FROM: Shanghai Futures Exchange

To: All Members

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

FILING SERIAL:  SQBF [2017] No.65

June 12^th, 2017

Shanghai Futures Exchange decides to hold the 2^nd term Examination in 2017 for Trader and Settlement and Delivery Personnel on the afternoon of June 29^th, 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 send it 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 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 supervise the examination assessment and scoring, and send back the examination results to each member after 2 weeks upon completion of the examination.

II. Pre-examination Training and Miscellaneous

Shanghai Futures Exchange offers the pre-examination training for trader and settlement and delivery personnel through video training on its official website. All participants may log in the homepage of the website, enter 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

Member Service & Investor Education Department

Tel.: 021-20616735

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

Attachment

1. Registration Form of Examination for Trader and Settlement and Delivery Personnel of Shanghai Futures Exchange
2. Regulations on Examination for Trader and Settlement and Delivery Personnel of Shanghai Futures Exchange
3. Examination Supervisor’s Liability Statement
4. Test-Room Rules
5. Letter of Commitment on Credible Examination-