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Notice of China Securities Depository and Clearing Corporation Limited on Revising the Detailed Rules of the China Securities Depository and Clearing Corporation Limited for the Implementation of Registration and Settlement Business for Securities Investment in China Made by Qualified Foreign Institutional Investors | | 中国证券登记结算有限责任公司关于修订《中国证券登记结算有限责任公司合格境外机构投资者境内证券投资登记结算业务实施细则》的通知 |
All market participants: | | 各市场参与主体: |
In July 2012, the China Securities Regulatory Commission had revised the Notice on Issues concerning the Implementation of the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors and issued the Provisions on Issues concerning the Implementation of the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors. For the purpose of implementing the relevant spirit of the Provisions, this Company has revised the Detailed Rules of the China Securities Depository and Clearing Corporation Limited for the Implementation of Registration and Settlement Business for Securities Investment in China Made by Qualified Foreign Institutional Investors, which are hereby issued and come into force on date of issuance. | | 2012年7月,中国证监会对《关于实施<合格境外机构投资者境内证券投资管理办法>有关问题的通知》进行了修订,发布了《关于实施<合格境外机构投资者境内证券投资管理办法>有关问题的规定》。为贯彻落实该项规定的相关精神,我公司修订了《中国证券登记结算有限责任公司合格境外机构投资者境内证券投资登记结算业务实施细则》,现予公布,自公布之日起实施。 |
Annex: Detailed Rules of the China Securities Depository and Clearing Corporation Limited for the Implementation of Registration and Settlement Business for Securities Investment in China Made by Qualified Foreign Institutional Investors | | 附件:中国证券登记结算有限责任公司合格境外机构投资者境内证券投资登记结算业务实施细则 |
February 20, 2013 | | 二0一三年二月二十日 |
Annex: | | 附件: |
Detailed Rules of the China Securities Depository and Clearing Corporation Limited for the Implementation of Registration and Settlement Business for Securities Investment in China Made by Qualified Foreign Institutional Investors | | 中国证券登记结算有限责任公司合格境外机构投资者境内证券投资登记结算业务实施细则 |
(Issued on December 1, 2002 with approval of the China Securities Regulatory Commission, and revised on February 16, 2013) | | (经中国证监会批准2002年12月1日发布,2013年2月16日修订) |
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Chapter I General Provisions | | 第一章 总则 |
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Article 1 These Rules are formulated in accordance with the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors and the Provisions on Issues concerning the Implementation of the Administrative Measures for Securities Investment Made in China by Qualified Foreign Institutional Investors and other relevant provisions and the relevant business rules of the China Securities Depository and Clearing Corporation Limited (“SD&C”). | | 第一条 根据《合格境外机构投资者境内证券投资管理办法》、《关于实施<合格境外机构投资者境内证券投资管理办法>有关问题的规定》等有关规定以及中国证券登记结算有限责任公司(以下简称本公司)有关业务规则,制定本细则。 |
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Article 2 These Detailed Rules shall apply to the registration and settlement business of securities investment made in China by qualified foreign institutional investors (hereinafter referred to as the “QFIIs”). | | 第二条 本细则适用于合格境外机构投资者(以下简称合格投资者)境内证券投资的登记结算等业务。 |
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Article 3 The QFIIs and their custodians and domestic securities companies shall, when conducting registration and settlement business related to securities investment in China, comply with these Detailed Rules and the other relevant business rules of the SD&C. | | 第三条 合格投资者及其委托的托管人和境内证券公司在办理与境内证券投资相关的登记结算业务时,应当遵守本细则及本公司的其他有关业务规则。 |
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Chapter II Management of Securities Accounts | | 第二章 证券账户管理 |
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Article 4 A QFII shall, after selecting a domestic securities company to handle its securities trading, authorize a custodian to apply for opening securities accounts for itself, its clients or managed funds (insurance funds, etc).The custodian shall submit an application directly to the SD&C in accordance with the business rules of the SD&C. | | 第四条 合格投资者应当在选定为其进行证券交易的证券公司后,委托托管人为其自身、客户或管理的基金(保险资金等)申请开立证券账户。托管人应当依照本公司的业务规则直接向本公司提出申请。 |
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Article 5 A custodian shall, when accepting the entrustment of a QFII for the first time to apply for opening a securities account, submit the following materials: (1) photocopies of the official replies on approval of custodian qualification (affixed with the official seal of the custodian) issued by the China Securities Regulatory Commission (“CSRC”) and the State Administration of Foreign Exchange (“SAFE”); (2) photocopy of the business license of the custodian (affixed with the official seal of the custodian); (3) reserved signature card (in duplicate): the front of the card shall be affixed with the special seal of the custodian and the seal of the person-in-charge of the securities account business, and the back of the card shall be affixed with the official seal of the custodian; (4) the power of attorney provided by the custodian for authorizing the handling persons to handle the issues such as opening the securities accounts; (5) the valid identity document of the handling person and the photocopy thereof; (6) Application Form for Registration of Institutional Securities Account; (7) the original and photocopy of the power of attorney of the QFII for authorizing the custodian to handle the issues such as opening the securities accounts; (8) the original and photocopy of the securities investment business license issued by the CSRC to the QFII; (9) the original and photocopy of the foreign exchange registration certificate issued by the SAFE to the QFII; (10) the approval documents of the SAFE concerning the opening of foreign exchange account and RMB special account by the QFII; (11) the erroneous trade prevention and treatment agreement executed by the QFII and its custodian, and securities company; (12) other materials as required by the SD&C. When a custodian is authorized by a QFII to apply for opening a securities account for the second time, the custodian is required to provide materials other than those set forth in paragraphs (1), (2) and (3) of this Article. Where the custodian and securities company entrusted by the QFII do not change, the material as set forth in paragraph (11) is not required to be provided. The SD&C shall, upon the reserved signature, confirm the qualification of the custodian that is authorized to conduct the securities account business. The custodian may, when conducting securities account business, make one-off authorization to the handling department, and such department shall authorize the handling person to conduct the relevant securities account business in accordance with the scope of authorization. | | 第五条 托管人首次接受合格投资者委托申请开立证券账户时,须提交以下材料:(一)中国证券监督管理委员会(以下简称中国证监会)和国家外汇管理局(以下简称国家外汇局)关于批准托管人资格的批复的复印件(加盖托管人公章);(二)托管人营业执照复印件(加盖托管人公章);(三)预留印鉴卡(一式两份):印鉴卡正面加盖托管人专用章和证券账户业务负责人名章,反面加盖托管人公章;(四)托管人出具的授权经办人办理证券账户开立等事项的授权委托书;(五)经办人有效身份证明文件及复印件;(六)《机构证券账户注册申请表》;(七)合格投资者委托托管人办理证券账户开立等事项的委托书原件及复印件;(八)中国证监会颁发的合格投资者证券投资业务许可证原件及复印件;(九)国家外汇局颁发的合格投资者外汇登记证原件及复印件;(十)国家外汇局关于合格投资者开立外汇账户和人民币特殊账户的批复文件;(十一)合格投资者及其委托的托管人、证券公司签订的错误交易防范和处理协议;(十二)本公司要求提供的其他材料。托管人再次受托为合格投资者申请开立证券账户时,须提供本条第一款(一)、(二)、(三)项以外的材料。合格投资者委托的托管人与证券公司未发生变更的,无需提供第一款(十一)项材料。本公司凭预留印鉴确认托管人受托办理证券账户业务的资格。托管人在办理证券账户业务时,可对其经办部门进行一次性授权,由该部门按授权范围授权经办人办理相关证券账户业务。 |
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Article 6 When authorizing a custodian to open a securities account, a QFII may make a one-off authorization for the opening of securities account, alteration of registration materials, non-trading transfer and other businesses. After obtaining the one-off authorization, the custodian is only required to, when conducting such businesses, issue the power of attorney and the photocopy thereof. | | 第六条 合格投资者委托托管人开立证券账户时,可以对证券账户开立、注册资料变更、非交易过户等业务一次性授权。托管人获得一次性授权后,办理相关业务时,需出具该授权书及复印件。 |
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Article 7 When a QFII opens securities accounts for itself, its clients or managed funds (insurance funds, etc), the name of such a securities account is consistent with the name of the RMB special account, and “identity document number” is the number of securities investment business license of the QFII. ...... | | 第七条 合格投资者为自身、客户或管理的基金(保险资金等)开立证券账户,证券账户名称与人民币特殊账户名称一致,“身份证明文件号码”为合格投资者证券投资业务许可证号码。 ...... |
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