NOTIFICATION ON ANNUAL REVIEW OF QUALIFICATIONS AS FLOOR REPRESENTATIVE IN 2013

Updated on Dec 31,2013

NOTIFICATION ON ANNUAL REVIEW OF QUALIFICATIONS AS FLOOR REPRESENTATIVE IN 2013

FROM: The Shanghai Futures Exchange
TO: All Members
FILING SERIAL: SQBF [2013] No. 163

December 31, 2013

All members are hereby notified of the following:

Ⅰ. The Summary Table of the SHFE Annual Review of Qualifications as Floor Representative in 2013 is to be completed by members (See Appendix 1).

Ⅱ. Person who is going to accept the appointment by the member to continue serving as the floor representative, shall fill out again the SHFE Form of Application for Floor Representative and Letter of Authorization by Legal Person (See Appendix 2), with the signature of legal person of the affiliated firm and the firm’s official seal as confirmation. A copy of such person’s ID shall also be provided.

Ⅲ. All members must submit to the Exchange’s Trading Department the Summary Table of the SHFE Annual Review of Qualifications as Floor Representative in 2013, the SHFE Form of Application for Floor Representative and Letter of Authorization by Legal Person, and the copy of floor representative’s ID by January 10^th, 2014.

Ⅳ.In the event that the floor representative fails to participate in this annual review and to submit the SHFE Form of Application for Floor Representative and Letter of Authorization by Legal Person on time, the Exchange will subject this member to cancellation of the floor representative’s qualifications and such member is not allowed to enter into the floor from January 13^th, 2014. The member will be held responsible for any consequences arising therefrom.

Ⅴ. All members shall effectively enhance their management over the authorization of floor representative. Person who leaves his or her firm or does not hold the position of floor representative shall timely fill out the part of “ cancellation of qualifications as floor representative” in the Summary Table of the SHFE Annual Review of Qualifications as Floor Representative in 2013, and return the floor representative card to the Exchange.

　　Appendix: 1. The Summary Table of the SHFE Annual Review of Qualifications as Floor Representative in 2013

　　　　　　　2. The SHFE Form of Application for Floor Representative and Letter of Authorization by Legal Person

（Contact person: Wu Wenxiu Tel：021-68400475

　Address: Trading Department of the Shanghai Futures Exchange, 500 Pudian Road, Shanghai

　Zip：200122）