Investor Presentaiton
QFII/RQFII Documentation Requirement
Qualified institutions should apply to CSRC for QFII/R-QFII license and subsequently to SAFE for investment quota.
QFII
Required Documentation
Regulator
Purpose of
Application
• CSRC QFII / RQFII Application Form
CSRC
License
SAFE
Quota
RQFII
Registration forms of QFII / RQFII team
Investment Plan
Copy of Business License
Copy of Financial License
• Certificate of proof that key personnel of applicant satisfy requirements for qualification of practice in the country where the
applicant is domiciled
• Statement on any substantial penalties by regulators in the last three years
• Statement on fund sources and domestic securities investment plan
Audited financial statements for the latest year
Power of attorney signed with PRC custodian
Other documents required by CSRC
For Basic quota filing:
Explanation Letter for application of quota filing
QFII Registration Form
• Audited balance sheets for the past 3 years/last year (or audit reports for securities AUM, etc.)
Securities Investment business license issued by CSRC
• Evidence document for approved RQFII quota (if applicable)
For quota application (if the asked quota > basic quota):
Application letter
Audited balance sheets for the past 3 years/last year (or audit reports for securities AUM, etc.)
Other materials required by SAFE
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