Network Access Guideline for the International Members and Customers of Shanghai Gold Exchange

Transcription

1 Network Access Guideline for the International Members and Customers of Shanghai Gold Exchange Chapter I General Provisions Article 1 This Guideline is formulated in accordance with the relevant regulations of the Shanghai Gold Exchange (hereinafter referred to as the Exchange) and the Shanghai International Gold Exchange Co., Ltd. (hereinafter referred to as the SGEI) to standardize the management of international members and customers access to the Exchange s network. Article 2 International Members refer to Special Members of the Exchange duly registered outside of People s Republic of China (including those registered in Hong Kong, Macao or Taiwan) or within a region otherwise recognized by the Exchange who may trade precious metals on or through the Exchange with its approval. Article 3 International Members are categorized into Full Members (Type A) and Proprietary Trading Members (Type B) by their business scopes. Type A Members may carry out both proprietary and brokerage businesses while Type B Members may only conduct proprietary business. Article 4 International Customers refer to investors trading on or through the Exchange via Type A Members who serve as brokers. 1

2 Article 5 This Guideline primarily serves as a guidebook for international members and customers access to the Exchange s network. This Guideline is general and does not cover all technical details. International members and customers shall implement the specific requirements set forth in the Guideline, and optimize other technical management simultaneously. Chapter II Application Criteria and Procedures Article 6 International members and customers shall apply for access to the Exchange s network for their future transaction activities. Article 7 Type A Members shall access the Exchange s international trading system via leased lines while Type B Members are allowed to access the system via leased lines and/or the Internet. Members accessing the system via the leased lines shall submit the Application Form of International Member s Access to the Exchange s Network (original copy) with true, valid, accurate and complete information. The form template will be provided by the Exchange. Article 8 Type A Members are recommended to apply for two leased lines for main and backup, or one leased line for main and other access for backup. In the initial stages, Type A Members shall connect with one single line for access to the Exchange s system for proprietary trading and 2

3 shall use additional lines for back-up purposes. Type B Members may apply for either one single leased line or two lines (one main line and one backup line) based on their own assessment. International Members applying for two leased lines are recommended to select two different local telecom carriers (the Exchange supports access from the Shanghai Branch of China Telecom and the Shanghai Branch of China Unicom). Article 9 International members leased lines can be connected to the Exchange s network through: 1) their Chinese branches or subsidiaries under the same legal entity, 2) a third-party telecom carrier with public credibility, or 3) a point-to-point leased line. Article 10 The Exchange shall make a decision regarding the approval/disapproval of the application within 5 working days upon receiving the complete set of application documents. Article 11 Upon receiving notification of approval from the Exchange, the international members shall apply to the local telecom carriers for access to the Exchange s network via the leased lines, and complete the relevant processes including access and testing of the leased line, and opening of the network permission, under the assistance of the Exchange. Article 12 Type B Members may apply to the Exchange at their discretion for accessing its international trading system through Internet, 3

4 and shall assure relevant security management. Article 13 International customers may access the Exchange s international trading system by either direct or indirect connection. Direct connection refers to the way the international customers access the Exchange s international trading system through the Internet, whereas the indirect connection refers to international customers access to the Exchange s system through a Type A Member s secondary system. Chapter III Technical Management Article 14 International members shall designate professional technical personnel for routine operation and maintenance of the leased lines, and for relevant liaison work with the Exchange. Article 15 Type A Members shall ensure that the leased lines (the main line and the backup line) they deploy are capable of automatic and smooth switching to and from each other, and the facilities connected to the leased lines be free of single-point failure. Article 16 International members shall implement real-time monitoring of leased lines, keep records of their usage, and report timely to the Exchange any abnormal conditions that arise in the connection. Article 17 The bandwidth of the international members leased lines shall 4

5 meet the Exchange s specific requirement of no less than 2Mb. If the monthly average of daily peak bandwidth usage exceeds 80 percent, the bandwidth capacity of those leased lines must be expanded. Article 18 International members shall report any alteration of leased lines to the Exchange in advance by . If any coordination work is needed from the Exchange for such alteration, international members shall report to the Exchange in written forms, specifying all requests clearly. Article 19 Type A Members shall conduct periodic tests of switching between the main and backup leased lines. These tests should be scheduled at a minimum once in every six months. Chapter IV Supplementary Provisions Article 20 Matters not addressed in this Guideline shall be governed by relevant technical management rules of the Exchange and the SGEI. Article 21 The Exchange shall reserve the right to interpret and modify this Guideline. Article 22 This Guideline shall come into effect as of the date of its promulgation. 5

6 Appendix 1: Procedures for International Members Application for Access to the Exchange s Network 1. Submit the Application Form of International Member s Access to the Exchange s Network (Appendix 4) 1) Fill out the form and send it to the Exchange s Technical Maintenance & Support Department by and confirm its effectiveness by or telephone (Please note that one form corresponds to one leased line). 2) Send the form (original copy, stamped with official seal) to the Exchange s Technical Maintenance & Support Department within 10 business days via courier. Note: and courier address is specified in Appendix 2 (Contact Information for International Members Application for Access to the Exchange s Network) 2. Apply to the local telecom carriers for the installation of new lines Required information is as follows: 6

7 1) The address of International Member for installation refers to the physical address of the IT machine room where the applicant s network equipment and servers are loaded. 2) The type of the new line is SDH or MSTP. 3) The address for the Exchange end for SDH or MSTP connection: 8 th floor, No. 99 Middle Henan Road (No. 2 Middle Shandong Road), Shanghai (Note: Currently, the Exchange end only supports connections from the Shanghai Branch of China Telecom and the Shanghai Branch of China Unicom). 4) SDH port for the Exchange end: Optical fiber-155 M; MSTP port for the Exchange end: electrical port-multiplexer. 5) Cost & Payment: The installation fees for both ends and monthly information fees shall be borne by the applicant. 3. Verification by the telecom carriers Telecom carriers will call the Exchange s Technical Maintenance & Support Department for verification of the application information they receive. 4. Testing of new lines 1) Inform the Exchange: After confirming the completion of opening the lines and testing conditions with the telecom carriers, the 7

8 applicant shall send notification to the Exchange s Technical Maintenance & Support Department by with the contact details of the personnel responsible for line testing. 2) Reply from the Exchange: Upon receiving the notification by , the Exchange s Technical Maintenance & Support Department shall respond with the configuration information of the lines and schedule a time for line testing. 3) Line testing: the Exchange s Technical Maintenance & Support Department shall coordinate with the applicant for line testing and line connectivity testing at an agreed time (See Item 1 Testing of Connectivity of Lines under Network Testing of Appendix 5). 4) Network testing: Applicant carries out network testing if they meet the conditions of items 2-4 (Members with Main and Backup Leased Lines) or item 2 (Members with Single Leased Line) under Appendix Confirmation of completion 1) Once the network testing is completed, the applicant shall fill out the Confirmation Sheet of the Completion of the Leased Line for International Members (Appendix 5), and send it (one scanned copy, stamped with official seal) to the Exchange s Technical Maintenance & Support Department by . 8

9 2) The Exchange shall confirm the installation of the leased lines upon receiving the Confirmation Sheet of the Completion of the Leased Line for International Members, and provide follow-up operation and maintenance support. 6. Opening of network access permissions International members may contact the Exchange s Technical Maintenance & Support Department for the opening of network access permissions. Contact person of the Exchange: Mr. Zhiwei Hu Tel: huzhiwei@sge.com.cn 9

10 Appendix 2: Contact Information for International Members Application for Access to the Exchange s Network Contact person of the Exchange: Mr. Fenglei Fei Tel: Mobile: feifl@sge.com.cn Mailing address: 8 th Floor, No.99 Middle Henan Road, , Shanghai, China 24hr service lines: ,

11 Appendix 3: Flow Chart of International Members Application for Access to the Exchange s Network 11

12 Appendix 4: Application Form of International Member s Access to the Exchange s Network (Template) Shanghai Gold Exchange: This is to certify that (name of the applicant) (member code: ) applies for the installation of a SDH MSTP leased line to access to the SGE network. Business contact: Tel: Technical contact: Tel: Telecom carrier: Address of International Member end for the leased line: Payment method: All fees shall be borne by (name of the applicant) Functions of the leased line: (main line/backup line/single-line connection) The bandwidth of the leased lines shall be no less than 2Mb. Official seal of the applicant 12 (MM) (DD) (YYYY)

13 Appendix 5: Confirmation Sheet of the Completion of the Leased Line for International Members Entity name Contact information Data of the leased line Main line: Backup line: SDH // MSTP SDH // MSTP Network testing (items 1-4 applicable to members with both of main and backup leased lines, and items 1-2 applicable to members with single line) Testing of connectivity of lines Testing of connectivity of front end processor Testing of the router orientation Testing of switching between main and backup lines Normal Normal Normal Normal Abnormal Abnormal Abnormal Abnormal Signature of the operator Date: MM/DD/YYYY Official Seal Date: MM/DD/YYYY Notes 13