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Regulation on Promoting the Financial Development of Shenzhen Special Economic Zone [Revised]
深圳经济特区金融发展促进条例 [已被修订]
【法宝引证码】

 
Announcement of the Standing Committee of the Fourth People's Congress of Shenzhen Municipality 

深圳市第四届人民代表大会常务委员会公告


(No.72)
 
(第七十二号)


The Regulation on Promoting the Financial Development of Shenzhen Special Economic Zone, which was adopted at the 18th session of the Standing Committee of the Fourth People's Congress of Shenzhen Municipality on April 1st, 2008, is hereby promulgated, and shall come into force as of June 1st, 2008.
 
《深圳经济特区金融发展促进条例》经深圳市第四届人民代表大会常务委员会第十八次会议于2008年4月1日通过,现予公布,自2008年6月1日起施行。

Standing Committee of the People's Congress of Shenzhen Municipality
 
深圳市人民代表大会常务委员会

April 24th, 2008
 
二〇〇八年四月二十四日

Regulation on Promoting the Financial Development of Shenzhen Special Economic Zone
 
深圳经济特区金融发展促进条例

(adopted at the 18th session of the Standing Committee of the Fourth People's Congress of Shenzhen Municipality on April 1st, 2008)
 
(2008年4月1日深圳市第四届人民代表大会常务委员会第十八次会议通过)

 
Chapter I General Provisions 

第一章 总则


 
Article 1 This Regulation is formulated for the purpose of promoting the development of the financial industry, improving the financial ecological environment and optimizing the industrial structure of Shenzhen Special Economic Zone (SEZ).   第一条 为了促进深圳经济特区(以下简称特区)金融业发展,优化金融生态环境,推动产业结构优化升级,制定本条例。

 
Article 2 This Regulation shall apply to the state organs, financial institutions, professional service agencies, related industrial organizations and the staff thereof.   第二条 本条例适用于特区内的国家机关和金融机构、专业服务机构、相关行业组织及其从业人员。

 
Article 3 The people's government of Shenzhen Municipality (hereinafter referred to as Municipal Government) shall take the financial industry as a strategic pillar industry, take the multi-layer capital market as the core and take Shenzhen-HongKong financial cooperation as a bond to fortify and enhance Shenzhen's status as a financial center, make Shenzhen an organic component part of HK-SZ metropolis/international financial center and highlight its functions in investment, finance, wealth management and financial innovation.   第三条 市人民政府(以下简称市政府)应当把金融业作为战略性支柱产业,以多层次资本市场为核心,以深港金融合作为纽带,巩固提升深圳金融中心城市地位,使深圳成为港深大都会国际金融中心有机组成部分,重点突出投融资、财富管理和金融创新功能。

 
Article 4 Promoting the development of the financial industry requires adherence to the principles of making reforms and innovations, making overall planning, aggregating talents, conducting Shenzhen-HK cooperation and preventing risks, requires the combination of science and technology with finance, realizing interaction between industry and finance and giving priority to the financial industry in developing the modern service industry.   第四条 促进金融业发展应当坚持改革创新、规划统筹、机构人才集聚、深港合作和风险防范的原则,坚持科技与金融结合、实业与金融互动,在现代服务业中优先发展金融业的方针。

 
Chapter II Financial Institutions 

第二章 金融机构


 
Article 5 The Municipal Government shall integrate the common resources to help financial institutions to grow, introduce an incentive mechanism encouraging conglomeration and innovation, offer assistance to the financial institutions headquartered in Shenzhen to develop more rapidly, and form a financial market which takes large-size financial institutions with international competitiveness as the core and takes small and mid-size financial institutions, professional service agencies and enterprises providing supporting services as the basis.   第五条 市政府应当整合公共资源,建立金融机构发展壮大、引进集聚和创新的激励机制,支持总部在深圳的金融机构加快发展,形成以具有国际竞争力的大型金融机构为核心,以中小型金融机构、专业服务机构和配套服务企业为基础的金融市场主体格局。

 
Article 6 The Municipal Government shall take the following measures to support the reform and growth of the capital market of Shenzhen:   第六条 市政府应当采取下列措施支持深圳资本市场改革发展:

 
1. supporting Shenzhen Stock Exchange (SSE) in building a multi-layer capital market which consists of a main board, a SME board and a second board; (一)支持深圳证券交易所(以下简称深交所)构建由主板、中小企业板、创业板等组成的多层次资本市场;

 
2. supporting the growth of the financial derivatives market, and experiment the issuance of treasury bonds of this Municipality, and enhancing assets securitization; (二)支持金融衍生产品市场发展,探索发行市政债,推进资产证券化;

 
3. integrating and regulating the property rights trading market by using the trading platform of the SSE; (三)利用深交所交易平台,整合、规范本市产权交易市场;

 
4. planning as a whole the tradable state-owned assets resources, the shell resources of listed companies and the resources of quality enterprises; (四)统筹经营性国有资产资源、上市公司壳资源和优质企业资源;

 
5. supporting the development of startup investment funds and private equity investment funds, and perfecting the financing and guarantee systems for small and medium enterprises; (五)支持创业投资和私募股权投资基金发展,完善中小企业融资和担保体系;

 
6. supporting the SSE in restructuring and reforming the organizational form and the trading management system; and (六)支持深交所在组织形式和交易管理制度等方面改制改革;

 
7. facilitating the cooperation between the capital market of Shenzhen and overseas capital markets, attracting overseas enterprises and overseas listed products to be listed or re-listed in Shenzhen, and creating favorable conditions for building a unified capital market for Shenzhen and Hong Kong as a bridge between the domestic and the overseas markets. (七)推动深圳资本市场与境外资本市场合作,吸引境外企业、境外上市产品到深圳上市或再上市,为深港构建联通境内外的统一资本市场创造条件。

 
Article 7 The Municipal Government shall study and establish a scientific evaluation system so as to make evaluations on the development potentials and business risks of financial institutions in Shenzhen, and take the evaluation results as the basis for the making of preferential policies.   第七条 市政府应当研究建立科学评价体系,对深圳金融机构的发展潜力和经营风险等进行评价,以此作为给予政策优惠的基础。

The Municipal Government and the relevant departments thereunder shall provide quality and highly efficient administrative services and social public services for financial institutions.
 
市政府及其相关部门应当为金融机构提供优质高效的行政服务和社会公共服务。

The Municipal Government shall support financial institutions headquartered in Shenzhen in their involvement in the bond issuances, syndicated loans and state-owned assets reorganizations organized by the government.
 
支持总部在深圳的金融机构参与政府组织的债券发行、银团贷款和国有资产重组。

 
Article 8 The municipal government shall improve the financial environment and take attractive and competitive supporting measures to introduce various kinds of financial institutions to locate their headquarters or branches in Shenzhen.   第八条 市政府应当优化金融环境,采取富有吸引力和竞争力的支持措施,引进各类金融机构在深圳开设总部和分支机构。

The Municipal Government shall set down objectives of different phases and realize the conglomeration of financial institutions in banking, securities, insurance, funds and futures, etc.
 
市政府应当制定阶段性目标,形成银行、证券、保险、基金和期货等业务种类齐全的金融机构聚集区。

For financial institutions featuring high technology, the Municipal Government shall, in addition to granting the current financial preferential policies, provide support in accordance with the high and new-tech industrial policies.
 
市政府对技术含量高的金融机构除给予现行相关金融优惠政策外,应当参照高新技术产业政策给予支持。

 
Article 9 The Municipal Government shall support, reward and protect the cultivation and establishment of new types of financial institutions, such as community banks, artwork banks, bank credit assets trading centers, pension insurance companies, liability insurance companies, insurance agency companies exclusively subordinated to insurance companies, insurance assets management companies, auto finance companies and currency brokerage companies.   第九条 市政府应当对培育和创设新型金融机构给予支持、奖励和保护。鼓励培育和创设社区银行、艺术品银行、银行信贷资产交易中心、养老金保险公司、责任保险公司、保险公司专属的保险代理公司、保险资产管理公司、汽车金融公司、货币经纪公司等新型金融机构。

 
Article 10 The Municipal Government shall give preferential policies and rewards to Shenzhen financial institutions which establish branches overseas.   第十条 深圳金融机构在境外开设分支机构的,市政府应当给予政策优惠和奖励。

 
Chapter III Financial Talents 

第三章 金融人才


 
Article 11 The Municipal Government shall set up an enduring financial talent team building mechanism, work out policies for financial talents, make more efforts in introducing and cultivating a community of financial practitioners, financial educators and financiers.   第十一条 市政府应当建立金融人才队伍建设长效机制,制定金融人才政策,加强金融从业人才和金融教育人才的引进和培养工作,培育和引进金融家群体。

 
Article 12 The Municipal Government shall encourage domestic and overseas financial professionals to work in Shenzhen, and give corresponding preferential policies to those who satisfy the requirements specified in the policies for introducing financial talents.   第十二条 鼓励境内外金融专业人才来深圳发展,凡符合金融人才引进政策的,市政府给予相应的政策优惠。

 
Article 13 The Municipal Government shall, based on the status quo and planning for the development of the financial industry, make special-purpose investigations into the demand for financial talents. For key talents in urgent need, the personnel department of this Municipality and the financial development service department of the Municipal Government shall work out pertinent introduction and on-the-job training plans. The Municipal Government shall apply certificate administration to talents in urgent need and give special preferential policies to them.   第十三条 市政府应当依据金融业发展状况和规划,对金融人才需求进行专项调查,对关键紧缺人才由市人事部门与市政府金融发展服务部门制定有针对性的引进及在职培训计划。实行紧缺人才证书管理,对关键紧缺人才给予特殊政策优惠。

 
Article 14 The Municipal Government shall provide support for the financial supervisory organs (hereinafter referred to as supervisory organs) of the Central Government in Shenzhen, institutions of higher learning and research institutes to establish financial research, education and training agencies in Shenzhen, and introduce professional financial training agencies from overseas so as to foster financial professionals and financial interdisciplinary talents.   第十四条 市政府支持中央驻深圳金融监管机构(以下简称监管机构)、高等院校、研究机构在深圳设立金融研究、教育和培训机构,引进境外金融专业培训机构,培养金融专才和金融复合型人才。

 
Article 15 The Municipal Government shall promote the financial talent accreditation work, introduce an internationally accepted financial talent accreditation system, and provide support for persons engaging in the financial industry to take part in internationally accepted financial talent accreditation exams.   第十五条 推动金融人才资格认证,引进国际通行的金融人才资格认证体系。支持金融从业人员参与国际通行的职业资格认证考试。

 
Article 16 The Municipal Government shall popularize the use of incentive systems such as distributing options to the management of financial institutions, and setting up the annuity system for financial institutions.   第十六条 推广完善金融机构管理层期权持股等激励制度,建立金融机构年金制度。

 
Chapter IV Financial Innovation 

第四章 金融创新


 
Article 17 The Municipal Government shall support supervisory organs and financial institutions in reforming the financial management system, the financial organization and the operation mechanism, etc.   第十七条 市政府应当支持监管机构及金融机构在金融管理体制、金融组织和运行机制等方面进行改革探索。

The Municipal Government shall perfect the financial innovation appraisal and incentive mechanisms and encourage financial institutions to make innovations in financial products, modes of service, management systems and financial technology.
......
 
市政府应当完善金融创新奖评选机制和激励机制,鼓励金融机构创新金融产品、服务方式、管理制度以及金融技术。
......

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