| Notice by the State Administration of Foreign Exchange of Further Facilitating the Settlement of Capital in Foreign Exchange of Insurance Companies | | 国家外汇管理局关于进一步促进保险公司资本金结汇便利化的通知 |
| (No. 17 [2019] of the State Administration of Foreign Exchange) | | （汇发〔2019〕17号） |
| The branches and foreign exchange administrative departments of the State Administration of Foreign Exchange ("SAFE") in all provinces, autonomous regions, and municipalities directly under the Central Government; the branches of the SAFE in Shenzhen, Dalian, Qingdao, Xiamen, and Ningbo; all insurance group (holding) companies, insurance companies, and insurance asset management companies; and all designated Chinese-funded foreign exchange banks: | | 国家外汇管理局各省、自治区、直辖市分局、外汇管理部，深圳、大连、青岛、厦门、宁波市分局，各保险集团（控股）公司、保险公司、保险资产管理公司、各中资外汇指定银行： |
| For the purposes of further advancing the simplification of administrative procedures and decentralization of powers, improving foreign exchange management of insurance business and guarding against financial risks, you are hereby notified of issues concerning foreign exchange management of insurance business as follows: | | 为进一步推进简政放权，完善保险业务外汇管理，防范金融风险，现就保险业务外汇管理有关问题通知如下： |
| I. An insurance company may, according to its actual business needs, undergo the formalities for the settlement of foreign exchange capital and foreign exchange funds raised through overseas listing directly with financial institutions engaged in foreign exchange business (hereinafter referred to as “financial institutions”). | | 一、保险公司可依据实际经营需要，直接在经营外汇业务的金融机构（以下简称金融机构）办理外汇资本金和境外上市募集外汇资金结汇。 |
| 1. An insurance company shall, before the end of January of each year, report the foreign exchange settlement plan for the current year and the information on foreign exchange settlement in the previous year to the local branch or foreign exchange administrative department of the SAFE (hereinafter referred to as the “local branch”), and provide the following materials: | | （一） 保险公司在每年1月底前应当就本年度结汇计划和上年度结汇情况向所在地国家外汇管理局分局、外汇管理部（以下简称所在地分局）报告，并提供以下材料： |
| (1) Description of foreign exchange settlement, including but not limited to the sources of foreign exchange funds, the amount of foreign exchange settlement, the purpose of foreign exchange settlement, the mismatch of domestic and foreign exchange assets and the use of foreign exchange settlement funds for the previous year, among others; and | | 1.情况说明，包括但不限于外汇资金来源、结汇金额、结汇用途、本外币资产不匹配情况和上年度结汇资金使用情况等； |
| (2) Relevant supporting materials. | | 2.相关证明材料。 |
| The insurance company shall report to the local branch in advance the settlement of foreign exchange beyond the reported plan and the single settlement of foreign exchange equivalent to USD 50 million or more. | | 对于超出报告计划的结汇及单笔等值5000万美元（含）以上的结汇，保险公司应当事前向所在地分局进行报告。 |
| 2. Financial institutions shall perform the business principles of “knowing clients,” “knowing business”, and “due diligence”, and examine the authenticity of foreign exchange settlement. The materials shall include: | | （二） 金融机构应当履行“了解客户”“了解业务”“尽职审查”等展业原则，对结汇的真实性进行审核，资料包括： |
| (1) an application for foreign exchange settlement, including but not limited to the sources of the funds for foreign exchange settlement, the amount of foreign exchange settlement and the purpose of funds for foreign exchange settlement; | | 1.结汇申请书，包括但不限于结汇资金来源、结汇金额及结汇资金用途等； |
| (2) the plan for the use of foreign exchange settlement funds and the supporting materials; and | | 2.结汇资金使用计划及其证明材料； |
| (3) the audited renminbi balance sheet and income statement, foreign currency balance sheet and income statement for the previous year. An insurance company that has been in existence for less than one year may provide the recent balance sheet and income statement. A listed insurance company that fails to disclose the balance sheet and income statement for the previous year may provide the most recent disclosed balance sheet and income statement. | | 3.上年度经审计的人民币资产负债表和利润表、外币资产负债表和利润表；保险公司成立不足一年的，可提供近期资产负债表和利润表；上市保险公司未披露上年度资产负债表和利润表的，可提供最近一期已披露的资产负债表和利润表。 |
| 3. The use of funds in renminbi obtained from foreign exchange settlement shall meet the relevant provisions issued by the competent authorities in the insurance industry and the SAFE, and the funds shall be used in the preparation of new branches, daily operating expenses, and payment of domestic equity investments and RMB deposits, among others. | | （三） 结汇所得人民币资金运用需符合保险行业主管部门和国家外汇管理局有关规定，用于新设分支机构的筹建、日常经营支出、支付境内股权投资和人民币保证金等。 |
| II. After completing the filing of relevant business with the competent department of the insurance industry, the corporate insurance agent and the corporate insurance broker may handle the transfer of original currency of funds under the insurance of collection and payment through their foreign exchange account under current account, and the indemnity funds may be used for foreign exchange settlement or purchase. | | 二、保险代理机构和保险经纪机构在保险行业主管部门完成相关业务备案后，可通过其经常项目外汇账户办理代收代付保险项下资金原币划转，其中赔款资金可办理结汇或购汇。 |
| 1. The corporate insurance agent and the corporate insurance broker shall, before the end of January of each year, report the foreign exchange business plan for collection and payment under insurance for the current year, and report the actual handling for the previous quarter within five working days at the beginning of each quarter and provide the following materials to the local branch: | | （一） 保险代理机构和保险经纪机构应当在每年1月底前报告本年度保险项下代收代付外汇业务计划，每季度初5个工作日内报告上一季度实际办理情况，并向所在地分局提供以下材料： |
(1) Description of the foreign exchange business, including but not limited to the basic information on the foreign exchange business of collection and payment under insurance, the list of cooperative overseas insurance institutions, and the amount of foreign exchange received or paid, among others. For settlement or purchase of foreign exchange of indemnity funds, the basic information on settlement or purchase of foreign exchange of indemnity funds, the amount of claim payment and the corresponding amount of foreign exchange receipt, payment, settlement or purchase shall be included in the aforesaid description.
．．．．．． | | 1.情况说明，包括但不限于保险项下代收代付外汇业务基本情况、合作境外保险机构名单、收付汇金额等；办理赔款资金结汇或购汇业务的，说明中还应包括赔款资金结汇或购汇业务基本情况、保险赔款金额及与其对应的收付汇金额、结汇或购汇金额等；
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