参与人开立FTE账户所需材料（二）
8、开立账户说明（应说明因办理自贸区分账核算单元业务，所以申请开立自由
贸易账户种类、币种等，并加盖法人公章）
9、开立单位银行结算账户申请书（加盖法人公章及法人章）
10、单位开户签约类业务综合申请表（加盖法人公章及法人章）
11、自贸区分账核算业务自由贸易账户管理协议（加盖法人公章及法人章）
12、预留印鉴卡、授权预留印鉴委托书（加盖法人公章及法人章）、被授权人身
份证复印件（加盖法人公章）
13、签章样本（加盖法人公章及法人章）
Materials required for opening FTN account (1)
1. Clients should provide materials according to the different types of
companies:
① For Hong Kong limited companies, please provide business
registration or certificate of incorporation
② For non Hong Kong limited companies, please provide certificate of
incorporation, certificate of register agent, business continuation
proof (for company duration longer than 1 year), articles of
corporation
③ Unlimited companies please provide Business registration
certificate, certificate of register agent
④ Others: Please provide Business registration certificate, certificate of
register agent
参与人开立FTN账户所需材料（一）
1、根据客户类型向我行出具：
①
香港有限公司：企业注册登记证明或企业商业登记证、公司章程、法团成立
表格/周年申报表
②
非香港有限公司：企业注册登记证明（如非中文，应同时提供对应的中文翻
译）、注册代理人注册登记证明（如与交通银行未签订协议，需提供此证明
文件）、企业延续证明（企业存续期间大于1年，需提供此证明文件）、公
司章程
③
无限公司：企业商业登记证（如非中文，应同时提供对应的中文翻译）、注
册代理人注册登记证明（如未与交通银行签订协议时需提供此证明文件）
④
其它：企业商业登记证（如非中文，应同时提供对应的中文翻译）、注册代
理人注册登记证明（如未与交通银行签订协议，需提供此证明文件）
Materials required for Opening FTN Account (2)
2. The search proved (chose one in three), including:
① The search proved that conducted by qualified Search company
which proved by our head office
② Certifications issued by Online Search Centre, agent research by
our overseas branches, or by Chinese Embassies
③ For listed foreign company, we can assist to obtain authenticity
certificate information through publicly available documents.
3. The resolution of the board of directors
4. Three copies of the identity certificate of the board members
authorized person, with official seal affixed
5. Three copies of the account opening authorization letter, with official
seal affixed
参与人开立FTN账户所需材料（二）
2、查册证明（以下材料三选一） 包括：
①
具备交通银行认定的具有查册资格的合法查册公司出具的查册证明
②
网上查册中心、我国驻外使领馆等机构出具的证明文件，或交通银行海外分
行代理查册、见证并出具的证明文件
③
如果境外机构为上市公司，交通银行可协助通过公开途径获得其基本信息真
实性证明资料
3、董事会决议
4、董事身份证件/被授权人身份证件（此证明文件如为非中文的，应同时提供对
应的中文翻译，并加盖单位公章）
5、开户经办授权书（授权经办人前往开户）一式叁份
Materials required for Opening FTN Account (3)
6. Three copies of the identification of authorized person,a seal of
prove is needed
7. Original script of special organization code certificate, with official
seal affixed
8. Permit of opening basic bank account (the original)
9. Organization code certificate (the original)
10.Explanations of the account opening (Company should explain the
reason that open the account and illustrate the type of account
and currency of account)
11. Other certifications those are required in accordance with laws and
administrative regulations or bank account administration
department (if required)
12. Reserved signature card
参与人开立FTN账户所需材料（三）
6、被授权经办人身份证件
7、特殊机构代码证原件
8、基本户开户许可证原件
9、机构信用代码证原件
10、开立账户说明（企业应说明因办理自由区分账核算单元业务，所以申请开
立自由贸易账户种类、币种等）
11、依照法律、行政法规或者国务院银行账户监督管理部门规定应当提供的其
他证明文件（如需）
12、预留印鉴卡
Materials Required for Opening FTN Account (4)
13. Special Notice:
①
②
③
④
If the valid identification cannot be issued by the legal representative or
person in charge of the entity, a valid identification of the authorized
account signatory and the entity constitution should be provided
The documents provided must be the original, and if they are not in
Chinese, please provide the Chinese version and affix the valid official
seal
For Foreign institutions which do not have valid official seal, please
provide signature of the authorized person for the account
According to the real name review requirements, the operation
management agency has the right to request for extra supplementary
documents for identity examination purpose
参与人开立FTN账户所需材料（四）
13、特别备注：
①
如不能出具法定代表人或单位负责人的有效身份证件的，可出具公司章程规
定的账户有权签字人的有效身份证件及公司章程（如非中文，应同时提供对
应的中文翻译）
②
上述证明文件必须为原件，如非中文，还应同时提供对应的中文翻译，并加
盖单位公章或财务专用章或账户有权签字人签章
③
境外机构无单位公章或财务专用章，银行预留印鉴以及所有签章处请账户有
权签字人签章。根据实名制审查要求，营业机构有权要求单位出具除上述证
明文件之外的辅助身份证明文件
④
如境外机构无法派人到境内银行办理开户手续，经开户银行和申请开户主体
协商一致，可以采用境外机构到境外银行（包括交通银行海外分行）或第三
方公证机构见证开户的形式进行见证开户
Account Opening Process
Fill in the application forms
and provide necessary materials
Review of the account
opening materials
•
•
•
Filing the specimen of
signatures and seals
•
Enabling the Account
•
The participant must have a basic bank account
Clients should submit the mandatory material and fill
in the form of “Bank Settlement Account Opening
Application” and sign the “Shanghai FTA separate
accounting business free trade account management
agreement”
The branch of BOCOM will examine the account
opening material to verify whether the applicant is
qualified for opening FT account according to the
regulations of PBOC, and ensure the realness,
completeness and compliance of the account
opening materials
The participant should prepare the specimen of
signature and official seal when applying for opening
the account. Off-shore financial institutions can
provide account opening instruction via SWIFT
instead of providing the specimen
BOCOM will establish and enable the FT account for
clients in accordance with relevant regulations
上海国际黄金交易中心参与人自由贸易账户开立流程
参与人填写并提交开户资料
•
参与人必须先开立基本账户
•
参与人准备相关证照及资料，并连同填写好的《开立
单位银行结算账户申请书》及《交通银行上海自贸区
分账核算业务自由贸易账户管理协议》提交我行
开户行审核开户资料
•
交通银行开户网点根据人民银行的相关规定审核开户
主体是否符合开立FT账户的开户条件，并审核开户资
印鉴建档
账户启用
料的真实性、完整性和合规性
•
参与人申请开户时，须按规定预留印鉴或签字
•
境外金融机构可以采用加押SWIFT报文替代预留印鉴
•
交通银行根据相关业务规定为客户开立并启用FT账户
I
content
Brief Introduction of BOCOM
Ⅱ
Account Opening Instructions
Ⅲ
Advantages of BOCOM
I
目录
交通银行简介
Ⅱ
参与人开户介绍
Ⅲ
交通银行优势
Secure and
Stable System
Operation
Experienced
Settlement
Agency Service
Provider
Experience
Safety
Guarantees
Scope of
Service
Efficiency
Wide Range of
Service
Efficient
settlement and
convenient
交行优势
合作情况
业务流程
服务优势
系统运维
安全稳定
代理结算
经验丰富
经验优势
服务渠道
安全保障
高效便捷
服务覆盖
范围广泛
交行优势
结算高效
服务便捷
合作情况
业务流程
服务优势
Full Coverage of Cooperation
Full Coverage of Cooperation
Full Coverage of
with Financial Markets
with Clients
Risk Management
Full coverage of
cooperation with
all elements of
financial market.
Being the first
batch of qualified
clearing agents.
Leading market
share .
Wide range of client
groups including
banks, securities
companies, funds,
insurance, trust and
asset management
companies, etc.
Steady operation and
investment
strategies to evade
market risk
Well developed
regulatory
framework and
stable advanced
technological
system.
金融要素市场
金融机构客户
风险控制
合作全覆盖
合作全覆盖
全覆盖
•与各类金融要素市
场合作的全覆盖
•首批的结算机构或
参与机构结算
份额名列前茅
•客户涵盖银行、
•稳健的经营及投资
券商、基金、保险、
策略避免市场风险
信托、资产管理公
•完善的制度建设以
司等全方位合作
及先进稳定的技术
系统
Comprehensive Co-operations with
Different Financial Markets
Shanghai
International
Gold Exchange
Center
Zhengzhou
Commodity
Exchange
BOCOM
Dalian
Commodity
Exchange
Shanghai
Futures
Exchange
China
Financial
Futures
Exchange
Shanghai
Gold
Exchange
China Securities
Depository
and clearing
Corp. Ltd.
Shanghai
Clearing
House
各大金融要素
市场全面合作
上海国际黄金
上海黄金
交易中心
交易所
郑州商品
中国证
交易所
券登记
交通银行
结算公司
大连商品
交易所
上海清算所
上海期货
交易所
中国金融
期货交易所
Brief Introduction of Co-operation with Some Major
Financial Markets
China Securities
Depository and
clearing Corp. Ltd.
Shanghai
Futures
Exchange
China Financial
Futures
Exchange
Shanghai
Clearing House
BOCOM is one of the
earliest banks that started
developing PROP clearing
system. The high efficiency
and stability of the system
have brought the lowest
ranking of error occurrence
rate.
BOCOM is the early
participant of futures market.
The performance of high
funds transferring efficiency
has made many large
Chinese and foreign banks
choose to open their margin
accounts of Shanghai
Futures Exchange at
BOCOM and the business
service team of BOCOM
is professional
and experienced.
BOCOM is the earliest
participant of the R&D for
CFFE’s PSIS clearing
system. Currently there is a
total number of 76 clearing
members including 15
general clearing members
and 61 trading clearing
members. Meanwhile 13
general members and 46
trading members have
opened their settlement
accounts at BOCOM.
As the strategic partner and
general settlement member of
Shanghai Clearing House,
BOCOM has gained the
agency qualification of all
product lines. BOCOM
has already been a settlement
agent of RMB FFA, RMB IRS,
Thermal Coal and Iron Ore.
BOCOM has full-function
system, perfect management
process and rich service
experience for this market.
Over 80% of the
institutional investors on
the market have selected
BOCOM as their
clearing agent.
金融要素市场主要合作情况简介
中国结算
上期所
交通银行是最早参与
交通银行参与期货业
交通银行是最早参与
作为上海清算所战略
中登公司研发PROP
务时间较早，资金划
中金所研发PSIS清算
合作伙伴、综合清算
清算系统的结算银行
转效率较高；多家大
系统的结算银行。中
会员，具有全产品线
之一。高效稳定、
型中外资银行已选择
金所共有结算会员76
综合代理资格。已代
差错率排名五家结
交通银行开立上海期
家，其中， 15家全面
理人民币FFA、动力
算末位获得良好的口
货交易所保证金结算
结算会员中有13家在
煤、铁矿石清算，系
碑。市场上80%以上
账户；交通银行期货
交通银行开户，61家
统功能完备，管理流
的机构客户选择交通
业务服务团队经验
交易结算会员中有46
程完善，服务经验
银行进行资金清算。
丰富。
家在交通银行开户。
丰富。
中金所
清算所
As the strategic cooperation partner of
Personal
Physical
Gold Market
Agent
Capital
Settlement
Clearing
Agent
ETF
Market
of Gold
Precious
Metals
Trading
Gold
Warehouse
Keeper
First trader
of Inquiry
Transactio
ns
Proprietary
trading in
the Gold
Market
Shanghai Gold Exchange and Shanghai
International Gold Trading Center, BOCOM
has extensive experience on both
proprietary trading and brokerage of
precious metals’ markets.
Wide range of products
Aligned trading hours with Shanghai Gold
Exchange
Various settlement instruments including
online banking and cash management
One-stop transaction and settlement
Service
开展代理个
人黄金实物
交易业务
交通银行作为上海黄金交易所
资金清算
代理行
代理黄金
ETF业务
代理法人
贵金属交
开展市场
易
首笔询价
交易
及上海国际黄金交易中心的战略合
作伙伴，有丰富的贵金属自营及代
成为其黄金
实物代理保
管金库
开展自营
黄金交易
业务
理经验：
 业务品种全覆盖
 代理交易时间与金交所保持一致
 为客户提供网银及现金管理等多
种结算工具
 一站式交易结算服务
The warehouse of the
BOCOM in Shanghai
Free Trade Zone is the
unique designated
delivery warehouse of
Shanghai International
Gold Exchange Center
交通银行在上海自贸区
的交割仓库是上海国际
黄金交易中心的唯一指
定交割仓库