X. Supplementary Provisions

56. CBRC Shanghai Bureau reserves the right to the final interpretation of the Guideline.

57. The Guideline shall enter into effect as of the date of issue. Commercial banks dealing with the PFTZ-related business in Shanghai before the Guideline is issued shall conduct self-evaluation according to the Guideline as well and submit the report before June 10, 2014. Commercial banks that are found at variance with the Guideline in self-evaluation are not allowed to continue the PFTZ-related business.

Annex 2:
The Monitoring and Reporting System
for Banking Institutions in the China (Shanghai) Pilot Free Trade Zone (Interim)

I. What to Be Reported

1. T1_ Business Development in the China (Shanghai) Pilot Free Trade Zone (Interim) (referred to hereafter as the "T1", see Table 1). From the perspective of customers, this table reports data of the business conducted by Shanghai-based banking institutions in the China (Shanghai) Pilot Free Trade Zone (referred to hereafter as the “PFTZ”). The aforementioned PFTZ-related business refers to banking and financial services provided by banking institutions in Shanghai to customers in the PFTZ (including residents and non-residents), including services provided by companies both in and outside the PFTZ.

Banking institutions operating PFTZ-related business in Shanghai shall make use of shared information from government bodies or regulatory authorities and information acquired during business development, accurately identify and understand the scope of customers in the PFTZ, and classify them with corresponding codes. Specifically, companies in the PFTZ, financial institutions and other institutions (including administrative bodies, public institutions and other institutions) shall be classified by the registration address, including legal person status, branches and primary-level institutions; individuals in the PFTZ shall be classified by the registration address of the company they are employed by or they own.

2. T2_Information of Banking Institutions in the China (Shanghai) Pilot Free Trade Zone (Interim) (referred to hereafter as the "T2", see Table 2). From the perspective of institutions, this table reports all business data of all banking institutions physically based in the PFTZ, which include legal entities and branches of all banking institutions physically registered in the PFTZ. All business includes banking services provided to customers both in and outside the PFTZ. A bank branch in the PFTZ whose high-level office is not located in the PFTZ is also classified as a banking institution in the PFTZ, and its business data shall also be reported via this table.

II. Who to Report

The monitoring and reporting scope for banking institutions in the PFTZ covers all of their business data within the jurisdiction of Shanghai. In order to maintain unity, both T1 and T2 shall be reported by Shanghai branches of banking institutions. In case a banking institution has not established a branch in Shanghai, its head office in Shanghai or relevant municipal-level management unit shall do the report. Reporting units shall monitor the reporting of PFTZ-related business and ensure quality control rather than just be a channel of reporting.

The banking institution that has more than one municipal branch in Shanghai or has different management structures and financial arrangement for the PFTZ-related business shall, with the support of its head office, coordinate with relevant departments to clearly identify the reporting unit and carefully develop PFTZ-related business and complete the reporting work.