商业银行设立基金管理公司试点管理办法_法律英语

商业银行设立基金管理公司试点管理办法

文章来源：文章作者：发布时间：2007-07-07 03:26 字体： [大中小]　进入论坛

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中国人民银行、中国银行业监督管理委员会、中国证券监督管理委员会公告[2005]第4号

（Promulgated¹ by the People‘s Bank of China， China Banking² Regulatory Commission and China Securities Regulatory Commission on 20 February 2005 and effective as of the same date.）

颁布日期：20050220 　实施日期：20050220 　颁布单位：中国人民银行、中国银行业监督管理委员会、中国证券监督管理委员会

　　PART ONE　GENERAL PROVISIONS

　　Article 1　These Procedures have been formulated⁴ in accordance with laws and regulations such as the PRC， Company Law， the PRC， Securities Investment Funds Law， the PRC， People‘s Bank of China Law， the PRC， Banking Regulation Law and the PRC， Commercial Banking Law in order to implement⁵ the State Council， Promoting the Reform and Opening Up and the Stable Development of the Capital Market Several Opinions （Guo Fa [2004] No. 3） and ensure the smooth implementation⁶ of the pilot projects for the establishment of fund management companies by commercial banks.

　　Article 2　For the purposes of these Procedures， the term “commercial banks” shall mean State-owned commercial banks and share system commercial banks established in the People‘s Republic of China upon approval of the China Banking Regulatory Commission （CBRC）。

　　Article 3　For the purposes of these Procedures， the term “fund management companies” shall mean enterprise legal persons established in the People‘s Republic of China with direct capital contribution from commercial banks as major shareholders⁸ and upon approval of the China Securities Regulatory Commission （CSRC） to engage in fund management business.

　　Article 4　Fund management companies established by commercial banks shall raise and manage funds in accordance with the scope of business stipulated⁹ in the PRC， Securities Investment Funds Law. During the initial pilot project period， they may raise and manage money market funds and bond funds and invest in fixed¹⁰ income securities， and may also raise and manage other types of funds.

　　Article 5　The People‘s Bank of China shall， in conjunction with the CBRC and the CSRC， be responsible for the overall coordination¹¹ of the establishment of fund management companies by commercial banks.

　　PART TWO　APPLICATION PROCEDURE FOR EXAMINATION AND APPROVAL

　　Article 6　Commercial banks that apply to invest in a fund management company shall submit materials to the CBRC in accordance with the relevant provisions of the CBRC， and shall at the same time submit a duplicate of the same to the People‘s Bank of China during the pilot project period. The CBRC shall examine the qualification of the commercial bank for investing in investment fund management company for the purpose of regulating the overall risks of the commercial bank， and shall issue a regulatory opinion that permits external investment by the commercial bank according to law.

　　Article 7　Commercial banks that are issued with the regulatory opinion of the CBRC agreeing to investment in a fund management company shall， in accordance with the Administration of Securities Investment Fund Management Companies Procedures and other relevant laws and regulations， submit to the CSRC the materials relevant to the establishment of fund management company. The CSRC shall carry out examination and approval according to law.

　　During the pilot project period， commercial banks shall at the same time submit a duplicate of the materials relevant to the establishment of fund management company to the People‘s Bank of China.

　　Article 8　Commercial banks are encouraged to establish fund management companies by means of equity¹² diversification¹³.

　　Article 9　In addition to the clauses stipulated herein， the conditions and shareholder⁷ qualification in respect of fund management companies established by commercial banks shall comply with the relevant provisions of the Administration of Securities Investment Fund Management Companies Procedures.

　　PART THREE　RISK CONTROL

　　Article 10　Fund management companies established by commercial banks shall set up sound corporate¹⁴ governance structure. Commercial banks shall， in strict adherence¹⁵ to the principle of “segregation¹⁶ of business between legal persons”， set up an effective risk segregation system between themselves and the fund management company established with their capital contribution and report such system to the CBRC for record filing.

　　Article 11　Commercial banks shall assume limited liability for the fund management company they establish to the extent of the amount of their capital contribution and exercise shareholders‘ rights through the shareholders’ meeting of the fund management company， and may not bypass the shareholders‘ meeting and the board of directors to interfere¹⁷ with the operation and management of the company.

　　Article 12　Commercial banks and the fund management company they establish shall not， in violation¹⁸ of State provisions， mutually exchange the information and details of the clients， and the business transactions between them shall not prejudice the legitimate¹⁹ and lawful²⁰ rights and interests of clients.

　　Article 13　The working personnel of the fund management company established by a commercial bank must terminate their payroll²¹ and labour contract relationship with the commercial bank， and may not concurrently²² hold positions in the other‘s organizations. The senior management personnel of fund management companies shall satisfy the relevant provisions of the Administration of Securities Investment Fund Management Companies Procedures.

　　Article 14　The fund assets managed by the fund management company established by a commercial bank shall not be used to purchase the negotiable securities issued by its shareholders or underwritten by its shareholders during the underwriting period.

　　Article 15　If a commercial bank provides financing support to the funds managed by the fund management company， it shall comply with the relevant State provisions.

　　Article 16　Commercial banks may not act as a custodian²³ for the funds managed by the fund management company it establishes.

　　Article 17　Commercial banks may sell the funds issued by the fund management company they establish as an agent， but may not offer more favourable²⁴ terms than those for transactions of the same kind with non-affiliated²⁵ third parties in arrangement of sales period， the rates of service charge and participation²⁶ in development of fund products， discriminate²⁷ against other funds sold on an agency basis， or engage in inappropriate acts of selling and unfair competition.

　　Article 18　Commercial banks may not enter into transactions with the fund management company they establish in the interbank bond market on terms more favourable than those offered in transactions of the same kind with non-affiliated third parties.

　　Article 19　The implementing²⁸ rules for affiliated transactions between commercial banks and the fund management companies they establish shall be formulated jointly²⁹ by the CBRC and the CSRC.

　　The fund management companies established by commercial banks and the commercial banks that establish fund management companies shall carry out information disclosure in accordance with the relevant provisions of the CSRC and the CBRC respectively.

　　PART FOUR　SUPERVISION³⁰ AND ADMINISTRATION

　　Article 20　The types of funds raised by fund management companies established by commercial banks shall be verified and approved by the CSRC.

　　Article 21　The CBRC shall formulate³ the relevant risk control regulatory indices and measurement standards for commercial banks that establish fund management companies， and implement regulation on their consolidated³¹ balance sheets.

　　Article 22　The CSRC shall implement regulation of fund management companies established by commercial banks and the funds raised and managed by them in accordance with the law to ensure that fund assets are used in a lawful manner and that the lawful rights and interests of fund shareholders are not harmed.

　　Article 23　The People‘s Bank of China shall carry out record filing and regulation of the entry of the fund management companies established by commercial banks into the national interbank bond market in accordance with the law.

　　Article 24　Fund management companies established by commercial banks and commercial banks that establish fund management companies shall submit materials respectively in accordance with the relevant provisions of the CSRC and the CBRC， and shall submit a duplicate of the materials to the People‘s Bank of China during the pilot project period.

　　Article 25　The People‘s Bank of China， the CBRC and the CSRC shall circulate relevant information to one another in a timely manner and set up a regulatory information sharing system in the course of implementation of regulation of fund management companies established by commercial banks according to law.

　　PART FIVE　SUPPLEMENTARY³² PROVISIONS

　　Article 26　Takeover of fund management companies by commercial banks shall be handled by reference to these Procedures.

　　Article 27　The People‘s Bank of China， the CBRC and the CSRC shall jointly select the banks for pilot project， and shall jointly determine the arrangement of pilot project work upon consultation³³ in accordance with the status of the pilot project and the needs of market development.

　　Article 28　The People‘s Bank of China， the CBRC and the CSRC shall be jointly responsible for interpreting these Procedures.

　　Article 29　These Procedures shall be implemented³⁴ as of 20 February 2005.

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收听单词发音

1 promulgated
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 banking
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。

3 formulate
v.用公式表示；规划；设计；系统地阐述
参考例句：
He took care to formulate his reply very clearly.他字斟句酌，清楚地做了回答。 I was impressed by the way he could formulate his ideas.他陈述观点的方式让我印象深刻。

4 formulated
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》

5 implement
n.(pl.)工具，器具；vt.实行，实施，执行
参考例句：
Don't undertake a project unless you can implement it.不要承担一项计划，除非你能完成这项计划。 The best implement for digging a garden is a spade.在花园里挖土的最好工具是铁锹。

6 implementation
n.实施，贯彻
参考例句：
Implementation of the program is now well underway.这一项目的实施现在行情看好。

7 shareholder
n.股东，股票持有人
参考例句：
The account department have prepare a financial statement for the shareholder.财务部为股东准备了一份财务报表。 A shareholder may transfer his shares in accordance with the law.股东持有的股份可以依法转让。

8 shareholders
n.股东( shareholder的名词复数 )
参考例句：
The meeting was attended by 90% of shareholders. 90%的股东出席了会议。 the company's fiduciary duty to its shareholders 公司对股东负有的受托责任

9 stipulated
vt.& vi.规定；约定adj.[法]合同规定的
参考例句：
A delivery date is stipulated in the contract. 合同中规定了交货日期。 Yes, I think that's what we stipulated. 对呀，我想那是我们所订定的。来自辞典例句

10 fixed
adj.固定的，不变的，准备好的；(计算机)固定的
参考例句：
Have you two fixed on a date for the wedding yet?你们俩选定婚期了吗？ Once the aim is fixed,we should not change it arbitrarily.目标一旦确定，我们就不应该随意改变。

11 coordination
n.协调，协作
参考例句：
Gymnastics is a sport that requires a considerable level of coordination.体操是一项需要高协调性的运动。 The perfect coordination of the dancers and singers added a rhythmic charm to the performance.舞蹈演员和歌手们配合得很好，使演出更具魅力。

12 equity
n.公正，公平，（无固定利息的）股票
参考例句：
They shared the work of the house with equity.他们公平地分担家务。 To capture his equity,Murphy must either sell or refinance.要获得资产净值，墨菲必须出售或者重新融资。

13 diversification
n.变化，多样化；多种经营
参考例句：
The seminar was to discuss diversification of agriculture. 该研讨会讨论的是农业多种经营。来自辞典例句 Firm diversification is increasingly achieved by the means of takeover and merger. 通过接管和兼并，厂商经营范围日益多样化。来自辞典例句

14 corporate
adj.共同的，全体的；公司的，企业的
参考例句：
This is our corporate responsibility.这是我们共同的责任。 His corporate's life will be as short as a rabbit's tail.他的公司的寿命是兔子尾巴长不了。

15 adherence
n.信奉，依附，坚持，固着
参考例句：
He was well known for his adherence to the rules.他因遵循这些规定而出名。 The teacher demanded adherence to the rules.老师要求学生们遵守纪律。

16 segregation
n.隔离，种族隔离
参考例句：
Many school boards found segregation a hot potato in the early 1960s.在60年代初，许多学校部门都觉得按水平分班是一个棘手的问题。 They were tired to death of segregation and of being kicked around.他们十分厌恶种族隔离和总是被人踢来踢去。

17 interfere
v.(in)干涉，干预；(with)妨碍，打扰
参考例句：
If we interfere, it may do more harm than good.如果我们干预的话，可能弊多利少。 When others interfere in the affair,it always makes troubles. 别人一卷入这一事件，棘手的事情就来了。

18 violation
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。

19 legitimate
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。

20 lawful
adj.法律许可的，守法的，合法的
参考例句：
It is not lawful to park in front of a hydrant.在消火栓前停车是不合法的。 We don't recognised him to be the lawful heir.我们不承认他为合法继承人。

21 payroll
n.工资表，在职人员名单，工薪总额
参考例句：
His yearly payroll is $1.2 million.他的年薪是120万美元。 I can't wait to get my payroll check.我真等不及拿到我的工资单了。

22 concurrently
adv.同时地
参考例句：
He was given two twelve month sentences to run concurrently. 他两罪均判12个月监禁，同期执行。来自《简明英汉词典》 He was given two prison sentences, to run concurrently. 他两罪均判监禁，同期执行。来自辞典例句

23 custodian
n.保管人，监护人；公共建筑看守
参考例句：
Benitez believes his custodian is among the top five in world football.贝尼特斯坚信他的门将是当今足坛最出色的五人之一。 When his father died his uncle became his legal custodian.他父亲死后，他叔叔成了他的法定监护人。

24 favourable
adj.赞成的，称赞的，有利的，良好的，顺利的
参考例句：
The company will lend you money on very favourable terms.这家公司将以非常优惠的条件借钱给你。 We found that most people are favourable to the idea.我们发现大多数人同意这个意见。

25 affiliated
adj. 附属的, 有关连的
参考例句：
The hospital is affiliated with the local university. 这家医院附属于当地大学。 All affiliated members can vote. 所有隶属成员都有投票权。

26 participation
n.参与，参加，分享
参考例句：
Some of the magic tricks called for audience participation.有些魔术要求有观众的参与。 The scheme aims to encourage increased participation in sporting activities.这个方案旨在鼓励大众更多地参与体育活动。

27 discriminate
v.区别，辨别，区分；有区别地对待
参考例句：
You must learn to discriminate between facts and opinions.你必须学会把事实和看法区分出来。 They can discriminate hundreds of colours.他们能分辨上百种颜色。

28 implementing
v.实现( implement的现在分词 )；执行；贯彻；使生效
参考例句：
-- Implementing a comprehensive drug control strategy. ――实行综合治理的禁毒战略。来自汉英非文学 - 白皮书 He was in no hurry about implementing his unshakable principle. 他并不急于实行他那不可动摇的原则。来自辞典例句

29 jointly
ad.联合地，共同地
参考例句：
Tenants are jointly and severally liable for payment of the rent. 租金由承租人共同且分别承担。 She owns the house jointly with her husband. 她和丈夫共同拥有这所房子。

30 supervision
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。

31 consolidated
a.联合的
参考例句：
With this new movie he has consolidated his position as the country's leading director. 他新执导的影片巩固了他作为全国最佳导演的地位。 Those two banks have consolidated and formed a single large bank. 那两家银行已合并成一家大银行。

32 supplementary
adj.补充的，附加的
参考例句：
There is a supplementary water supply in case the rain supply fails.万一主水源断了，我们另外有供水的地方。 A supplementary volume has been published containing the index.附有索引的增补卷已经出版。

33 consultation
n.咨询；商量；商议；会议
参考例句：
The company has promised wide consultation on its expansion plans.该公司允诺就其扩展计划广泛征求意见。 The scheme was developed in close consultation with the local community.该计划是在同当地社区密切磋商中逐渐形成的。

34 implemented
v.实现( implement的过去式和过去分词 )；执行；贯彻；使生效
参考例句：
This agreement, if not implemented, is a mere scrap of paper. 这个协定如不执行只不过是一纸空文。来自《现代汉英综合大词典》 The economy is in danger of collapse unless far-reaching reforms are implemented. 如果不实施影响深远的改革，经济就面临崩溃的危险。来自辞典例句

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