全国银行间债券市场债券交易流通审核规则_法律英语

全国银行间债券市场债券交易流通审核规则

文章来源：文章作者：发布时间：2007-07-16 00:22 字体： [大中小]　进入论坛

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中国人民银行公告[2004]第19号

颁布日期：20041207 　实施日期：20041215 　颁布单位：中国人民银行

　　Announcement of the People's Bank of China

　　[2004] NO.19

　　With a view to improving the administrative¹ examination and approval efficiency， strengthening the market transparency， protecting the lawful² rights and interests of investors⁴， and promote the normalized and healthy development of interbank bond market， the People's Bank of China formulates⁵ the Rules of Verification of Bond Trading and Negotiation⁶ in Countryside Inter-bank Bond Market； it is thereby⁷ published.

　　The People's Bank of China

　　December 7， 2004

　　The Rules of Verification of Bond Trading and Negotiation in Countryside Interbank Bond Market

　　Article 1 The Rules are formulated⁸ with a view to normalizing the verification of bond trading and negotiation in the interbank bond market， and maintaining the lawful rights and interests of investors， in accordance with such laws， regulations and rules as the Law of the People's Republic of China on the People's Bank of China， the Administrative License⁹ Law of the People's Republic of China， the Measures for the Implementation¹⁰ of the People's Bank of China of Administrative License， and the Measures for the Administration of Bond Trading in Countryside Inter-bank Bond Market.

　　Article 2 The bond in the Rules shall have the same meaning as the bond in the Measures for the Administration of Bond Trading in Countryside Inter-bank Bond Market promulgated¹¹ by the People's Bank of China.

　　Article 3 A bond issuer （hereinafter referred to as the issuer） applying for trading and negotiation of the bond issued by it in the inter-bank bond market （hereinafter referred to as the trading and negotiation ） shall report term by term to the People's Bank of China for verification.

　　The trading and negotiation of short-tem financing bond of securities companies shall be executed in accordance with the Measures for Administration of Short-term Financing Bond of Security Companies （announcement of the People's Bank of China， [2004] No. 12）

　　Article 4 An issuer applying for trading and negotiation of the bond issued by it shall satisfy the following conditions：

　　（1） The bond has been issued legally；

　　（2） The credit-debit relationship has been established and the registration¹² thereof has been completed；

　　（3） A relatively¹³ sound governance structure and system have been possessed¹⁴ and no material violation¹⁵ of laws， regulations and rules occurred during the two years prior to the application.

　　（4） The actual amount issued of the bond shall not be less than 500 Million RMB；

　　（5） An individual investor³ shall not hold more than 30% of the amount issued of the bond； and

　　（6） Other conditions provided for by the People's Bank of China.

　　Article 5 An issuer applying for trading and negotiation of the bond issued by it shall submit following documents：

　　（1） The application report for the trading and negotiation；

　　（2） The documents of competent authorities for the approval of the issuance of the bond；

　　（3） The Article of Association or issuing proclamation for the issuance of the bond；

　　（4） The report of the information of the issuance of the bond；

　　（5） The register of the holders¹⁶ ranking top 30 in the amount held （for the holders less than 30， the register of the actual holders）；

　　（6） The audited¹⁷ financial statements of the issuer of two years prior to application and the account of the material litigation the issuer is involved in； and

　　（7） Other materials to be submitted as required by the People's Bank of China.

　　Article 6 Where the applying material is not complete or not in accordance with the form prescribed by law， the People's Bank of China shall， on spot or within five days， inform once the applicant¹⁸ the whole contents to be supplemented； where the applying material is complete and in accordance with the prescribed form， or the issuer submit all supplementary¹⁹ applying material as required， the People's Bank of China shall accept the application. Where the People's Bank of China decides to accept， it shall make written decision of approval or rejection²⁰ within 20 days from the acceptance date.

　　Article 7 The People's Bank of China approves the application for trading and negotiation of bond， which does not indicate that it has made any judgment²¹ on the invest value and risk of the bond in that term； the investor shall be keen on the basic status of the issuer and the information disclosed， make independent investment judgment and bear the investment risk independently.

　　Article 8 The issuer shall， within 7 workdays from the receipt of the approval document， submit simultaneously²² the trading and negotiation proclamation to the National Inter-bank Borrowing Center （hereinafter referred to as the inter-bank center） and the Central National Debts Registration and Settlement Limited Company （hereinafter referred to as the central settlement company）； the contents of the proclamation shall include items 3 and 6 of Article 5 of this Rules， the credit rating report for the bond of that term and the account of the arrangement of the tracing rating thereof， the information of the credit of the guarantor and the guarantee contract （if it is a guaranteed issuance）。

　　Article 9 The central settlement company can， after it receives the approval document， instantly determine the basic elements of trading and negotiation of the bond and inform the inter-bank center. The inter-bank center and the central settlement company shall， on the second working day after they receive the trading and negotiation proclamation of the issuer， publicize the following information to the market participants and handle the trading and negotiation of the bond on the third workday：

　　（1） The document of the People's Bank of China for the approval of the trading and negotiation of the bond；

　　（2） The trading and negotiation proclamation of the bond；

　　（3） The basic elements of trading and negotiation of the bond； and

　　（4） Other information to be publicized as required by the People's Bank of China.

　　Article 10 During the period of trading and negotiation of the bond， the issuer shall disclose information continually to the market participants as provided for by the People's Bank of China.

　　Article 11 The issuer， when submitting bond applying documents and disclosing information according to provisions， shall observe the following basic requirements：

　　（1） The applying documents for trading and negotiation of the bond and the documents disclosed to the market participants that are submitted by the issuer according to provisions shall be real， precise and complete， and shall not include false record， misleading representation or material omission²³；

　　（2） The information disclosed by the issuer shall include the trading and negotiation proclamation， annual report， interim²⁴ report and the outcome of tracing credit rating of the bond；

　　（3） The information disclosed by the issuer concerning such issues as financial accounting²⁵， law， asset evaluation²⁶ shall be examined， validated²⁷ and given written opinion by such intermediate agencies as certificate public accountants， lawyer's office and asset evaluation agency that have relevant business qualification.

　　Article 12 During the trading and negotiation period of the bond， the issuer and relevant insider shall not disclose the contents before publicizing the information as required to be disclosed by the issuer.

　　Article 13 During the trading and negotiation period of the bond， the issuer shall， with 4 months after the completion of every fiscal²⁸ year （where there are special circumstances， it can be prolonged after the approval of the People's Bank of China）， disclose the annual report to the market participants.

　　Article 14 The issuer shall publicize， without delay， to the market participants and report to the People's Bank of China the material events occurred during the trading and negotiation period of the bond.

　　The material events referred to in this article include but are not limited to the following events：

　　（1） The occurrence of heavy debts or breach²⁹ of contract such as failure to pay due debts；

　　（2） The occurrence of big loss or incurrence³⁰ of big damnification；

　　（3） The capital reduction，merger， division， dissolution， trusteeship， suspension of business and application for bankruptcy³¹ of the issuer；

　　（4） The material litigation involving the issuer； or

　　（5） The guarantor changes its legal entity³²， or great changes take place in the operation， finance of the guarantor （in cases of guaranteed issuance）。

　　Article 15 The issuer shall agree on the arrangements about the tracing rating with the credit rating agency， and publicize the tracing rating report of previous year to market participants before July 31 every year during the bond trading negotiation period.

　　Article 16 The disclosure of the issuer's information shall be carried out through the website of Chinamoney， Chinabond or the other news media designated by the People's Bank of China.

　　Article 17 The issuer shall publicize relevant matters concerning interests payment or redemption of the bond no later than the third workday prior to the day of interests payment or expiration³³ of the bond.

　　Article 18 During the bond trading negotiation period， the issuer shall not conduct bond trading by taking the bond issued by itself as object asset， except in the redemption in advance by the issuer in accordance with relevant provisions or contracts.

　　Article 19 The trading and negotiation of the bond approved to trade and negotiate shall be terminated on the third workday prior to the expiration date.

　　Article 20 The participating party to the inter-bank bond market that has one of the following circumstances shall be punished by the People's Bank of China in accordance with article 46 of the Law of the People's Republic of China on the People's Bank of China. In accordance with the provisions of article 5 and 27 of the Administrative Punishments Law of the People's Republic of China， the participating party to the market that actively³⁴ and in time correct the violation acts may be given a lighter³⁵ or mitigated³⁶ punishment， those that do not result in harm or damage may be exempted³⁷ from administrative punishment.

　　（1） The issuer conducts bond trade by taking the bond issued by itself as the object asset without authorization³⁸ or in a disguised form； the issuer does not perform its information disclosure liability as provided for by the People's Bank of China； or during the period of trading and negotiation of the bond， the issuer or relevant insiders reveal the information as required to be disclosed； or any act of the issuer violating other provisions of this Rules；

　　（2） The participants to the inter-bank bond market trade without authorization the bond that is publicized legally but not approved to trade and negotiate； or

　　（3） The inter-bank center and central settlement company do not handle trading and negotiation of the bond in accordance with rules or arrange for trading and negotiation of the bond without authorization； the inter-bank center and central settlement company violate the rules of information disclosure；

　　Article 21 The verification on the trading and negotiation of central government bond， central bank bond or development financial bond of government will not be conducted term by term； the issues of trading and negotiation are handled directly by the inter-bank center and central settlement company in accordance with the time and procedure provided for by the People's Bank of China. But the bond mentioned above shall subject to the requirements of items 1， 2， and 4 of article 4 of the Rules.

　　The issuer of the development financial bond of government shall report the issuing information to the People's Bank of China within 5 workdays after the completion of the registration of the claim and debt.

　　The issuer of central government bond and central bank bond is exempted from the information disclosure and credit rating liability， and the issuer of the development financial bond of government is exempted from the credit rating liability.

　　Article 22 The power to interpret the present Rules shall be vested in the People's Bank of China.

　　Article 23 The Rules shall enter into force as of December 15， 2004.

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收听单词发音

1 administrative
adj.行政的，管理的
参考例句：
The administrative burden must be lifted from local government.必须解除地方政府的行政负担。 He regarded all these administrative details as beneath his notice.他认为行政管理上的这些琐事都不值一顾。

2 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。

3 investor
n.投资者，投资人
参考例句：
My nephew is a cautious investor.我侄子是个小心谨慎的投资者。 The investor believes that his investment will pay off handsomely soon.这个投资者相信他的投资不久会有相当大的收益。

4 investors
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

5 formulates
v.构想出( formulate的第三人称单数 )；规划；确切地阐述；用公式表示
参考例句：
Article Eleven SEPA formulates the overall plans of the training. 第十一条环保总局统筹规划培训工作。来自互联网 This paper carries on the experimental analysis and formulates some anti-disturbance measures. 文章对电磁干扰进行了实验分析，并有针对性地制定一些抗干扰措施。来自互联网

6 negotiation
n.谈判，协商
参考例句：
They closed the deal in sugar after a week of negotiation.经过一星期的谈判，他们的食糖生意成交了。 The negotiation dragged on until July.谈判一直拖到7月份。

7 thereby
adv.因此，从而
参考例句：
I have never been to that city,,ereby I don't know much about it.我从未去过那座城市，因此对它不怎么熟悉。 He became a British citizen,thereby gaining the right to vote.他成了英国公民，因而得到了投票权。

8 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》

9 license
n.执照，许可证，特许；v.许可，特许
参考例句：
The foreign guest has a license on the person.这个外国客人随身携带执照。 The driver was arrested for having false license plates on his car.司机由于使用假车牌而被捕。

10 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。

11 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

12 registration
n.登记，注册，挂号
参考例句：
Marriage without registration is not recognized by law.法律不承认未登记的婚姻。 What's your registration number?你挂的是几号？

13 relatively
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。

14 possessed
adj.疯狂的；拥有的，占有的
参考例句：
He flew out of the room like a man possessed.他像着了魔似地猛然冲出房门。 He behaved like someone possessed.他行为举止像是魔怔了。

15 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。

16 holders
支持物( holder的名词复数 )；持有者；（支票等）持有人；支托（或握持）…之物
参考例句：
Slaves were mercilessly ground down by slave holders. 奴隶受奴隶主的残酷压迫。 It is recognition of compassion's part that leads the up-holders of capital punishment to accuse the abolitionists of sentimentality in being more sorry for the murderer than for his victim. 正是对怜悯的作用有了认识，才使得死刑的提倡者指控主张废除死刑的人感情用事，同情谋杀犯胜过同情受害者。

17 audited
v.审计，查账( audit的过去式和过去分词 )
参考例句：
The accounts have to be audited by a firm of external auditors. 这些账目必须由一家外聘审计员的公司来稽查。来自《简明英汉词典》 E. g. few if any charities collection publishes audited accounts. 例如很少义款收集有公布经过查核的帐目。来自互联网

18 applicant
n.申请人，求职者，请求者
参考例句：
He was the hundredth applicant for the job. 他是第100个申请这项工作的人。 In my estimation, the applicant is well qualified for this job. 据我看, 这位应征者完全具备这项工作的条件。

19 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。

20 rejection
n.拒绝，被拒，抛弃，被弃
参考例句：
He decided not to approach her for fear of rejection.他因怕遭拒绝决定不再去找她。 The rejection plunged her into the dark depths of despair.遭到拒绝使她陷入了绝望的深渊。

21 judgment
n.审判；判断力，识别力，看法，意见
参考例句：
The chairman flatters himself on his judgment of people.主席自认为他审视人比别人高明。 He's a man of excellent judgment.他眼力过人。

22 simultaneously
adv.同时发生地，同时进行地
参考例句：
The radar beam can track a number of targets almost simultaneously.雷达波几乎可以同时追着多个目标。 The Windows allow a computer user to execute multiple programs simultaneously.Windows允许计算机用户同时运行多个程序。

23 omission
n.省略，删节；遗漏或省略的事物，冗长
参考例句：
The omission of the girls was unfair.把女孩排除在外是不公平的。 The omission of this chapter from the third edition was a gross oversight.第三版漏印这一章是个大疏忽。

24 interim
adj.暂时的，临时的；n.间歇，过渡期间
参考例句：
The government is taking interim measures to help those in immediate need.政府正在采取临时措施帮助那些有立即需要的人。 It may turn out to be an interim technology.这可能只是个过渡技术。

25 accounting
n.会计，会计学，借贷对照表
参考例句：
A job fell vacant in the accounting department.财会部出现了一个空缺。 There's an accounting error in this entry.这笔账目里有差错。

26 evaluation
n.估价，评价；赋值
参考例句：
I attempted an honest evaluation of my own life.我试图如实地评价我自己的一生。 The new scheme is still under evaluation.新方案还在评估阶段。

27 validated
v.证实( validate的过去式和过去分词 )；确证；使生效；使有法律效力
参考例句：
Time validated our suspicion. 时间证实了我们的怀疑。来自《现代英汉综合大词典》 The decade of history since 1927 had richly validated their thesis. 1927年以来的十年的历史，充分证明了他们的论点。来自辞典例句

28 fiscal
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。

29 breach
n.违反，不履行；破裂；vt.冲破，攻破
参考例句：
We won't have any breach of discipline.我们不允许任何破坏纪律的现象。 He was sued for breach of contract.他因不履行合同而被起诉。

30 incurrence
招致
参考例句：

31 bankruptcy
n.破产；无偿付能力
参考例句：
You will have to pull in if you want to escape bankruptcy.如果你想避免破产，就必须节省开支。 His firm is just on thin ice of bankruptcy.他的商号正面临破产的危险。

32 entity
n.实体，独立存在体，实际存在物
参考例句：
The country is no longer one political entity.这个国家不再是一个统一的政治实体了。 As a separate legal entity,the corporation must pay taxes.作为一个独立的法律实体，公司必须纳税。

33 expiration
n.终结，期满，呼气，呼出物
参考例句：
Can I have your credit card number followed by the expiration date?能告诉我你的信用卡号码和它的到期日吗? This contract shall be terminated on the expiration date.劳动合同期满，即行终止。

34 actively
adv.积极地，勤奋地
参考例句：
During this period all the students were actively participating.在这节课中所有的学生都积极参加。 We are actively intervening to settle a quarrel.我们正在积极调解争执。

35 lighter
n.打火机，点火器；驳船；v.用驳船运送；light的比较级
参考例句：
The portrait was touched up so as to make it lighter.这张画经过润色，色调明朗了一些。 The lighter works off the car battery.引燃器利用汽车蓄电池打火。

36 mitigated
v.减轻，缓和( mitigate的过去式和过去分词 )
参考例句：
The cost of getting there is mitigated by Sydney's offer of a subsidy. 由于悉尼提供补助金，所以到那里的花费就减少了。来自辞典例句 The living conditions were slightly mitigated. 居住条件稍有缓解。来自辞典例句

37 exempted
使免除[豁免]( exempt的过去式和过去分词 )
参考例句：
His bad eyesight exempted him from military service. 他因视力不好而免服兵役。 Her illness exempted her from the examination. 她因病而免试。

38 authorization
n.授权，委任状
参考例句：
Anglers are required to obtain prior authorization from the park keeper.垂钓者必须事先得到公园管理者的许可。 You cannot take a day off without authorization.未经批准你不得休假。

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