| Notice of the Ministry of Finance, the People's Bank of China and the China Securities Regulatory Commission on Issuing the Measures for the Administration of Formation of Treasury Bond Underwriting Syndicates | | 财政部、人民银行、证监会关于印发《国债承销团组建工作管理办法》的通知 |
| (No. 145 [2017] of the Ministry of Finance) | | （财库〔2017〕145号） |
| The relevant financial institutions; China Central Depository & Clearing Co., Ltd., China Securities Depository and Clearing Co., Ltd., the China Foreign Exchange Trading System, the Shanghai Stock Exchange, and the Shenzhen Stock Exchange: | | 有关金融机构，中央国债登记结算有限责任公司、中国证券登记结算有限责任公司、中国外汇交易中心、上海证券交易所、深圳证券交易所： |
| For the purposes of standardizing the formation of treasury bond underwriting syndicates, and guaranteeing the smooth issuance of treasury bonds and the stable development of the treasury bond market, the Ministry of Finance has, in conjunction with the People's Bank of China and the China Securities Regulatory Commission, developed the Measures for the Administration of Formation of Treasury Bond Underwriting Syndicates, which are hereby issued. | | 为了规范国债承销团组建工作，保障国债顺利发行和国债市场稳定发展，财政部会同人民银行、证监会制定了《国债承销团组建工作管理办法》，现予以公布。 |
| Annex: Measures for the Administration of Formation of Treasury Bond Underwriting Syndicates | | 附件：国债承销团组建工作管理办法 |
| Ministry of Finance | | 财政部 |
| People's Bank of China | | 人民银行 |
| China Securities Regulatory Commission | | 证监会 |
| August 31, 2017 | | 2017年8月31日 |
| Annex: | | 附件： |
| Measures for the Administration of Formation of Treasury Bond Underwriting Syndicates | | 国债承销团组建工作管理办法 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 These Measures are developed for the purposes of standardizing the formation of treasury bond underwriting syndicates, and guaranteeing the smooth issuance of treasury bonds and the stable development of the treasury bond market. | | 第一条 为了规范国债承销团组建工作，保障国债顺利发行和国债市场稳定发展，制定本办法。 |
| Article 2 Treasury bond underwriting syndicates are formed in accordance with the varieties of treasury bonds, including savings treasury bond underwriting syndicates and book-entry treasury bond underwriting syndicates. | | 第二条 国债承销团按照国债品种组建，包括储蓄国债承销团和记账式国债承销团。 |
| Article 3 Treasury bond underwriting syndicates shall be formed under the market-oriented principles of openness, fairness and impartiality. | | 第三条 国债承销团组建应当遵循公开、公平、公正的市场化原则。 |
| Article 4 The Ministry of Finance (“MOF”) shall, in conjunction with the People's Bank of China (“PBC”), be responsible for organizing the formation of savings treasury bond underwriting syndicates, and shall, in conjunction with the PBC and the China Securities Regulatory Commission (“CSRC”), be responsible for organizing the formation of book-entry treasury bond underwriting syndicates. | | 第四条 财政部会同人民银行负责储蓄国债承销团组建工作，会同人民银行、证监会负责记账式国债承销团组建工作。 |
| Article 5 The MOF shall, in conjunction with relevant departments and according to the market conditions and treasury bond issuance tasks, among others, determine the target number of members of a treasury bond underwriting syndicate. | | 第五条 财政部会同有关部门根据市场环境和国债发行任务等，确定国债承销团成员的目标数量。 |
| Chapter II Early-Stage Preparation | | 第二章 前期准备 |
| Article 6 The MOF shall, in conjunction with relevant departments, announce the notice on the formation of a treasury bond underwriting syndicate (hereinafter referred to as the “formation notice”) and the model master agreement on the underwriting of treasury bonds in advance. | | 第六条 财政部应当会同有关部门提前公布国债承销团组建通知（以下简称组团通知）和国债承销主协议范本。 |
| The formation notice shall include the target number of members, the application requirements, the comprehensive ranking of members of the previous treasury bond underwriting syndicate, and other content, and shall be issued no later than 20 working days (inclusive) before the application deadline. | | 组团通知应当包括成员目标数量、报名要求、上一届国债承销团成员综合排名等内容，不晚于报名截止日前20个工作日（含）发布。 |
| The model master agreement on the underwriting of treasury bonds shall cover the rights and obligations of the MOF and members of the treasury bond underwriting syndicate, and other content, and shall be concurrently issued with the formation notice. | | 国债承销主协议范本应当包括财政部和国债承销团成员双方的权利、义务等内容，与组团通知同时发布。 |
| Article 7 Before the application deadline as prescribed in the formation notice, the MOF shall be responsible for receiving the written application materials of financial institutions applying for participating in a savings treasury bond underwriting syndicate; and shall be responsible for receiving the written application materials of financial institutions applying for participating in a book-entry treasury bond underwriting syndicate. | | 第七条 在组团通知规定的报名截止日期前，财政部会同人民银行负责接收报名参加储蓄国债承销团的金融机构的书面报名材料；财政部负责接收报名参加记账式国债承销团的金融机构的书面报名材料。 |
| Article 8 The MOF shall solicit the opinions of the PBC, the CSRC, the China Banking Regulatory Commission (“CBRC”), the China Insurance Regulatory Commission (“CIRC”), and other departments, on major business activities, financial risk status, performances on the financial market, whether or not there is any record of serious violation of law in business activities in the last three years, and other matters of the financial institutions applying for participating in a treasury bond underwriting syndicate (hereinafter referred to as the “applicant”) and relevant data in the application materials. China Central Depository & Clearing Co., Ltd., China Securities Depository and Clearing Co., Ltd., the China Foreign Exchange Trading System, the Shanghai Stock Exchange, the Shenzhen Stock Exchange, and other treasury bonds custody and trading places shall provide relevant business data according to the needs of the MOF. | | 第八条 财政部应当就报名参加国债承销团的金融机构（以下简称报名机构）的重大经营活动情况、财务风险状况、金融市场表现、近3年内在经营活动中有无重大违法记录等事项，以及报名材料中的有关数据，征求人民银行、证监会、银监会、保监会等部门意见。中央国债登记结算有限责任公司、中国证券登记结算有限责任公司、中国外汇交易中心、上海证券交易所、深圳证券交易所等债券托管、交易场所应当根据财政部需要提供有关业务数据。 |
| Chapter III Selection Method | | 第三章 选择方式 |
| Article 9 The MOF shall, in conjunction with relevant departments, select members of a treasury bond underwriting syndicate from the applicants meeting the following basic conditions. | | 第九条 财政部应当会同有关部门从具备下列基本条件的报名机构中选择国债承销团成员： |
| (1) They are legally formed within the territory of China and have an independent legal person status, and their business scope covers bond underwriting. | | （一）在中国境内依法成立，具有独立法人资格，且经营范围包括债券承销。 |
| (2) They have sound finance, meet the regulatory standards in terms of capital adequacy, solvency or net capital and other indicators, and have strong risk prevention and control capability. | | （二）财务稳健，资本充足率、偿付能力或者净资本状况等方面指标达到监管标准，具有较强的风险防控能力。 |
| (3) They have full-time departments to be responsible for the treasury bond business, and have sound treasury bond investment and risk management rules. | | （三）设有专职部门负责国债业务，并具有健全的国债投资和风险管理制度。 |
| (4) They are capable of performing all obligations under the treasury bond underwriting agreements. | | （四）有能力履行国债承销协议约定的各项义务。 |
| (5) A proposed member of a savings treasury bond underwriting syndicate shall be a deposit-taking financial institution that carries out business activities in accordance with the law, has no record of serious violation of law in such business operations as savings treasury bonds, individual savings deposits and sale of wealth management products in the last three years, has registered capital of not less than one billion yuan or total assets of not less than 30 billion yuan, and has 50 or more business outlets. | | （五）拟作为储蓄国债承销团成员的，应当为依法开展经营活动，近3年内在储蓄国债、个人储蓄存款、理财产品销售等经营活动中没有重大违法记录，注册资本不低于人民币10亿元或者总资产不低于人民币300亿元，营业网点在50个以上的存款类金融机构。 |
| (6) A proposed member of a book-entry treasury bond underwriting syndicate shall be a deposit-taking financial institution that carries out business activities in accordance with the law, has no record of serious violation of law in such business operations as treasury bond underwriting and transactions in the last three years, has registered capital of not less than 500 million yuan or total assets of not less than 20 billion yuan, or a non-deposit-taking financial institution that has registered capital of not less than one billion yuan. | | （六）拟作为记账式国债承销团成员的，应当为依法开展经营活动，近3年内在债券承销、交易等经营活动中没有重大违法记录，注册资本不低于人民币5亿元或者总资产不低于人民币200亿元的存款类金融机构，或注册资本不低于人民币10亿元的非存款类金融机构。 |
| (7) A member of the previous treasury bond underwriting syndicate shall not meet the standards of withdrawal or shall have actively withdrawn from the syndicate within the validity term of the previous treasury bond underwriting syndicate. | | （七）若为上一届国债承销团成员的，应当在上一届国债承销团有效期最后一年未到退团标准或未主动退团。 |
| Article 10 A treasury bond underwriting syndicate shall be formed by the method of third-party expert review. The MOF shall, in conjunction with the relevant departments, establish the expert database and select experts to form the expert review committee. The members of the expert review committee shall, according to the prescribed marking indicator system and methods, give independent scores on the application institutions meeting the basic conditions, and according to the scores, determine the list of candidates for the treasury bond underwriting syndicate, and after undergoing such procedures as publication and entering into the master underwriting agreement, form the new treasury bond underwriting syndicate. | | 第十条 国债承销团采用第三方专家评审的方式组建。财政部会同有关部门建立专家库，从中抽取专家组成专家评审委员会，由评审委员会成员按照规定的评分指标体系和方法对符合基本条件的报名机构进行独立评分，根据评分确定国债承销团候选成员名单，经公示、签订承销主协议等程序后，组成新一届国债承销团。 |
| Article 11 Experts shall be recommended by the self-disciplinary organization for the finance sector and financial market intermediary service institutions, among others. Experts shall meet the following conditions: | | 第十一条 专家由金融行业自律性组织和金融市场中介服务机构等推荐。专家应当具备以下条件： |
| (1) Experts have good professional ethics, and are able to follow the codes of conduct of being objective, fair, clean and self-disciplined, and observing laws and disciplines in the course of review. | | （一）具有良好的职业道德，在评审过程中能以客观公正、廉洁自律、遵纪守法为行为准则。 |
| (2) Experts have been engaged in research or practical work in relevant fields for ten years or more, have a university diploma or a higher degree, and are proficient in the treasury bond business. | | （二）从事相关领域研究或实务工作满10年，具备大学（含）以上文化程度，精通国债业务。 |
| (3) Experts are willing to independently participate in review and accept the guidance and supervision of the MOF, the PBC and the CSRC. | | （三）愿意以独立身份参加评审工作，并接受财政部、人民银行、证监会的指导和监督。 |
| (4) Experts have no violation of any discipline or law, or any other bad record. | | （四）没有违纪违法等不良记录。 |
| (5) Incumbent employees who do not belong to the MOF, the PBC, the CSRC, the CBRC, the CIRC or any competent department. | | （五）不属于财政部、人民银行、证监会、银监会、保监会等主管部门在职工作人员。 |
| After confirming the recommended experts in conjunction with relevant departments, the MOF shall summarize them and form an expert database. Every time when a treasury bond underwriting syndicate is formed or new members are supplemented, the MOF shall, in conjunction with relevant departments, review the expert database, remove experts that do not meet the relevant conditions from the expert database, and appropriately supplement new members as required. | | 财政部会同有关部门对推荐的专家进行确认后，汇总形成专家库。每次组建国债承销团或增补新成员时，财政部应当会同有关部门对专家库进行复核，将不符合条件的专家调整出专家库，并根据需要进行适当增补。 |
Article 12 The MOF shall be responsible for randomly selecting an odd number of not less than seven experts from the expert database to form an expert review committee. Members of the review committee shall not take any position in the applicants or their affiliated institutions with interest relationship. When experts are randomly selected from the expert database, the MOF, the PBC and the CSRC shall send observers to conduct on-site supervision.
．．．．．． | | 第十二条 财政部负责从专家库中随机抽取专家组成人数为奇数且不少于7人的评审委员会。评审委员会成员不能在报名机构或其利益关联机构中任职。抽取专家时，财政部、人民银行、证监会派观察员到场监督。
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