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| Guiding Opinions of the CPC Central Committee and the State Council on Improving the Management of State Financial Capital | | 中共中央、国务院关于完善国有金融资本管理的指导意见 |
| (June 30, 2018) | | （2018年6月30日） |
| State financial capital is an important guarantee for advancing national modernization and maintaining national financial security as well as a significant material basis and political foundation for the development of the cause of the party and the state. State-owned financial institutions are an important pillar to serve the real economy, prevent and control financial risks, and deepen financial reforms and a critical force to promote the virtuous circle and sound development of economy and finance. Over recent years, the scale of China's state financial capital has grown steadily, its strength has increasingly expanded, management systems and mechanisms have been continuously improved, the reform of state-owned financial institutions has continued to be advanced, and operating profits have been significantly raised, representing important contributions to the steady and sound development of the socialist market economy. However, it shall be noted that there still exist conflicts and problems in the management of state financial capital, such as decentralization of duties, unclear powers and responsibilities, ambiguous authorization, poor layout, allocation inefficiency, and ineffective rule of law, and it is necessary to further improve state financial capital systems and mechanisms and management regimes. With an eye to the future, in the course of securing a decisive victory in building a moderately prosperous society in all respects, realizing socialist modernization, and the great rejuvenation of the Chinese nation, the decisions and arrangements of the CPC Central Committee and the State Council shall be conscientiously implemented, the requirements of the National Financial Work Conference shall be followed to continue using the important role of state financial capital, state financial capital shall be controlled, effectively managed, and unswervingly made strong, excellent and big, and the vitality, controllability, influence, and risk resistance capabilities of state financial capital shall continue to be improved. The following opinions are hereby offered on improving the management of state financial capital. | | 国有金融资本是推进国家现代化、维护国家金融安全的重要保障，是我们党和国家事业发展的重要物质基础和政治基础。国有金融机构是服务实体经济、防控金融风险、深化金融改革的重要支柱，是促进经济和金融良性循环健康发展的重要力量。近年来，我国国有金融资本规模稳步增长，实力日益壮大，管理体制机制不断健全，国有金融机构改革持续推进，运营效益明显提升，为促进社会主义市场经济平稳健康发展作出了重要贡献。但也要看到，当前国有金融资本管理还存在职责分散、权责不明、授权不清、布局不优，以及配置效率有待提高、法治建设不到位等矛盾和问题，需要进一步完善国有金融资本体制机制，优化管理制度。面向未来，在决胜全面建成小康社会、实现社会主义现代化和中华民族伟大复兴的进程中，要认真贯彻落实党中央、国务院决策部署，按照全国金融工作会议要求，继续发挥国有金融资本的重要作用，依法依规管住管好用好、坚定不移做强做优做大国有金融资本，不断增强国有经济的活力、控制力、影响力和抗风险能力。现就完善国有金融资本管理提出如下意见。 |
| I. General requirements | | 一、总体要求 |
| 1. Guiding ideology. The great banner of socialism with Chinese characteristics shall be held high, the Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era shall be taken as the guidance, the spirit of the 19th CPC National Congress and the National Financial Work Conference shall be comprehensively implemented, the basic socialist economic system shall be adhered to and improved under the precondition of protecting the various types of property rights according to law, putting the focus on improving the efficiency of state financial capital and the vitality, competitiveness, and sustainable development capabilities of state-owned financial institutions, it shall be taken as a principle to respect the laws of market economy and the law of enterprise development, being based on the orientation of serving the real economy, preventing and controlling financial risk, and deepening financial reform. The strategic distribution of state financial capital shall be coordinated, the state financial capital management system shall be improved, the state financial capital management regime shall be optimized, and the sustained and sound management of state-owned financial institutions shall be promoted so as to provide powerful support for promoting the modernization of financial governance systems and governance capabilities, safeguard national financial security, and boost sustained and robust economic and social development. | | （一）指导思想。高举中国特色社会主义伟大旗帜，以习近平新时代中国特色社会主义思想为指导，全面贯彻党的十九大和全国金融工作会议精神，坚持和完善社会主义基本经济制度，以依法保护各类产权为前提，以提高国有金融资本效益和国有金融机构活力、竞争力和可持续发展能力为中心，以尊重市场经济规律和企业发展规律为原则，以服务实体经济、防控金融风险、深化金融改革为导向，统筹国有金融资本战略布局，完善国有金融资本管理体制，优化国有金融资本管理制度，促进国有金融机构持续健康经营，为推动金融治理体系和治理能力现代化，保障国家金融安全，促进经济社会持续健康发展提供强大支撑。 |
| 2. Basic principles | | （二）基本原则 |
| — Adhering to serving the big picture: The public economy shall be unswervingly consolidated and developed, the dominant position of state financial capital in the financial field shall be maintained, and the state's control over priority financial institutions shall be kept so as to better serve the development of China's socialist market economy. | | --坚持服务大局。毫不动摇地巩固和发展公有制经济，保持国有金融资本在金融领域的主导地位，保持国家对重点金融机构的控制力，更好服务于我国社会主义市场经济的发展。 |
| — Adhering to unified management: The innovation in the state financial capital management system shall be promoted through the rule-of-law thinking and methods. The unified management, look-through management, and statistical monitoring of state financial capital shall be tightened, the whole-process regulation of state property rights shall be enhanced, and a full-standard reporting system shall be carried out. | | --坚持统一管理。通过法治思维和法治方式推动国有金融资本管理制度创新。加强国有金融资本的统一管理、穿透管理和统计监测，强化国有产权的全流程监管，落实全口径报告制度。 |
| — Adhering to clear powers and duties: The powers and duties of financial regulatory authorities, the agencies that perform the duties of state financial capital contributors, and the state-owned financial institutions shall be specified. The authorized operation system shall be bettered, and the principal-agent relationship shall be clarified. Management shall be combined with control, and the incentive and restraint mechanism shall be improved so as to strictly prevent the loss of state financial capital. | | --坚持权责明晰。厘清金融监管部门、履行国有金融资本出资人职责的机构和国有金融机构的权责，完善授权经营体系，清晰委托代理关系。放管结合，健全激励约束机制，严防国有金融资本流失。 |
| — Adhering to a problem-oriented approach: The focus shall be on the problems and obstacles that restrict the management of state financial capital, coordination shall be strengthened, plans shall be made in an overall manner, management systems and mechanisms shall be rationalized, and the basic management system shall be refined so as to promote the optimization of distribution of, well-regulated operation of, and preservation and appreciation of the value in state financial capital, and earnestly safeguard capital security. | | --坚持问题导向。聚焦制约国有金融资本管理的问题和障碍，加强协调，统筹施策，理顺管理体制机制，完善基本管理制度，促进国有金融资本布局优化、运作规范和保值增值，切实维护资本安全。 |
| —Adhering to the leadership of the CPC: The requirements of full and strict governance over the Party shall be put into practice, Party leadership and Party building in state-owned financial institutions shall be reinforced, and the integration of capital management with Party management shall be boosted so as to ensure that the Party's line, principles, policies, and major decisions and arrangements are implemented without compromise. | | --坚持党的领导。落实全面从严治党要求，加强国有金融机构党的领导和党的建设，推动管资本与管党建相结合，保证党的路线方针政策和重大决策部署不折不扣贯彻落实。 |
| 3. Main objectives | | （三）主要目标 |
| The “four beams and eight pillars” for the management of state financial capital shall be established and improved, the strategic distribution of state financial capital shall be optimized, the state financial capital management system shall be rationalized, and the vitality and control capabilities of the state-owned financial institutions shall be heightened so as to promote the preservation and appreciation of the value of the state financial capital and better accomplish the three basic tasks: serving the real economy, preventing and controlling financial risks, and deepening the financial reform. | | 建立健全国有金融资本管理的“四梁八柱”，优化国有金融资本战略布局，理顺国有金融资本管理体制，增强国有金融机构活力与控制力，促进国有金融资本保值增值，更好地实现服务实体经济、防控金融风险、深化金融改革三大基本任务。 |
| — More sound laws and regulations: Laws and regulations for the management of state financial capital shall be developed and issued to clarify the legal status of capital contributors and achieve the goal of “power conferred by law and power and duties prescribed by law. The agencies that perform the duties of state financial capital contributors shall exercise relevant rights according to law and assume management responsibilities in accordance with the principles of powers matching responsibilities and rights equal with responsibilities. | | --法律法规更加健全。制定出台国有金融资本管理法律法规，明晰出资人的法律地位，实现权由法授、权责法定。履行国有金融资本出资人职责的机构依法行使相关权利，按照权责匹配、权责对等原则，承担管理责任。 |
| —More reasonable capital distribution: There shall be advances and retreats, priorities shall be highlighted, the efficiency of allocation of state financial capital shall be further raised, the leading role of state financial capital in the financial field shall be effectively used, state control over priority state-owned financial institutions shall continue to be maintained, and the capability of financial services for the real economy shall be significantly enhanced. | | --资本布局更加合理。有进有退、突出重点，进一步提高国有金融资本配置效率，有效发挥国有金融资本在金融领域的主导作用，继续保持国家对重点国有金融机构的控制力，显著增强金融服务实体经济的能力。 |
| — More robust capital management: With capital as a link, with property rights as the foundation, the principal-agent relationship shall be optimized, state financial capital management methods shall be bettered, capital management mechanisms shall be innovated, capital management means shall be enhanced, the incentives and restraining role shall be used, and infrastructure construction shall be intensified so as to further make management more scientific and effective. | | --资本管理更加完善。以资本为纽带，以产权为基础，规范委托代理关系，完善国有金融资本管理方式，创新资本管理机制，强化资本管理手段，发挥激励约束作用，加强基础设施建设，进一步提高管理的科学性、有效性。 |
| — More enhanced Party building: Party leadership over state-owned financial institutions shall be enhanced, the Party building of state-owned financial institutions shall be tightened, the legal status of Party committees (leading Party members' groups) in corporate governance shall be consolidated, and the leading role of Party committees (leading Party members' groups) shall be underscored so as to provide strong and powerful political guarantees, organizational guarantee, and talent support for state financial capital management. | | --党的建设更加强化。加强党对国有金融机构的领导，强化国有金融机构党的建设，巩固党委（党组）在公司治理中的法定地位，发挥党委（党组）的领导作用，为国有金融资本管理提供坚强有力的政治保证、组织保证和人才支撑。 |
| II. Improving the state financial capital management system | | 二、完善国有金融资本管理体制 |
| "State financial capital" means the capital arising from the capital contributions directly or indirectly made to financial institutions by the state and the investors authorized by the state and the interests enjoyed by the same. Capital and interests attributed to financial institutions supported by state power and credit and the interests enjoyed by the same shall be included in the management of state financial capital, unless it is otherwise provided by law. | | 国有金融资本是指国家及其授权投资主体直接或间接对金融机构出资所形成的资本和应享有的权益。凭借国家权力和信用支持的金融机构所形成的资本和应享有的权益，纳入国有金融资本管理，法律另有规定的除外。 |
| 4. Optimizing the allocation pattern of state financial capital. The strategic distribution of state financial capital shall be planned in an overall manner, the needs of economic development shall be met. There shall be advances and retreats as well as doing and not doing something, the proportions of state financial capital in banking, insurance, securities, and other industries shall be reasonably adjusted, and capital allocation efficiency shall be increased so as to achieve the unity of strategic, security, and efficiency goals. The excessive occupation of state financial capital shall be reduced, while it is ensured that state financial capital maintains the necessary control in the financial field. For developmental and policy financial institutions, a state-owned proprietorship or wholly state-owned nature shall maintain. For institutions in the classifications of financial infrastructure involving national financial security, or of spillover effect, absolute state control shall maintain. For state-owned financial institutions that have important influence in the industry, the control capabilities and leading role of state financial capital shall maintain. For other state-owned financial institutions in the competitive field, various types of capital shall be actively introduced, and state financial capital may have majority or substantial control, or may hold shares. The reform of mixed ownership of state-owned financial institutions shall continue to be duly advanced by market-oriented principles. | | （四）优化国有金融资本配置格局。统筹规划国有金融资本战略布局，适应经济发展需要，有进有退、有所为有所不为，合理调整国有金融资本在银行、保险、证券等行业的比重，提高资本配置效率，实现战略性、安全性、效益性目标的统一。既要减少对国有金融资本的过度占用，又要确保国有金融资本在金融领域保持必要的控制力。对于开发性和政策性金融机构，保持国有独资或全资的性质。对于涉及国家金融安全、外溢性强的金融基础设施类机构，保持国家绝对控制力。对于在行业中具有重要影响的国有金融机构，保持国有金融资本控制力和主导作用。对于处于竞争领域的其他国有金融机构，积极引入各类资本，国有金融资本可以绝对控股、相对控股，也可以参股。继续按照市场化原则，稳妥推进国有金融机构混合所有制改革。 |
| 5. Defining the duties of state financial capital contributors. State financial capital belongs to the state, to wit: it is owned by the whole people. The State Council shall exercise ownership of state financial capital on behalf of the state. The State Council and local governments shall, in accordance with the laws and regulations, respectively perform the duties of capital contributors on behalf of the state. In accordance with the principles of powers matching responsibilities, rights equal with responsibilities, and the unity of powers and responsibilities, financial authorities at all levels shall, with the authorization of the governments at the same level, perform the duties of state financial capital contributors in a centralized and unified manner. The State Council shall authorize the Ministry of Finance to perform the duties of state financial capital contributors. Local governments shall authorize local financial authorities to perform the duties of local state financial capital contributors. The financial authorities at all levels which perform the duties of capital contributors shall, against relevant financial institutions, enjoy the rights of capital contributors in accordance with the laws and regulations, such as participating in major decision-making, electing management personnel, and receive investment returns, perform their duties diligently in accordance with laws, regulations, bylaws, and other provisions, and protect the interests of capital contributors. | | （五）明确国有金融资本出资人职责。国有金融资本属于国家所有即全民所有。国务院代表国家行使国有金融资本所有权。国务院和地方政府依照法律法规，分别代表国家履行出资人职责。按照权责匹配、权责对等、权责统一的原则，各级财政部门根据本级政府授权，集中统一履行国有金融资本出资人职责。国务院授权财政部履行国有金融资本出资人职责。地方政府授权地方财政部门履行地方国有金融资本出资人职责。履行出资人职责的各级财政部门对相关金融机构，依法依规享有参与重大决策、选择管理者、享有收益等出资人权利，并应当依照法律法规和企业章程等规定，履职尽责，保障出资人权益。 |
6. Strengthening the unified management of state financial capital. The state financial capital management system shall be improved, and according to the principle of unified regulation and hierarchical management, the Ministry of Finance shall be responsible for formulating unified national state financial capital management rules and regimes. Financial authorities at all levels shall perform the duties to manage state financial capital in accordance with the laws and regulations and be responsible for organizing the implementation of basic management, operating budget, performance appraisal, and the management of remunerations of the persons in charge, etc. The consolidated financial operations and integration of finance with other industries shall be strictly regulated, the management of state financial capital shall be isolated from that of industry capital, and risk firewalls shall be built to avoid mutual contagion of risks. Financial authorities at all levels may, as needed, commission other authorities and institutions to manage state financial capital by hierarchy and by classification.
．．．．．． | | （六）加强国有金融资本统一管理。完善国有金融资本管理体制，根据统一规制、分级管理的原则，财政部负责制定全国统一的国有金融资本管理规章制度。各级财政部门依法依规履行国有金融资本管理职责，负责组织实施基础管理、经营预算、绩效考核、负责人薪酬管理等工作。严格规范金融综合经营和产融结合，国有金融资本管理应当与实业资本管理相隔离，建立风险防火墙，避免风险相互传递。各级财政部门根据需要，可以分级分类委托其他部门、机构管理国有金融资本。
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