Account Opening Conditions and Required Information for Financial Futures

1、 Initial financial applicationfuturesThe transaction code must meet the following conditions
（1）The available fund balance in the investor's margin account at the end of the trading day before applying for a financial futures trading code is greater than RMB50 10000 yuan ；
（2）Investors pass the financial futures knowledge test, and the passing score is80Fen;
（3）Investors must have accumulated10Trading days20Financial futures simulation trading records with more than (including) transactions, or those within the past three years10Futures trading transaction records with more than (including) transactions;
（4）Investors have no record of poor integrity;
（5）The suitability evaluation for natural person investors shall not be lower than70Minute.

2、 Information required for initial application of financial futures trading codes  
（1）Proof of available fund balance in customer futures margin account
The available fund balance in the margin account at the end of the previous trading day before applying for a transaction code is greater than RMB50 10000 yuan

（2）Proof of Basic Information of Individual Customers
① Scanned copies of the original and back ID cards of individual clients
② Copy of the front and back of the individual customer's ID card
③ Original scanned or photocopy of individual client's educational certificate (graduation certificate or degree certificate) (Optional)

（3）Proof of Basic Information of General Unit Customers
① Scanned copy of enterprise business license copy
② Scanned copy of enterprise organization code certificate
③ Copy of the original and duplicate copies of the enterprise business license
④ Copy of the original and duplicate of the enterprise organization code certificate
⑤ Copy of National Tax Registration Certificate
⑥ Copy of account opening permit
⑦ Copy of the front and back of the second generation ID cards of the legal representative, authorized person for account opening, person issuing instructions, fund transfer person, and settlement confirmation person
Note: All provided documents must be stamped with the company seal in order to be valid

（4）Proof of investment experience (≤20 Score (whichever is higher)
① Original settlement statement for futures trading (within three years)10 More than (including) transaction settlement statements, stamped with the settlement special seal of the futures company
② Financial futures simulation trading experience (cumulative) 10 Trading days20 More than (including) transaction records
③ Original financial spot statement for the past three years (stamped with relevant institutional business seal)

（5）Personal customer financial status certificate (≤50 Divided by (taking financial assets and the one with higher annual income)
Proof of financial assets within the past month（100 Get it if it's over ten thousand yuan 50 Points)
① Original bank certificates for domestic and foreign currency fixed deposits, current passbooks, certificates of deposit, etc. (stamped with the business seal of domestic banks in China)
② Original equity certificates for stocks, funds, and futures (original statement stamped with the special seal of the securities business department, original fund share certificate stamped with the special seal of the fund company, original transaction settlement statement stamped with the special seal of the futures company)
③ Original certificate of bond assets (treasury bond bonds, corporate bonds, corporate bonds, convertible bonds, etc. with the special seal of the bank or securities company)
④ goldOriginal asset certificate (paper gold with bank business seal)
⑤ Original proof of assets for wealth management products (plans) (relevant agreements signed with commercial banks, securities companies, trust companies, etc., or asset proof documents issued by the aforementioned institutions)
Proof of income（30 Get it if it's over ten thousand yuan 50 Points)
Original proof of my annual income
① The latest personal income tax payment form issued by the tax registration department
② Bank issued bank receipts for payroll payment for the past three consecutive months or more Payment of salary on behalf of current account book and cash flow, etc
③ Other income proof: stamped by the personnel department or labor management department of the employer Proof of income from official seal

（6）Proof of Personal Customer Integrity (≤15）(Optional items provided)
Original personal credit report or other credit certification documents issued by the Credit Reporting Center of the People's Bank of China within the past two months

（7）General corporate clients also need to provide:
Original proof documents of internal control, risk management and other relevant systems involved in financial futures trading (stamped with official seal)

3、 Financial Futures Second Application Trading Code Conditions
    Investors applying for financial futures secondary trading codes in our company need to ensure that the financial trading codes in other futures companies are true and valid

4、 Information required for financial futures secondary application trading codes
（1）Customer financial futures secondary application code certificate (select either option ① or ②)
① Customers provide settlement statements containing financial futures transactions (stamped with business seal)
② Open query port of China International Capital Corporation
③ Other supporting documents specified by the exchange

（2）Proof of Basic Customer Information
① Already a company product customer
Customers need to fill out the Transaction Code Application Form
② Non company product customers
When customers apply for a financial futures trading code again, they must meet the company's requirements for opening a commodity futures account
（3）Investor Education and Risk Disclosure
Fill in《stock market indexSpecial Disclosure of Futures Trading Risks, Instructions for Participating in treasury bond Futures Trading