FROM: The General Office of Shanghai Futures Exchange

To: All Members

SUBJECT: Notice on the Fourth Term Examination in 2017 for Trader and Settlement and Delivery Personnel of Shanghai Futures Exchange

FILING SERIAL:  SQBF [2017] No.183

Shanghai Futures Exchange decides to hold the 4^th term Examination in 2017 for Trader and Settlement and Delivery Personnel on the afternoon of December 28, 2017. In the principle of integrity and self-discipline, this Examination for Trader and Settlement and Delivery Personnel will be administrated by the members independently as per the stipulations and guidelines of the Exchange in an attempt to facilitate the futures practitioners to participate in this Examination and minimize their travel expenses and time cost.

The relevant matters and specific arrangements are hereby notified as follows:

I. Examination Instructions

1.Registration

Members shall count up the number of participants in advance, complete the Registration Form of Examination for Trader and Settlement and Delivery Personnel of Shanghai Futures Exchange (as per the Attachment 1) and make the registration in the official website of the Exchange, and then send the Registration Form back to the Member Service & Investor Education Department of Shanghai Futures Exchange via e-mail within prescribed time. All participants are required to provide a one-inch license photo in electronic edition.

2. Examination Model

This examination is a close-book examination administrated by the members independently. All participants are required to bring their ID cards and writing instruments for the examination.

3. Examination Regulations

All members are required to read over the Regulations on Examination for Trader and Settlement and Delivery Personnel of Shanghai Futures Exchange (as per the Attachment 2), and implement it accordingly. All examination supervisors of the members are required to sign the Examination Supervisor’s Liability Statement (as per the Attachment 3). All examination participants are required to read over the Test-Room Rules (as per the Attachment 4) and sign the Letter of Commitment on Credible Examination (as per the Attachment 5).

4. Examination Assessment and Results

All members are required to make the electronic edition (in PDF format) for all answer sheets and forward them to Member Service & Investor Education Department of Shanghai Futures Exchange via e-mail within 1 working day upon completion of the examination. The Exchange will uniformly supervise the examination assessment and scoring. All participants may inquire about the examination results by inputting the ID card number and name in the registration page of the website after 15 working days upon completion of the examination (in case of holiday, it shall be automatically postponed to the first work day following the holiday).

II. Examination Training and Miscellaneous

Shanghai Futures Exchange offers the examination training for trader and settlement and delivery personnel through video training in its official website. All participants may login the homepage of the website, go to the Video Studio and click the column of Basic Knowledge and Skills for Practitioners to watch videos and download learning courseware.

For examination consultation and matters not mentioned herein, please contact:

Wei Xiaohang, Tel.: 021-20616735

Lu Dongliang, Tel: 021-20767536

Member Service & Investor Education Department

Shanghai Futures Exchange

E-mail: wei.xiaohang@shfe.com.cn