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Notice by the General Office of the China Banking Regulatory Commission of Regulating the Matters concerning the Reporting by Shareholders of Commercial Banks [Effective]
中国银监会办公厅关于规范商业银行股东报告事项的通知 [现行有效]
【法宝引证码】

Notice by the General Office of the China Banking Regulatory Commission of Regulating the Matters concerning the Reporting by Shareholders of Commercial Banks 

中国银监会办公厅关于规范商业银行股东报告事项的通知

(No. 49 [2018] of the China Banking Regulatory Commission) (银监办发〔2018〕49号)

All local offices of the China Banking Regulatory Commission (“CBRC”); all large-sized banks and joint-stock banks; and postal savings banks: 各银监局,各大型银行、股份制银行,邮储银行:
In order to implement the relevant provisions of the Interim Measures for the Equity Management of Commercial Banks (Order No. 1 [2018], CBRC) on matters concerning shareholder reporting, you are hereby notified of the relevant matters as follows: 为贯彻落实《商业银行股权管理暂行办法》(银监会令2018年第1号)关于股东报告事项的相关规定,现就有关事项通知如下:
I. Scope of and Requirements for Reporting   一、报告范围和要求
Where a shareholder of a commercial bank, along with its affiliates and persons acting in concert, holds, either separately or jointly, not less than 1% nor more than 5% (“not less than” shall include the figure itself, and “nor more than” shall exclude the figure itself, here and below) of the commercial bank's total capital or total shares, it shall, within ten working days after obtaining corresponding equities, report to the CBRC or its local office through the commercial bank. A shareholder of a listed commercial bank shall, within ten working days from the date when it knows or should have known the separate or joint holding of not less than 1% nor more than 5% of the commercial bank's total shares, report to the CBRC or its local office through the commercial bank. 商业银行股东及其关联方、一致行动人单独或合计持有商业银行资本总额或股份总额百分之一以上、百分之五以下(“以上”含本数,“以下”不含本数,下同)的,应当在取得相应股权后十个工作日内通过商业银行向银监会或其派出机构报告。上市商业银行股东应当在知道或应知道单独或合计持有商业银行股份总额百分之一以上、百分之五以下之日起十个工作日内通过商业银行向银监会或其派出机构报告。
II. List of Report Materials   二、报告材料目录
(1) A shareholders' basic information and certification materials. Basic registration information, industry information, business status, financial information, and the status of the enterprise, among others, and whether it is subject to any measure such as suspension of business for rectification, designated custody, take-over, and cancellation, or enters dissolution, bankruptcy or liquidation procedures. (一)关于股东基本信息和证明材料。基本登记信息、行业信息、经营状况、财务信息、企业状态等,是否被采取停业整顿、指定托管、接管或撤销等措施,或者进入解散、破产、清算程序。
(2) A shareholder's information under the penetration principle and certification materials. Equity structure, which shall be explained level by level up to its actual controller and ultimate beneficiary, so as to disclose the true background of the shareholder and explain the true purposes of its shareholding.
......
 (二)关于股东穿透信息和证明材料。股权结构,逐层说明直至实际控制人、最终受益人,披露股东真实背景,说明持股真实目的。
......

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