III. When and How to Report

The reporting time shall be within the last ten days of a month, and shall be postponed in case of statutory holidays. All reporting units shall use Excel 2003 version and submit reporting statements to corresponding regulatory department via the information network of CBRC Shanghai Bureau.

The first reporting time of all banking institutions in Shanghai is June 10, 2014. At that time all data information of April and May 2014 shall also be reported.

IV. Format Requirement

1. The table shall clearly indicate who has filled in the table and who has verified the information contained in the table, and their contact information shall be provided.

2. Aside from where needs to be filled in, no changes shall be made to the tables, no sheet shall be added and no lines or rows shall be deleted. Where institutions have added new services/products targeting customers in the PFTZ during the reporting period, or have made major operation or management adjustments to its PFTZ-related business, or events of serious risk have happened, explanations shall be made in a formal written report.

3. The reporting tables shall be named as: T1_full name of the institution_xxxxxxxx, T2_full name of the institution_xxxxxxxx. Specifically: “_” is an English underscore in DBC case, and no space shall be added before or after it; the full name of the institution must be the name on its financial institution license, and no abbreviation is allowed; “xxxxxxxx” is the reporting date, such as “20140531”.

V. Arrangement during Trial Period

Since detailed rules and regulations of various financial support policies in the PFTZ are under way, and various links to support the reporting procedures still need to be improved, a trial period of two months is applicable. During the trial period, the regulatory authority will not evaluate poor reporting performance caused by miscomprehension of the rules and regulations. However, banking institutions in Shanghai must fill in and verify the tables in real earnest and ensure correct logic of data validation. The regulatory authority shall take strict measures to regulate wrong validation processes.

Upon the end of the trial period, the regulatory authority shall, according to the Law of the People's Republic of China on Banking Regulation and Supervision, Law of the People's Republic of China on Commercial Banks and relevant accounting policies of CBRC, mete out administrative punishment or take corresponding regulatory measures towards irregular reporting behaviors.

VI. Feedback Channel

In order to improve timely communication and feedback, banking institutions in Shanghai may report problems encountered when filling in the forms via the information network of CBRC Shanghai Bureau, and then submit the file to the specific branch or information statistics department of foreign banks. The name of the file shall be: “feedback of the monitoring and reporting system in the PFTZ+the name of the institution”. CBRC Shanghai Bureau shall handle properly the feedback, revise and improve the reporting system in a timely manner.