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| Notice of the China Insurance Regulatory Commission on Investing the Insurance Funds in the Infrastructure Debt Investment Plans | | 中国保险监督管理委员会关于保险资金投资基础设施债权投资计划的通知 |
(No. 43 [2009] of the CIRC) | |
（保监发〔2009〕43号） |
All insurance companies and insurance asset management companies, | |
各保险公司、保险资产管理公司： |
For the purposes of regulating the investment of insurance funds in infrastructure projects and preventing the management and operational risks, you are hereby notified of the following relevant matters concerning the investments of insurance companies and insurance asset management companies (hereinafter together referred to as “insurance institutions”) in the infrastructure debt investment plans (hereinafter referred to as the “debt investment plans”): | |
为规范保险资金投资基础设施项目行为，防范管理运营风险，现就保险公司和保险资产管理公司（以下统称保险机构）投资基础设施债权投资计划（以下简称债权投资计划）的有关事项通知如下： |
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| I. Insurance institutions may, under the relevant provisions of the Administrative Measures for the Pilot Indirect Investment of Insurance Funds in the Infrastructure Projects (hereinafter referred to as the “Administrative Measures”) and the Administrative Guidelines on the Debt Investment Plans for the Pilot Indirect Investment of Insurance Funds in the Infrastructure Projects (for Trial Implementation), invest in the debt investment plans promoted and formed by the insurance asset management companies, trust companies and other professional management institutions. | | 一、保险机构按照《保险资金间接投资基础设施项目试点管理办法》（以下简称管理办法）及《保险资金间接投资基础设施债权投资计划管理指引（试行）》的有关规定，可以投资保险资产管理公司、信托公司等专业管理机构发起设立的债权投资计划。 |
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| II. To invest in debt investment plans, an insurance company shall, besides conforming to the provisions of Article 23 of the Administrative Measures, meet the following conditions: | | 二、保险公司投资债权投资计划的，除符合管理办法第二十三条规定外，还应当满足下列条件： |
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| 1. it shall have kept a solvency adequacy ratio at or above 120% for the recent two years; | | （一）最近两个年度偿付能力充足率保持在120%以上； |
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| 2. there shall be a resolution made by the board of directors of the company or made upon its authorization about its consent to investing in debt investment plans, the resolution shall state the known risks to take, and the chairman of the board of directors or the representative authorized by the board of directors shall sign a Letter of Knowledge of Risks for each debt investment plan; | | （二）具有公司董事会或者董事会授权同意投资债权投资计划的决议，决议应当列明知晓和承担的风险，并由董事长或者董事会授权代表签署每一债权投资计划的风险知晓函； |
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| 3. it shall have a sound decision-making and authorization mechanism, risk control mechanism, business operating procedure, internal management system, internal audit system and accountability system for investing in debt investment plans; | | （三）具有完善的投资债权投资计划的决策与授权机制、风险控制机制、业务操作流程、内部管理制度、内部审计制度和责任追究制度； |
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| 4. the organizational structure of its asset management department shall be clear-cut in the functions and reasonable in the division of work, and it shall reasonably set the research, investment, trading, settlement, credit evaluation, risk management and other functional posts; | | （四）具有职责明确、分工合理的资产管理部门组织架构，合理设置研究、投资、交易、清算、信用评估和风险管理等职能岗位； |
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| 5. it shall have at least 5 staff members engaged in the fixed income investment, of whom at least 1 shall be a manager at the mid level or higher with at least 5 years bond investment experience and the relevant professional qualification and at least 2 shall have at least 3 years bond investment experience each, and designate special staff members to take charge of the management of investment in debt investment plans; | | （五）从事固定收益投资的人员不少于5人，其中具有5年以上债券投资经验和相关专业资质的中级以上管理人员不少于1人，具有3年以上债券投资经验的人员不少于2人，并指定专门人员负责债权投资计划的投资管理； |
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| 6. its credit risk management and internal credit rating capacities shall reach the regulatory standards; and | | （六）信用风险管理及内部信用评级能力达到监管规定的标准； |
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| 7. it shall place its investment funds under custody, and the custodian shall be the same one of its stock assets. | | （七）投资资金实行托管，托管人与其股票资产托管机构为同一机构。 |
Where an insurance company authorizes an insurance asset management company to invest in debt investment plans, it is not subject to subparagraphs 4, 5 and 6 hereof. | |
保险公司委托保险资产管理公司投资债权投资计划的，不受本条第（四）、（五）、（六）款的限制。 |
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| III. To accept an authorization to invest in debt investment plans, an insurance asset management company shall meet the following conditions: | | 三、保险资产管理公司受托投资债权投资计划的，应当满足下列条件： |
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| 1. it shall have the business capability of managing the entrusted assets of a third party; | | （一）具备受托管理第三方资产的业务能力； |
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2. it shall have a sound business operating procedure, risk control mechanism, information disclosure rules, internal management system, internal audit system and accountability system for investing in debt investment plans;
．．．．．． | | （二）具有完善的投资债权投资计划的业务操作流程、风险控制机制、信息披露规则、内部管理制度、内部审计制度和责任追究制度；
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