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Decision of the China Securities Regulatory Commission to Amend and Repeal Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies [Effective]
中国证监会关于修改、废止《证券公司次级债管理规定》等十三部规范性文件的决定 [现行有效]
【法宝引证码】

 
Announcement of the China Securities Regulatory Commission 

中国证券监督管理委员会公告

(No. 16 [2017]) (〔2017〕16号)

The Decision to Amend and Repeal Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies is hereby issued and shall come into force on the date of issuance. 现公布《关于修改、废止<证券公司次级债管理规定>等十三部规范性文件的决定》,自公布之日起施行。
China Securities Regulatory Commission 中国证监会
December 7, 2017 2017年12月7日
Annex: 附件:
Decision to Amend and Repeal Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies 关于修改、废止《证券公司次级债管理规定》等十三部规范性文件的决定
In accordance with the requirements of the Notice of the General Office of the State Council on Further Effectively Conducting the Review of Rules and Regulatory Documents Involved in the “Decentralization-Control-Service” Reform (No. 40 [2017], General Office of the State Council), the CSRC has reviewed the regulatory documents involved in the “decentralization-control-service” reform. Upon review, the CSRC has decided that: 根据《国务院办公厅关于进一步做好“放管服”改革涉及的规章、规范性文件清理工作的通知》(国办发[2017]40号)要求,中国证券监督管理委员会对“放管服”改革涉及的规范性文件进行了清理。经过清理,中国证监会决定:
I. Certain clauses of ten regulatory documents are amended. (Annex 1)   一、对十部规范性文件的部分条款予以修改。(附件1)
II. Three regulatory documents are repealed. (Annex 2)   二、对三部规范性文件予以废止。(附件2)
This Decision shall come into force on the date of issuance. 本决定自公布之日起施行。
Annexes: 附件:
1. Regulatory Documents to be Amended upon the Decision of the China Securities Regulatory Commission 1.中国证监会决定修改的规范性文件
2. Regulatory Documents to be Repealed upon the Decision of the China Securities Regulatory Commission 2.中国证监会决定废止的规范性文件
Annex 1 附件1
Regulatory Documents to be Amended upon the Decision of the China Securities Regulatory Commission 中国证监会决定修改的规范性文件
I. Article 8 of the Provisions on the Administration of Subordinated Debts of Securities Companies is deleted.   一、删去《证券公司次级债管理规定》第八条。
One article is added as Article 9: “To borrow or issue subordinated debts, a securities company shall submit the following recordation documents to the local CSRC office at the place of its domicile within five working days from the date of completion (or from the date of completion of each issue in the case of issuance in installments). 增加一条,作为第九条:“证券公司借入或发行次级债,应当自完成之日起(分期发行的,于每期发行完成之日起)5个工作日内,向公司住所地中国证监会派出机构提交以下备案文件:
“(1) Recordation report. It shall at least cover the following content: brief information on the securities company's borrowing or issuance of subordinated debts, and an explanation that the securities company meets the conditions for the borrowing or issuance of subordinated debts. “(一)备案报告。应当至少包括以下内容:证券公司借入或发行次级债的概况,证券公司符合借入或发行次级债条件的说明;
“(2) A prospectus or subordinated debt contract. “(二)募集说明书或次级债务合同;
“(3) A list of creditors. It shall cover the information on the creditor's name, claim amount and affiliation with the securities company and other parties to debts. “(三)债权人清单。应当包括债权人名称、债权金额、与证券公司等债务当事人关联关系情况;
“(4) Bank deposit receipt of debt fund. “(四)债务资金银行进账单;
“(5) Other documents required by the CSRC.” “(五)中国证监会要求提交的其他文件。”
Article 11 is amended to read: “To modify a subordinated debt contract (including extension), a securities company shall submit the following recordation documents to the local CSRC office at the place of its domicile within five working days after the completion of the contract. 第十一条修改为:“证券公司变更次级债务合同(含展期),应当自完成之日起5个工作日内,向公司住所地中国证监会派出机构提交以下备案文件:
“(1) Recordation report. It shall at least cover the following content: brief information on and reason for the modification to the contract. “(一)备案报告。应当至少包括以下内容:合同变更概况、原因;
“(2) The subordinated debt contract after the modification. “(二)变更后的次级债务合同;
“(3) Other documents required by the CSRC.” “(三)中国证监会要求提交的其他文件。”
Article 12 is amended to read: “To repay a subordinated debt, a securities company shall submit a recordation report and relevant documents to the local CSRC office at the place of its domicile within five working days after completing the repayment. 第十二条修改为:“证券公司偿还次级债务,应当自完成之日起5个工作日内,向公司住所地中国证监会派出机构提交备案报告等相关文件。
“Where a securities company repays the subordinated debt ahead of schedule, it shall, in the recordation report, state the reason for repaying the subordinated debt ahead of schedule and whether it meets the conditions for advance repayment, and shall also submit a resolution on the repayment of the subordinated debt ahead of schedule.” “证券公司提前偿还次级债务的,应当在备案报告中说明提前偿还次级债务的原因以及是否符合提前偿还条件,还应当提交关于提前偿还次级债务的决议。”
Article 13 is amended to read: “The local CSRC office shall, under the premise of complete recordation documents for the subordinated debt borrowed by the securities company, issue a recordation receipt to the recordation applicant within five working days as of receipt of recordation documents. The relevant securities company may, after receiving the recordation receipt, include the borrowed subordinated debt in the net capital according to the prescribed amount.” 第十三条修改为:“在证券公司借入次级债备案文件齐备的前提下,中国证监会派出机构应当自接收备案文件之日起5个工作日内向备案申请人出具备案回执。相关证券公司在收到备案回执后,可以将已借入的次级债按规定的金额计入净资本。”
Articles 14 and 17 are deleted. 删去第十四条、第十七条。
Paragraph 1 of Article 20 is amended to read: “A securities company shall, at least three working days before the date when the subordinated debt is borrowed or issued, disclose the information on the proposed borrowing or issuance of subordinated debt on its website, and disclose the subsequent issuance of subordinated debts in a timely manner.” 第二十条第一款修改为:“证券公司应在借入或发行次级债之日前至少3个工作日在公司网站公开披露拟借入或发行次级债情况,并及时披露次级债券的后续发行情况。”
II. “Legal opinion” in paragraph 2 of Article 9 of the Interim Provisions on the Approval of the Business Scope of Securities Companies is deleted.   二、删去《证券公司业务范围审批暂行规定》第九条第二款中的“法律意见书”。
III. In Article 3 of the Provisions on the Formation of Institutions in Hong Kong by Securities Investment Fund Management Companies, “the Measures for the Administration of Securities Investment Fund Management Companies (Order No. 22, CSRC)” is amended to read: “Measures for the Administration of Securities Investment Fund Management Companies (Order No. 84, CSRC).”   三、将《关于证券投资基金管理公司在香港设立机构的规定》第三条中的“《证券投资基金管理公司管理办法》(证监会令第22号)”修改为“《证券投资基金管理公司管理办法》(证监会令第 84号)”。
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