境外金融机构管理办法 PROCEDURES FOR THE ADMINISTRATION OF CH
文章来源: 文章作者: 发布时间:2007-04-21 00:49 字体: [ ]  进入论坛
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中国人民银行第1号令
(Approved by the State Council on March 12, 1990 and promulgated1 by Decree No. 1 of the People's Bank of China on April 13, 1990)
颁布日期:19900413  实施日期:19900413  颁布单位:人民银行

  Article 1 These Procedures are formulated2 for the purpose of strengthening the administration of Chinese financial institutions outside China and ensuring the sound development of financial undertakings3.

  Article 2 All banking4 and non-banking financial institutions inside China (hereinafter collectively referred to as “domestic financial institutions”), all non-financial corporations, enterprises and other organizations inside China (hereinafter collectively referred to as “domestic non-financial institutions”), all Chinese-invested banking and non-banking financial institutions outside China (hereinafter collectively referred to as “Chinese-invested financial institutions abroad”), and all Chinese-invested non-financial corporations, enterprises and other organizations outside China (hereinafter collectively referred to as “Chinese-invested non-financial institutions abroad”) that wish to invest in the establishment or purchase of a financial institution abroad shall abide5 by these Procedures. The term “financial institutions abroad” referred to in the preceding paragraph denotes institutions which are established or purchased abroad by domestic financial institutions or non-financial institutions, or Chinese-invested financial institutions or non-financial institutions abroad and which engage in such financial business operations as deposits, loans, discount of negotiable instruments, settlements, trust investment, financial lease, guarantees, insurance and deals in securities.

  Article 3 The organ to examine, approve and administer the establishment or purchase of financial institutions abroad is the People's Bank of China.

  Article 4 A domestic financial institution that applies for the establishment or purchase of a financial institution abroad shall satisfy the following requirements:

  1) it has been approved by the State Council or the People's Bank of China, has been registered in accordance with the law and holds a Licence of Financial Business Operations issued by the People's Bank of China;

  2) it has been permitted by the State Administration of Foreign Exchange Control to handle foreign exchange operations, holds a Licence of Foreign Exchange Operations issued by the State Administration of Foreign Exchange Control and has the experience in handling foreign exchange operations for over three years and the required specialized6 personnel;

  3) it possesses legitimate7 sources of funds in foreign exchange; and

  4) it possesses a foreign exchange fund of its own equivalent to no less than 80 million Renminbi yuan.

  Article 5 A domestic non-financial institution that applies for the establishment or purchase of a financial institution abroad shall satisfy the following requirements:

  1) it is a large corporation or enterprise that has been established upon approval by the department concerned and has been registered in accordance with the law;

  2) it has a group corporation or group enterprise or other large enterprise operating abroad with a relatively8 solid foundation and good prospect9 of making profit;

  3) it has been permitted by the department in charge to establish a financial institution abroad and possesses a foreign exchange fund of its own equivalent to no less than 100 million Renminbi yuan; and

  4) it possesses the specialized personnel required for handling financial and foreign exchange operations.

  Article 6 A Chinese-invested financial institution or non-financial institution abroad that applies for the establishment or purchase of a financial institution abroad shall satisfy the following requirements:

  1) it has been established abroad upon approval by the department in charge in accordance with the law, possessing the official document of approval and the documents certifying10 that it is engaged in legitimate business operations in the locality;

  2) the Chinese-invested financial institutions in the locality where the intended financial institution is to be established or purchased are in a relatively weak position, which renders it necessary to establish the financial institution; and

  3) the application submitted is in conformity11 with the law of the country or region concerned.

  Article 7 The application for the establishment or purchase of a financial institution abroad shall be submitted for approval in accordance with the following provisions:

  1) the application by a domestic financial institution for the establishment abroad of a representative agency, a branch office, or for the establishment abroad of a Chinese-invested financial institution or a Chinese-foreign joint12 financial institution, or for the purchase of a financial institution abroad, shall be submitted to the People's Bank of China for approval;

  2) the application by a domestic non-financial institution for the establishment abroad of a Chinese-invested financial institution or a Chinese-foreign joint financial institution or for the purchase of a financial institution abroad shall, upon verification and consent by the department in charge which has solicited13 the opinions of the Ministry14 of Foreign Economic Relations and Trade, be submitted to the People's Bank of China for approval; and

  3) the application by a Chinese-invested financial institution or non-financial institution abroad for the establishment or purchase of a financial institution abroad shall, after its domestic investing unit has solicited the opinions of the Ministry of Foreign Economic Relations and Trade, be submitted to the People's Republic of China for approval.

  Article 8 For the establishment or purchase of a financial institution abroad, the domestic investing unit concerned shall apply to the People's Bank of China. The application shall clearly state the name of the financial institution to be established or purchased, its business scope, the conditions, and the necessity therefor. After the content has been examined, verified and filed as an item for processing by the People's Bank of China, the application shall be submitted in accordance with the provisions of these Procedures.

  The People's Bank of China shall examine the application submitted by the applying unit and shall, within three months of receipt of the same, make the decision as to whether or not it will grant the approval.

  Article 9 After the establishment or purchase of a financial institution abroad has been approved, the domestic investing unit concerned shall, on the strength of the document of approval by the People's Bank of China and in accordance with the pertinent15 provisions, approach the State Administration of Foreign Exchange Control and go through the procedures to remit16 abroad the required foreign exchange.

  Article 10 A domestic financial institution that applies for the establishment abroad of a representative agency shall submit the following documents:

  1) an application duly signed by the chief person in charge of the applying unit, which shall include the name of the proposed representative agency, its address, the name of the chief representative and his/her curriculum vitae; and

  2) the estimated expense of the proposed agency and the certificate of its source of foreign exchange.

  Article 11 A domestic financial institution that applies for the establishment abroad of a branch office shall submit the following documents:

  1) an application duly signed by the chief person in charge of the applying unit, which shall include the name of the proposed branch office, its address, the amount of its operating funds, the type(s) of business operations, the curriculum vitae of the chief person in charge;

  2) the statements of assets and liabilities, the statements of loss and profit, and the financial reports of the applying unit for the three years prior to the submission17 of the application;

  3) the feasibility study report; and

  4) other relevant documents required by the People's Bank of China.

  Article 12 A domestic financial institution or non-financial institution or a Chinese-invested financial institution or non-financial institution abroad that applies for the establishment abroad of a Chinese-invested financial institution shall submit the following documents:

  1) an application duly signed by the chief person in charge of the applying unit, which shall include the name of the proposed Chinese-invested financial institution, its address, its registered capital and the actual capital, the source(s) of funds, the type(s) of business operations and the curriculum vitae of the chief person in charge;

  2) the statements of assets and liabilities, the statements of loss and profit, and the financial reports of the applying unit for the three years prior to the submission of the application;

  3) the feasibility study report; and

  4) other relevant documents required by the People's Bank of China.

  Article 13 A domestic financial institution or non-financial institution or a Chinese-invested financial institution or non-financial institution abroad that applies for the establishment abroad of a Chinese-foreign joint financial institution shall submit the following documents:

  1) an application duly signed by the chief person in charge of the applying unit, which shall include the name of the proposed Chinese-foreign joint financial institution, its registered capital and the actual capital, the type(s) of business operations, the names of the respective investing parties and the percentage of their respective capital contributions, the source(s) of funds of the Chinese investor(s), and the curriculum vitae of the chief person in charge;

  2) the statements of assets and liabilities, the statements of loss and profit, and the financial reports of the applying unit for the three years prior to the submission of the application;

  3) the agreement, the contract and the articles of association of the joint financial institution initialled by the respective investing parties thereto;

  4) the feasibility study report; and

  5) other relevant documents required by the People's Bank of China.

  Article 14 A domestic financial institution or non-financial institution or a Chinese-invested financial institution or non-financial institution abroad that applies for the purchase of a financial institution abroad shall submit the following documents:

  1) an application duly signed by the chief person in charge of the applying unit, which shall include the name of the financial institution that is to be purchased, its address, the articles of association, the total capital and total assets, the state of affairs of the institution and its personnel, its financial position, the reasons of the purchase and the objectives thereof, the amount of the fund needed for the purchase, and the source(s) of the fund;

  2) the statements of assets and liabilities, the statements of loss and profit, and the financial reports of the applying unit for the three years prior to the submission of the application;

  3) the feasibility study report; and

  4) other relevant documents required by the People's Bank of China.

  Article 15 If a financial institution abroad is to make any one of the following changes, its domestic investing unit shall in advance submit an application to the People's Bank of China for examination and approval:

  1) if a representative agency is to be upgraded to a branch office;

  2) if a representative agency, or a branch office, or a Chinese-invested financial institution or a Chinese-foreign joint financial institution is to be disbanded; and

  3) if the percentages of the shares held by the respective investing parties to a Chinese-foreign joint financial institution are to be adjusted or if the capital is to be increased.

  Article 16 The domestic investing unit of a financial institution abroad shall, prior to the date of July 31 every year, submit to the provincial19 branch bank of the People's Bank of China in the locality where it is situated20 the work report of the financial institution abroad for the first half of the year, which shall include the changes in the personnel of the institution, a breakdown21 of the deposits and loans, a breakdown of the money sent abroad or received therefrom; a breakdown of the import and export settlements, an analysis of the projects of investment and an analysis of the business transactions in foreign exchange, securities and gold. The afore-said report shall then be transmitted to the People's Bank of China by its provincial branch bank.

  Article 17 The domestic investing unit of a financial institution abroad shall, prior to the date of March 31 every year, submit to the provincial branch bank of the People's Bank of China the statement of assets and liabilities, the statement of loss and profit, and the annual work report of the financial institution abroad for the previous fiscal22 year, which shall then be transmitted to the People's Bank of China by its provincial branch bank.

  Article 18 The People's Bank of China and its various provincial branch banks shall have the right to exercise supervision23 over the work of the financial institutions abroad.

  Article 19 If any party, in violation24 of the provisions in Article 7 of these Procedures, establishes or purchases a financial institution abroad without the approval of the People's Bank of China, the People's Bank of China shall have the right to freeze a corresponding amount of the foreign exchange of the domestic investing unit thereof or of its Renminbi deposits, order it to disband the financial institution abroad or set a deadline for it to make up for the procedures of application for examination and approval, and conduct close investigations25 into the liability of the chief person in charge of the unit and of those who are directly responsible therefor. If any party violates the provisions in Article 15 of these Procedures, the People's Bank of China shall have the right to freeze a corresponding amount of the foreign exchange of the domestic investing unit thereof or of its Renminbi deposits and order it to stop the business operations of the financial institution abroad for rectification26. If any party violates the provisions in Articles 16 and 17 of these Procedures, to a serious extent, the People's Bank of China may impose a fine of 100,000 Renminbi yuan or less on the domestic investing unit thereof.

  Any party violates the regulations concerning foreign exchange control shall be penalized27 in accordance with the pertinent provisions of the State.

  Article 20 If any party has, before these Procedures go into effect, established or purchased a financial institution abroad without approval of the People's Bank of China, it shall, within the time limit prescribed by the People's Bank of China, make up for the procedures of application for examination and approval.

  Article 21 These Procedures shall not apply to the enterprises with foreign investment inside China.

  Article 22 The People's Bank of China shall be responsible for the interpretation28 of these Procedures.

  Article 23 These Procedures shall go into effect as of the date of promulgation29.



点击收听单词发音收听单词发音  

1 promulgated a4e9ce715ee72e022795b8072a6e618f     
v.宣扬(某事物)( promulgate的过去式和过去分词 );传播;公布;颁布(法令、新法律等)
参考例句:
  • Hence China has promulgated more than 30 relevant laws, statutes and regulations. 中国为此颁布的法律、法规和规章多达30余项。 来自汉英非文学 - 白皮书
  • The shipping industry promulgated a voluntary code. 航运业对自律守则进行了宣传。 来自辞典例句
2 formulated cfc86c2c7185ae3f93c4d8a44e3cea3c     
v.构想出( formulate的过去式和过去分词 );规划;确切地阐述;用公式表示
参考例句:
  • He claims that the writer never consciously formulated his own theoretical position. 他声称该作家从未有意识地阐明他自己的理论见解。 来自《简明英汉词典》
  • This idea can be formulated in two different ways. 这个意思可以有两种说法。 来自《现代汉英综合大词典》
3 undertakings e635513464ec002d92571ebd6bc9f67e     
企业( undertaking的名词复数 ); 保证; 殡仪业; 任务
参考例句:
  • The principle of diligence and frugality applies to all undertakings. 勤俭节约的原则适用于一切事业。
  • Such undertakings require the precise planning and foresight of military operations. 此举要求军事上战役中所需要的准确布置和预见。
4 banking aySz20     
n.银行业,银行学,金融业
参考例句:
  • John is launching his son on a career in banking.约翰打算让儿子在银行界谋一个新职位。
  • He possesses an extensive knowledge of banking.他具有广博的银行业务知识。
5 abide UfVyk     
vi.遵守;坚持;vt.忍受
参考例句:
  • You must abide by the results of your mistakes.你必须承担你的错误所造成的后果。
  • If you join the club,you have to abide by its rules.如果你参加俱乐部,你就得遵守它的规章。
6 specialized Chuzwe     
adj.专门的,专业化的
参考例句:
  • There are many specialized agencies in the United Nations.联合国有许多专门机构。
  • These tools are very specialized.这些是专用工具。
7 legitimate L9ZzJ     
adj.合法的,合理的,合乎逻辑的;v.使合法
参考例句:
  • Sickness is a legitimate reason for asking for leave.生病是请假的一个正当的理由。
  • That's a perfectly legitimate fear.怀有这种恐惧完全在情理之中。
8 relatively bkqzS3     
adv.比较...地,相对地
参考例句:
  • The rabbit is a relatively recent introduction in Australia.兔子是相对较新引入澳大利亚的物种。
  • The operation was relatively painless.手术相对来说不痛。
9 prospect P01zn     
n.前景,前途;景色,视野
参考例句:
  • This state of things holds out a cheerful prospect.事态呈现出可喜的前景。
  • The prospect became more evident.前景变得更加明朗了。
10 certifying fb18ddb0ac22a2a37ae82d54cdb1d1e7     
(尤指书面)证明( certify的现在分词 ); 发证书给…; 证明(某人)患有精神病; 颁发(或授予)专业合格证书
参考例句:
  • Signed Commercial in quintuplicate, certifying merchandise to be of Chinese origin. 签署商业发票一式五份,证明产品的原产地为中国。
  • Other documents certifying the truthfulness of the contents of the advertisements. (三)确认广告内容真实性的其他证明文件。
11 conformity Hpuz9     
n.一致,遵从,顺从
参考例句:
  • Was his action in conformity with the law?他的行动是否合法?
  • The plan was made in conformity with his views.计划仍按他的意见制定。
12 joint m3lx4     
adj.联合的,共同的;n.关节,接合处;v.连接,贴合
参考例句:
  • I had a bad fall,which put my shoulder out of joint.我重重地摔了一跤,肩膀脫臼了。
  • We wrote a letter in joint names.我们联名写了封信。
13 solicited 42165ba3a0defc35cb6bc86d22a9f320     
v.恳求( solicit的过去式和过去分词 );(指娼妇)拉客;索求;征求
参考例句:
  • He's already solicited their support on health care reform. 他已就医疗改革问题请求他们的支持。 来自辞典例句
  • We solicited ideas from Princeton University graduates and under graduates. 我们从普林斯顿大学的毕业生与大学生中征求意见。 来自辞典例句
14 ministry kD5x2     
n.(政府的)部;牧师
参考例句:
  • They sent a deputation to the ministry to complain.他们派了一个代表团到部里投诉。
  • We probed the Air Ministry statements.我们调查了空军部的记录。
15 pertinent 53ozF     
adj.恰当的;贴切的;中肯的;有关的;相干的
参考例句:
  • The expert made some pertinent comments on the scheme.那专家对规划提出了一些中肯的意见。
  • These should guide him to pertinent questions for further study.这些将有助于他进一步研究有关问题。
16 remit AVBx2     
v.汇款,汇寄;豁免(债务),免除(处罚等)
参考例句:
  • I hope you'll remit me the money in time.我希望你能及时把钱汇寄给我。
  • Many immigrants regularly remit money to their families.许多移民定期给他们的家人汇款。
17 submission lUVzr     
n.服从,投降;温顺,谦虚;提出
参考例句:
  • The defeated general showed his submission by giving up his sword.战败将军缴剑表示投降。
  • No enemy can frighten us into submission.任何敌人的恐吓都不能使我们屈服。
18 investors dffc64354445b947454450e472276b99     
n.投资者,出资者( investor的名词复数 )
参考例句:
  • a con man who bilked investors out of millions of dollars 诈取投资者几百万元的骗子
  • a cash bonanza for investors 投资者的赚钱机会
19 provincial Nt8ye     
adj.省的,地方的;n.外省人,乡下人
参考例句:
  • City dwellers think country folk have provincial attitudes.城里人以为乡下人思想迂腐。
  • Two leading cadres came down from the provincial capital yesterday.昨天从省里下来了两位领导干部。
20 situated JiYzBH     
adj.坐落在...的,处于某种境地的
参考例句:
  • The village is situated at the margin of a forest.村子位于森林的边缘。
  • She is awkwardly situated.她的处境困难。
21 breakdown cS0yx     
n.垮,衰竭;损坏,故障,倒塌
参考例句:
  • She suffered a nervous breakdown.她患神经衰弱。
  • The plane had a breakdown in the air,but it was fortunately removed by the ace pilot.飞机在空中发生了故障,但幸运的是被王牌驾驶员排除了。
22 fiscal agbzf     
adj.财政的,会计的,国库的,国库岁入的
参考例句:
  • The increase of taxation is an important fiscal policy.增税是一项重要的财政政策。
  • The government has two basic strategies of fiscal policy available.政府有两个可行的财政政策基本战略。
23 supervision hr6wv     
n.监督,管理
参考例句:
  • The work was done under my supervision.这项工作是在我的监督之下完成的。
  • The old man's will was executed under the personal supervision of the lawyer.老人的遗嘱是在律师的亲自监督下执行的。
24 violation lLBzJ     
n.违反(行为),违背(行为),侵犯
参考例句:
  • He roared that was a violation of the rules.他大声说,那是违反规则的。
  • He was fined 200 dollars for violation of traffic regulation.他因违反交通规则被罚款200美元。
25 investigations 02de25420938593f7db7bd4052010b32     
(正式的)调查( investigation的名词复数 ); 侦查; 科学研究; 学术研究
参考例句:
  • His investigations were intensive and thorough but revealed nothing. 他进行了深入彻底的调查,但没有发现什么。
  • He often sent them out to make investigations. 他常常派他们出去作调查。
26 rectification NUwx3     
n. 改正, 改订, 矫正
参考例句:
  • The process of producing a shift of the average value is called rectification. 产生平均值移动的过程叫做整流。
  • This effect, in analogy to its radiofrequency counterpart, is known as optical rectification. 同它的射频对应物相仿,这种现象称为光学整流。
27 penalized c88c37e7a177d0a347c36794aa587e91     
对…予以惩罚( penalize的过去式和过去分词 ); 使处于不利地位
参考例句:
  • You will be penalized for poor spelling. 你拼写不好将会受到处罚。
  • Team members will be penalized for lateness. 队员迟到要受处罚。
28 interpretation P5jxQ     
n.解释,说明,描述;艺术处理
参考例句:
  • His statement admits of one interpretation only.他的话只有一种解释。
  • Analysis and interpretation is a very personal thing.分析与说明是个很主观的事情。
29 promulgation d84236859225737e91fa286907f9879f     
n.颁布
参考例句:
  • The new law comes into force from the day of its promulgation. 新法律自公布之日起生效。 来自《简明英汉词典》
  • Article 118 These Regulations shall come into effect from the day of their promulgation. 第一百一十八条本条例自公布之日起实施。 来自经济法规部分
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