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Arbitrage Guideline

Introduction

The review and approval of application for arbitrage trading positions refers to the business in which a Non-Futures Firm Member (Non-FF Member), an Overseas Special Non-Brokerage Participant (OSNBP) or a Client submits, via an account opening institution, an application for arbitrage trading positions to the Shanghai International Energy Exchange (the Exchange) in the Exchange’s electronic arbitrage trading position management system in accordance with the Trading Rules of the Shanghai International Energy Exchange. The Exchange will review and render a decision on the application based on the application materials submitted by such Non-FF Member, OSNBP or Client. An account opening institution refers to a Futures Firm Member (FF Member), an OSNBP, or an Overseas Intermediary, etc.

Procedures Involved
The review of application for arbitrage trading positions involves one (1) procedure, i.e. reviewing and deciding on the application for arbitrage trading positions.

Description for review and approval of application for arbitrage trading positions

(1)An FF Member, an OSNBP or an account opening institution submits an application for arbitrage trading in the Exchange’s electronic arbitrage trading position management system;
(2)The Exchange carries out the review and approval procedure according to relevant regulations; and
(3)The FF Member, the OSNBP or the account opening institution obtains the reviewing results via the Exchange’s electronic arbitrage trading position management system, and then prints and sends such results to its Client.


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