Hereare some common FAQs for foreign investors participating in A-sharetrading.

以下是一些关于外国投资者参与A股交易的常见问题解答。

Whoare allowed to open A-share securities accounts within China?

哪些人被允许在中国开设A股证券账户？

Fivemain categories of foreign individuals can directly open an A-shareaccount:

五类主要的外国个人可以直接开设A股账户：

1.Foreignersholding China's permanent resident ID card.

1.持有中国永久居留身份证的外国人。

2.Foreignerswho have legally established foreign-invested joint-stock companieswithin China and listed them on the A-share market.

2.在中国合法设立并在A股市场上市的外商投资股份公司的外国人。

3.Foreignemployees working in A-share listed companies in China andparticipating in stock incentives as per the Equity IncentiveMeasures for the Administration of Listed Companies.

3.在中国A股上市公司工作的外籍员工，并根据《上市公司股权激励管理办法》参与股权激励。

4.Foreignnatural persons working in China.

4.在中国工作的外国自然人。

5.Foreignemployees of A-share listed companies working abroad who are involvedin equity incentive plans.

5.在海外工作的A股上市公司的外籍员工，参与股权激励计划。

Howcan foreign individuals working in China apply for an A-sharesecurities account?

在中国工作的外国个人如何申请A股证券账户？

Requiredmaterials include:

所需材料包括：

1.Acompleted Securities Account Opening Application Form.

1.填写完整的证券账户开户申请表。

2.Foreignpassport and its copy.

2.外国护照及其复印件。

3.Employmentcertificate from a domestic institution and a copy of thatinstitution's business license or unified social credit codecertificate (both stamped).

3.国内机构出具的就业证明和该机构营业执照或统一社会信用代码证书的复印件（均需加盖公章）。

4.Ifapplying via a proxy, a notarized power of attorney from a domesticnotary public and the proxy's valid ID and a copy is required.

4.如通过代理人申请，需提供国内公证处公证的授权委托书和代理人的有效身份证件及其复印件。

Howcan foreign employees of domestic listed companies working abroad,who participate in equity incentive plans, apply for an A-sharesecurities account?

在海外工作的国内上市公司的外籍员工，参与股权激励计划，如何申请A股证券账户？

Requiredmaterials include:

所需材料包括：

1.Acompleted Securities Account Opening Application Form.

1.填写完整的证券账户开户申请表。

2.Copyof valid ID of foreign employee involved in the equity incentive(stamped by the listed company).

2.参与股权激励的外籍员工的有效身份证件的复印件（由上市公司加盖公章）。

3.Copiesof the company's business license, legal representative's certificateand authorization documents for the representative handling theaccount (all stamped by the company).

3.公司的营业执照、法定代表人证明书和处理账户的代表的授权文件的复印件（均需公司加盖公章）。

4.Documentsproving that the investor is part of the equity incentive plan, suchas approval of the plan and certification from the company (stampedby the listed company).

4.证明投资者是股权激励计划一部分的文件，如计划的批准和公司的认证（由上市公司加盖公章）。

5.Aself-regulatory commitment letter signed by the employee.

5.员工签署的自律承诺书。

Whatare the management requirements for A-share securities accounts forforeign individuals?

外国个人A股证券账户的管理要求是什么？

Whenhandling an account opening for foreign individuals working in China,the account opening agent must confirm that the securities regulatorof the investor's country (or region) has established a regulatorycooperation mechanism with the China Securities RegulatoryCommission.

在为中国工作的外国个人处理账户开户时，账户开户代理人必须确认投资者所在国家（或地区）的证券监管机构已与中国证监会建立了监管合作机制。

Accountscannot be opened for investors whose country's regulatory agency hasnot signed a regulatory cooperation memorandum with the CSRC. Todate, the CSRC has signed bilateral regulatory cooperation agreementswith 67 countries and regions.

对于其国家监管机构未与中国证监会签署监管合作备忘录的投资者，不得开立账户。迄今为止，中国证监会已与67个国家和地区签署了双边监管合作协议。

Foreignindividuals must comply with relevant laws such as the Securities Lawof China and the Measure for the Administration of SecuritiesRegistration and Settlement when opening and using A-share securitiesaccounts, as well as with CSRC regulations and the business rules ofthe securities company, ensuring truthful reporting and properdocumentation submissions.

外国个人在开立和使用A股证券账户时，必须遵守《中华人民共和国证券法》、《证券登记结算管理办法》等相关法律，以及中国证监会的规定和证券公司的业务规则，确保如实申报和正确提交文件。