| Notice by the Securities Association of China of Issuing the Revised Guidelines on the Negative List for the Undertaking of Non-publicly Offered Corporate Bond Projects | | 中国证券业协会关于发布修订后的《非公开发行公司债券项目承接负面清单指引》的通知 |
| (No. 102 [2018] of the Securities Association of China) | | （中证协发[2018]102号） |
| All entity members: | | 各会员单位： |
| For the purposes of further preventing risks in the non-public offering of corporate bonds, on the basis of extensive solicitation of opinions from the industries and regulatory departments, the Securities Association of China has revised the Guidelines on the Negative List for the Undertaking of Non-publicly Offered Corporate Bond Projects. The revised Guidelines, which have been voted through at the 7th meeting of the Sixth Council of the Securities Association of China, are hereby issued, and shall come into force on the date of issuance. | | 为进一步防范非公开发行公司债券业务风险，在广泛征集行业与监管部门意见的基础上，我会对《非公开发行公司债券项目承接负面清单指引》进行了修订。修订稿已经协会第六届理事会第七次会议表决通过，现予发布，自发布之日起正式实施。 |
| Annex: Guidelines on the Negative List for the Undertaking of Non-publicly Offered Corporate Bond Projects (2018 Revision) | | 附件：非公开发行公司债券项目承接负面清单指引（2018年修订） |
| Securities Association of China | | 中国证券业协会 |
| May 11, 2018 | | 2018年5月11日 |
| Guidelines on the Negative List for the Undertaking of Non-publicly Offered Corporate Bond Projects (2018 Revision) | | 非公开发行公司债券项目承接负面清单指引 |
| | （2018年修订） |
| Article 1 For the purposes of effectively conducting the risk control and management of the underwriting of non-publicly offered corporate bonds, these Guidelines are developed in accordance with the Measures for the Administration of the Offering and Trading of Corporate Bonds and other relevant laws and regulations and self-disciplinary rules. | | |
| | 第一条 为做好非公开发行公司债券的承销业务风险控制管理工作，根据《公司债券发行与交易管理办法》等相关法律法规及自律规则，制定本指引。 |
| Article 2 The negative list management shall be implemented for the undertaking of non-publicly offered corporate bond projects. Underwriting institutions shall not undertake the project within the scope restricted by the negative list. | | |
| | 第二条 |
| Article 3 The Securities Association of China (“SAC”) shall be responsible for organizing the research on, determining, and issuing the negative list on the website of the SAC. | | |
| | 第三条 中国证券业协会（以下简称协会）负责组织研究确定并在协会网站发布负面清单。 |
| Article 4 The SAC may invite relevant competent departments, stock exchanges, securities companies and other industry experts to form a negative list assessment expert team to conduct an assessment of the negative list at least once half a year, and may conduct assessment from time to time as required for business development and supervision. | | |
| | 第四条 协会可以邀请相关主管部门、证券交易场所、证券公司及其他行业专家成立负面清单评估专家小组，至少每半年对负面清单进行一次评估，可以根据业务发展与监管需要不定期进行评估。
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