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Application for Securities Borrowing in Demand out of Strategic Transactions
Date of Application:
Account Number of Borrower:
Ref. No. of Letter of Entrustment for Securities Borrowing:
Arbitrage: Securities borrowing in demand for holding long position of the following on a same day
□ index futures
□ index options
□ options of a single stock
□ call (put) warrants
□ convertible bonds issued overseas
□ convertible bonds issued domestically
□ ADR/GDR
□ borrowing of stock portfolio in demand for in-kind subscription of ETF and sale of ETF on the same day
□ ETF
□ borrowing of ETF in demand for in-kind redemption of ETF and sale of the stock portfolio on the same day
□ stock portfolio representing ETF
Hedge: Securities borrowing in demand for holding long position of the following
□ index futures
□ index options
□ options of a single stock
□ put warrants
□ convertible bonds issued overseas
□ convertible bonds issued domestically
□ ADR/GDR
□ ETF
□ stock portfolio representing ETF
Exercise: Securities borrowing in demand for exercise of the following products
□ options
□ call warrants
Others as approved by competent authorities:
□ particulars specified in ETF trust agreement
Remarks:The scope of strategic transactions in demand for stocks that may be borrowed by QFII should be convertible corporate bonds issued overseas/domestically, depositary receipts issued overseas, call (put) warrants, arbitrage and hedge of ETF, and exercise of call warrants.
Application for Securities Borrowing in Demand out of Strategic Transactions
Date of Application:
Account Number of Borrower:
Ref. No. of Letter of Entrustment for Securities Borrowing:
Arbitrage: Securities borrowing in demand for holding long position of the following on a same day
□ index futures
□ index options
□ options of a single stock
□ call (put) warrants
□ convertible bonds issued overseas
□ convertible bonds issued domestically
□ ADR/GDR
□ borrowing of stock portfolio in demand for in-kind subscription of ETF and sale of ETF on the same day
□ ETF
□ borrowing of ETF in demand for in-kind redemption of ETF and sale of the stock portfolio on the same day
□ stock portfolio representing ETF
Hedge: Securities borrowing in demand for holding long position of the following
□ index futures
□ index options
□ options of a single stock
□ put warrants
□ convertible bonds issued overseas
□ convertible bonds issued domestically
□ ADR/GDR
□ ETF
□ stock portfolio representing ETF
Exercise: Securities borrowing in demand for exercise of the following products
□ options
□ call warrants
Others as approved by competent authorities:
□ particulars specified in ETF trust agreement
Remarks:The scope of strategic transactions in demand for stocks that may be borrowed by QFII should be convertible corporate bonds issued overseas/domestically, depositary receipts issued overseas, call (put) warrants, arbitrage and hedge of ETF, and exercise of call warrants.
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