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Notice of the China Securities Regulatory Commission and the State-Owned Assets Supervision and Administration Commission of the State Council on Several Issues concerning Regulating Fund Transactions between Listed Companies and Their Affiliates and the External Guarantee of Listed Companies (2017 Amendment) [Effective]
中国证券监督管理委员会、国务院国有资产监督管理委员会关于规范上市公司与关联方资金往来及上市公司对外担保若干问题的通知(2017修改) [现行有效]
【法宝引证码】

 
Notice of the China Securities Regulatory Commission and the State-Owned Assets Supervision and Administration Commission of the State Council on Several Issues concerning Regulating Fund Transactions between Listed Companies and Their Affiliates and the External Guarantee of Listed Companies 

中国证券监督管理委员会、国务院国有资产监督管理委员会关于规范上市公司与关联方资金往来及上市公司对外担保若干问题的通知

(Issued by No. 56 [2003] of the CSRC on August 28, 2003, and amended in accordance with the 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 issued on December 7, 2017) (2003年8月28日证监发[2003]56号公布,根据2017年12月7日《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》修改)

For the purposes of further regulating fund transactions between listed companies and their controlling shareholders and other affiliates, effectively controlling the external guarantee risks of listed companies, and protecting the lawful rights and interests of investors, in accordance with the Company Law of the People's Republic of China, the Securities Law of the People's Republic of China, the Interim Regulation of the People's Republic of China on the Supervision and Administration of State-Owned Assets of Enterprises, and other laws and regulations, the relevant issues are hereby announced as follows: 为进一步规范上市公司与控股股东及其他关联方的资金往来,有效控制上市公司对外担保风险,保护投资者合法权益,根据《中华人民共和国公司法》、《中华人民共和国证券法》、《中华人民共和国企业国有资产监督管理暂行条例》等法律法规,现就有关问题通知如下:
I. Further regulating fund transactions between listed companies and their controlling shareholders and other affiliates   一、进一步规范上市公司与控股股东及其他关联方的资金往来
The fund transactions between a listed company and its controlling shareholder or any other affiliate shall comply with the following provisions: 上市公司与控股股东及其他关联方的资金往来,应当遵守以下规定:
(1) The controlling shareholder or any other affiliate shall strictly restrict the occupation of the listed company's funds in the fund transactions with the listed company in business operations. The controlling shareholder or any other affiliate shall not require the listed company to pay the wage, welfare benefits, insurance, advertising fee or any other expense for it, and shall not assume the cost or any other expenditure for each other. (一)控股股东及其他关联方与上市公司发生的经营性资金往来中,应当严格限制占用上市公司资金。控股股东及其他关联方不得要求上市公司为其垫支工资、福利、保险、广告等期间费用,也不得互相代为承担成本和其他支出;
(2) A listed company shall not provide funds directly or indirectly to the controlling shareholder or any other affiliate for use by the following means: (二)上市公司不得以下列方式将资金直接或间接地提供给控股股东及其他关联方使用:
(a) Lending the company's funds, gratuitously or non-gratuitously, to the controlling shareholder or any other affiliate for use. 1.有偿或无偿地拆借公司的资金给控股股东及其他关联方使用;
(b) Providing an affiliate with entrustment loans through a bank or non-banking financial institution. 2.通过银行或非银行金融机构向关联方提供委托贷款;
(c) Entrusting the controlling shareholder or any other affiliate to conduct investment activities. 3.委托控股股东及其他关联方进行投资活动;
(d) Issuing a commercial acceptance bill with no truthful transaction background to the controlling shareholder or any other affiliate. 4.为控股股东及其他关联方开具没有真实交易背景的商业承兑汇票;
(e) Repaying debts on behalf of the controlling shareholder or any other affiliate. 5.代控股股东及其他关联方偿还债务;
(f) Other methods determined by the CSRC. 6.中国证监会认定的其他方式。
(3) When auditing a listed company's annual financial accounting report, a certified public accountant shall, according to the aforesaid provisions, issue a special explanation on the listed company's occupation of funds by the controlling shareholder or any other affiliate, and the company shall make an announcement on the special explanation. (三)注册会计师在为上市公司年度财务会计报告进行审计工作中,应当根据上述规定事项,对上市公司存在控股股东及其他关联方占用资金的情况出具专项说明,公司应当就专项说明作出公告。
II. Strictly controlling the external guarantee risks of listed companies   二、严格控制上市公司的对外担保风险
...... 上市公司全体董事应当审慎对待和严格控制对外担保产生的债务风险,并对违规或失当的对外担保产生的损失依法承担连带责任。控股股东及其他关联方不得强制上市公司为他人提供担保。
 ......

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