国际开发机构人民币债券发行管理暂行办法_法律英语

国际开发机构人民币债券发行管理暂行办法

文章来源：文章作者：发布时间：2007-04-11 03:15 字体： [大中小]　进入论坛

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国际开发机构人民币债券发行管理暂行办法
中国人民银行、财政部、国家发展和改革委员会、中国证券监督管理委员会公告（2005）第5号

　　为了规范国际开发机构发行人民币债券的行为，促进我国债券市场进一步发展，中国人民银行、财政部、国家发展和改革委员会和中国证券监督管理委员会共同制定了《国际开发机构人民币债券发行管理暂行办法》，现予公布实施。

中国人民银行、财政部、国家发展和改革委员会、中国证券监督管理委员会
二00五年二月十八日

　　附件：国际开发机构人民币债券发行管理暂行办法

　　第一条　为规范国际开发机构人民币债券的发行，保护债券持有人的合法权益，根据《中华人民共和国中国人民银行法》和《中华人民共和国证券法》等法律、法规，制定本办法。

　　第二条　本办法所指国际开发机构是指进行开发性贷款和投资的国际开发性金融机构。

　　第三条　本办法所称国际开发机构人民币债券（以下简称人民币债券）是指国际开发机构依法在中国境内发行的、约定在一定期限内还本付息的、以人民币计价的债券。

　　第四条　在中国境内申请发行人民币债券的国际开发机构应向财政部等窗口单位递交债券发行申请，由窗口单位会同中国人民银行、国家发展和改革委员会、中国证券监督管理委员会等部门审核后，报国务院同意。

　　第五条　国家发展和改革委员会会同财政部根据国家产业政策、外资外债情况、宏观经济和国际收支状况，对人民币债券的发行规模及所筹资金用途进行审核。

　　第六条　中国人民银行对人民币债券发行利率进行管理。

　　第七条　国家外汇管理局根据有关外汇管理规定负责对发债资金非居民人民币专用账户及其结、售汇进行管理。

　　第八条　财政部及国家有关外债、外资管理部门对发债所筹资金发放的贷款和投资进行管理。

　　第九条　国际开发机构申请在中国境内发行人民币债券应具备以下条件：

　　（一）财务稳健，资信良好，经在中国境内注册且具备人民币债券评级能力的评级公司评级，人民币债券信用级别为AA级以上；

　　（二）已为中国境内项目或企业提供的贷款和股本资金在十亿美元以上；

　　（三）所募集资金用于向中国境内的建设项目提供中长期固定资产贷款或提供股本资金，投资项目符合中国国家产业政策、利用外资政策和固定资产投资管理规定。主权外债项目应列入相关国外贷款规划。

　　第十条　国际开发机构申请在中国境内发行人民币债券应提交以下材料：

　　（一）人民币债券发行申请报告；

　　（二）募集说明书；

　　（三）近三年经审计的财务报表及附注；

　　（四）人民币债券信用评级报告及跟踪评级安排的说明；

　　（五）为中国境内项目或企业提供贷款和投资情况；

　　（六）拟提供贷款和股本资金的项目清单及相关证明文件和法律文件；

　　（七）按照《中华人民共和国律师法》执业的律师出具的法律意见书；

　　（八）与本期债券相关的其他重要事项。

　　第十一条　国际开发机构发行人民币债券，其财务资料须由按照《中华人民共和国注册会计师法》注册的会计师依据中国会计标准进行审计，并对外公开披露。

　　第十二条　国际开发机构发行人民币债券须由按照《中华人民共和国律师法》执业的律师进行法律认证，并出具法律意见书。

　　第十三条　国际开发机构在中国境内公开发行人民币债券应组成承销团，承销商应为在中国境内设立的证券经营机构。

　　第十四条　人民币债券发行结束后，经相关市场监督管理部门批准，可以交易流通。

　　第十五条　获准发行人民币债券的国际开发机构（以下简称发行人）应当遵循中国有关信息披露的法律规定，切实履行信息披露义务。

　　第十六条　人民币债券发行利率由发行人参照同期国债收益率水平确定，并由中国人民银行核定。

　　第十七条　发行人发行人民币债券所筹集的资金，应用于中国境内项目，不得换成外汇转移至境外。发行人应按中国有关法律规定对发债闲置资金进行使用和管理。

　　第十八条　发行人应在人民币债券发行日前一个月内，为发债募集的资金开立非居民人民币专用账户，该账户的开立、注销及有关资金的结、售汇应经国家外汇管理局批准。

　　第十九条　人民币债券发行后，收回贷款和退出投资获得人民币收入用于偿付原境外调入资金需购汇汇出的，以及发行人汇出投资收益的，须到国家外汇管理局办理购汇汇出核准手续。

　　第二十条　发行人因贷款无法及时收回或其他原因导致其无法按期偿还人民币债券本息时，可从中国境外调入外汇资金，并按有关规定开立外汇专用账户，外汇资金结汇须经国家外汇管理局核准。

　　第二十一条　发行人须在每季度末向国家外汇管理局报送运用人民币债券资金发放及回收人民币贷款、投资的情况。

　　第二十二条　国际开发机构发行人民币债券工作文本语言应为中文。

　　第二十三条　国际开发机构在中国境内发行人民币债券，发生违约或其他纠纷时，适用中国法律。

　　第二十四条　本办法由中国人民银行会同财政部、国家发展和改革委员会、中国证券监督管理委员会解释。

　　第二十五条　本办法自发布之日起施行。

Joint¹ Public Notice of the People's Bank of China, the Ministry² of Finance, the State Development and Reform Commission, and the China Securities Regulatory Commission
（No.5, 2005）

　　In order to standardize³ activities of international development institutions' issuance of RMB bonds and promote development of China's bond market, the People's Bank of China, the Ministry of Finance, the State Development and Reform Commission and the China Securities Regulatory Commission jointly⁴ formulated⁵ the "Provisional Administrative⁶ Rules on International Development Institutions' Issuance of RMB Bonds" and hereby enact⁷ them.

The People's Bank of China、The Ministry of Finance 、The State Development and Reform Commission 、The China Securities Regulatory Commission
February 18, 2005

　　[Unofficial Translation]

Provisional Administrative Rules on International Development Institutions' Issuance of RMB Bonds

　　Article 1 These rules are formulated according to the "Law of the People's Republic of China on the People's Bank of China" and the "Securities Law of the People's Bank of China" and other relevant laws and regulations, so as to standardize international development institutions' issuance of RMB bonds and protect legitimate⁸ interest of bond holders⁹.

　　Article 2 International development institutions in these rules refer to international financial institutions lending or investing for development purposes.

　　Article 3 RMB bonds issued by international development institutions （referred to as RMB bonds hereinafter） in these rules refer to RMB denominated bonds legally issued by international development institutions in China, committing to pay the interests and repay the principal within a specified¹⁰ period of time.

　　Article 4 International Development institutions that intend to issue RMB bonds in China shall apply for the issuance permit to the governing authority, such as the Ministry of Finance. The authority accepting the application shall then review it along with the People's Bank of China, the State Development and Reform Commission, the China Securities Regulatory Commission and submit it to the State Council for approval.

　　Article 5 The State Development and Reform Commission shall review the issuance size of RMB bonds and the use of raised funds along with the Ministry of Finance, according to the industrial policy of the State, developments of foreign capital and debt, macroeconomic performance and the balance of payments.

　　Article 6 The People's Bank of China regulates the interest rates of RMB bond issues.

　　Article 7 The State Administration of Foreign Exchange is responsible for administration of non-resident RMB accounts specially¹¹ opened for fund raised by RMB bond issues and the conversion¹² of such funds.

　　Article 8 The Ministry of Finance and relevant authority on foreign capital and debt management regulate the lending and investment financed by the RMB bond issues.

　　Article 9 An international development institution shall meet the following criteria¹³ when applying for the issuance of RMB bonds in China:

　　（1） It shall be financially sound and registered in China, with good creditworthiness and a credit rating above AA obtained from a credit rating agency that is competent of credit rating for RMB denominated bonds.

　　（2） Its total lending to and investment in domestic projects or enterprises has exceeded USD1 billion.

　　（3） The raised funds shall be used to finance the medium and long-term fixed¹⁴ asset lending to or equity¹⁵ investment in projects in China, which are consistent with the industrial policy, foreign capital policy and the administrative rules on fixed asset investment of the State. Projects funded by sovereign borrowing shall be included in the corresponding foreign borrowing plan.

　　Article 10 When applying for issuing RMB bonds, an international development institution shall provide following materials:

　　（1） Application report for issuance of RMB bonds;

　　（2） Prospectus¹⁶ of the bond issue;

　　（3） Audited¹⁷ financial statements and appendix of the past three years;

　　（4） Report of the RMB bond's credit rating and an explanation of measures to maintain the credit rating;

　　（5） Overview¹⁸ of the lending to and investment in domestic projects or enterprises;

　　（6） List of projects to be funded by the lending and equity investment and corresponding certificate and legal papers;

　　（7） Legal advice provided by lawyers who engage in the business in accordance with the "Law of the People's Republic of China on Lawyers";

　　（8） Other important materials related to the bond issue.

　　Article 11 When issuing a RMB bond, an international development institution shall have its financial statements audited according to Chinese accounting¹⁹ standards by accountant chartered in line with "Law of the People's Republic of China on Chartered Accountants".

　　Article 12 International development institutions issuing RMB bonds shall be legally verified by lawyers who engage in the business in accordance with the "Law of the People's Republic of China on Lawyers" with their written legal advice.

　　Article 13 International development institutions shall organize a underwriting group for their RMB bond issues in China. Eligible²⁰ underwriters shall be limited to securities firms registered in China.

　　Article 14 After the initial offering, RMB bonds may be traded on the market with the approval of relevant market regulators.

　　Article 15 International development institutions gaining the approval of issuing RMB bond （referred to as issuers hereafter） shall abide²¹ by relevant rules and regulations on information disclosure and fulfil the information disclosure obligations faithfully.

　　Article 16 Interest rate of RMB bond's initial offering is determined²² by the issuer in reference to the yield of treasury²³ bonds issued at the same time and reviewed by the People's Bank of China.

　　Article 17 Funds raised by issuers' RMB bonds issuance shall be used in projects in China and are not allowed to be converted into foreign currencies and transferred overseas. The issuer shall use and manage the unused funds according to relevant laws and regulations in China.

　　Article 18 The issuer shall open non-resident RMB accounts for funds raised by RMB bond issues one month before the date of the initial offering of RMB bonds. The opening, closure of the accounts and the conversion of such funds shall be approved by the State Administration of Foreign Exchange.

　　Article 19 After the issuance of RMB bonds, in the case of repayment²⁴ of foreign exchange funds transferred previously²⁵ from overseas with RMB proceeds arising from collection of loans and withdrawal²⁶ of equity investment, or issuers' repatriation²⁷ of investment gains, permission of purchase and remittance²⁸ of foreign exchange by the State Administration of Foreign Exchange is required.

　　Article 20 If the issuer cannot service the RMB bond as scheduled, due to delayed loan collection or other causes, it is allowed to transfer foreign exchange funds from overseas and open special foreign exchange account in accordance with relevant rules. The conversion of foreign exchange funds shall be approved by the State Administration of Foreign Exchange in advance.

　　Article 21 The issuer shall report to the State Administration of Foreign Exchange its use of funds raised by RMB bond issuance, collection of loans and withdrawal of investment.

　　Article 22 Chinese should be the governing language of paperwork for the international development institutions' issuance of RMB bonds.

　　Article 23 Chinese law is the applicable law in the case of defaults or other disputes arising from international development institutions' issuance of RMB bonds.

　　Article 24 These rules are to be interpreted jointly by the People's Bank of China, the Ministry of Finance, the State Development and Reform Commission, and the China Securities Regulatory Commission.

　　Article 25 These rules take effects on the date of promulgation

点击

收听单词发音

1 joint
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。

2 ministry
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。

3 standardize
v.使符合标准，使标准化
参考例句：
We will extend and standardize legal services and provide effective legal aid.拓展和规范法律服务，积极开展法律援助。 There is a drive both to standardise components and to reduce the number of models on offer.正在为实现零部件标准化和减少推出的型号数量而努力。

4 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。

5 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》

6 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。

7 enact
vt.制定(法律)；上演，扮演
参考例句：
The U.S. Congress has exclusive authority to enact federal legislation.美国国会是唯一有权颁布联邦法律的。 For example,a country can enact laws and economic policies to attract foreign investment fairly quickly.例如一个国家可以很快颁布吸引外资的法令和经济政策。

8 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。

9 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。

10 specified
adj.特定的
参考例句：
The architect specified oak for the wood trim. 那位建筑师指定用橡木做木饰条。 It is generated by some specified means. 这是由某些未加说明的方法产生的。

11 specially
adv.特定地；特殊地；明确地
参考例句：
They are specially packaged so that they stack easily.它们经过特别包装以便于堆放。 The machine was designed specially for demolishing old buildings.这种机器是专为拆毁旧楼房而设计的。

12 conversion
n.转化，转换，转变
参考例句：
He underwent quite a conversion.他彻底变了。 Waste conversion is a part of the production process.废物处理是生产过程的一个组成部分。

13 criteria
n.标准
参考例句：
The main criterion is value for money.主要的标准是钱要用得划算。 There are strict criteria for inclusion in the competition.参赛的标准很严格。

14 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。

15 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。

16 prospectus
n.计划书；说明书；慕股书
参考例句：
An order form was included with the prospectus.订单附在说明书上。 The prospectus is the most important instrument of legal document.招股说明书是上市公司信息披露制度最重要法律文件。

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 overview
n.概观，概述
参考例句：
The opening chapter gives a brief historical overview of transport.第一章是运输史的简要回顾。 The seminar aims to provide an overview on new media publishing.研讨会旨在综览新兴的媒体出版。

19 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。

20 eligible
adj.有条件被选中的；(尤指婚姻等)合适(意)的
参考例句：
He is an eligible young man.他是一个合格的年轻人。 Helen married an eligible bachelor.海伦嫁给了一个中意的单身汉。

21 abide
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。

22 determined
adj.坚定的；有决心的
参考例句：
I have determined on going to Tibet after graduation.我已决定毕业后去西藏。 He determined to view the rooms behind the office.他决定查看一下办公室后面的房间。

23 treasury
n.宝库；国库，金库；文库
参考例句：
The Treasury was opposed in principle to the proposals.财政部原则上反对这些提案。 This book is a treasury of useful information.这本书是有价值的信息宝库。

24 repayment
n.偿还，偿还款；报酬
参考例句：
I am entitled to a repayment for the damaged goods.我有权利索取货物损坏赔偿金。 The tax authorities have been harrying her for repayment.税务局一直在催她补交税款。

25 previously
adv.以前，先前（地）
参考例句：
The bicycle tyre blew out at a previously damaged point.自行车胎在以前损坏过的地方又爆开了。 Let me digress for a moment and explain what had happened previously.让我岔开一会儿，解释原先发生了什么。

26 withdrawal
n.取回，提款；撤退，撤军；收回，撤销
参考例句：
The police were forced to make a tactical withdrawal.警方被迫进行战术撤退。 They insisted upon a withdrawal of the statement and a public apology.他们坚持要收回那些话并公开道歉。

27 repatriation
n.遣送回国，归国
参考例句：
The Volrep programme is the preferred means of repatriation. 政府认为自愿遣返计划的遣返方法较为可取。来自互联网 Arrange the cargo claiming and maritime affairs,crews repatriation,medical treatment,traveling so on. （六）洽办货物理赔，船舶海事处理，办理船员遣返，就医，旅游等。来自互联网

28 remittance
n.汇款，寄款，汇兑
参考例句：
Your last month's salary will be paid by remittance.最后一个月的薪水将通过汇寄的方式付给你。 A prompt remittance would be appreciated.速寄汇款不胜感激。