| Notice by the Shenzhen Stock Exchange and China Securities Depository and Clearing Co., Ltd. of Matters Concerning Banks' Participation in the Settlement of Bond Transactions on the Shenzhen Stock Exchange | | 深圳证券交易所、中国证券登记结算有限责任公司关于银行参与深圳证券交易所债券交易结算有关事项的通知 |
| (No. 34 [2020] of the Shenzhen Stock Exchange) | | （深证上〔2020〕34号） |
| All banks: | | 各银行： |
| For the purposes of implementing the spirit of the Notice by the China Securities Regulatory Commission, the People's Bank of China and the China Banking and Insurance Regulatory Commission of Issues Concerning Banks' Participation in Bond Transactions on Stock Exchanges (No. 81 [2019], CSRC), and further expanding the scope of banks participating in bond transactions on stock exchanges, you are hereby notified of relevant matters concerning banks' participation in the settlement of bond transactions on the Shenzhen Stock Exchange (hereinafter referred to as the “SZSE”) as follows: | | 为贯彻落实中国证监会、中国人民银行、中国银保监会《关于银行在证券交易所参与债券交易有关问题的通知》（证监发〔2019〕81号）精神，进一步扩大在证券交易所参与债券交易的银行范围，现就银行参与深圳证券交易所（以下简称深交所）债券交易结算有关事项通知如下： |
| I. Policy banks, China Development Bank, large state-owned commercial banks, joint-stock commercial banks, urban commercial banks, foreign-funded banks in China and other banks listed in China may participate in the trading of the following varieties on the SZSE: | | 一、政策性银行、国家开发银行、国有大型商业银行、股份制商业银行、城市商业银行、在华外资银行及境内上市的其他银行，可以进入深交所参与以下品种的交易： |
| (1) The auction trading of bonds and spot asset-backed securities. Bond types shall include but are not limited to national bonds, local government bonds, financial bonds, government-supported bonds, enterprise bonds, and corporate bonds (including convertible corporate bonds and exchangeable corporate bonds), among others. | | （一）债券和资产支持证券现券的竞价交易，债券品种包括但不限于国债、地方政府债券、金融债券、政府支持债券、企业债券、公司债券（含可转换公司债券、可交换公司债券）等； |
| (2) Subscription, purchase, redemption and trading of the funds with bonds and asset-backed securities as the subject matters of investment. | | （二）以债券和资产支持证券作为投资标的的基金的认购、申购、赎回与交易； |
| (3) Trading of other varieties recognized by the SZSE. | | （三）深交所认可的其他品种的交易。 |
| II. A bank that meets the following requirements may apply for becoming a bond transaction participant on the SZSE to directly participate in bond transactions: | | 二、符合以下条件的银行可以申请成为深交所债券交易参与人，直接参与债券交易： |
| (1) Its net assets at the end of the most recent accounting year exceed RMB 10 billion, and it has actively participated in bond transactions that year. | | （一）最近一个会计年度年末净资产超过100亿元人民币、债券交易较为活跃； |
| (2) It has rich bond investment management experience and a professional trading team. | | （二）具有丰富的债券投资管理经验和专业的交易团队； |
| (3) Its relevant business management system, risk management system, and technical systems can support bond transactions. | | （三）相关业务管理制度、风险管理制度、技术系统能够支持债券交易的开展； |
| (4) It has relatively good sustainable operation capability, and has committed no major violation of laws or regulations in the bond transaction settlement in the past two years. | | （四）具有较好的持续经营能力，近两年债券交易结算未发生重大违法违规事件； |
| (5) It meets other conditions as prescribed by the SZSE. | | （五）符合深交所规定的其他条件。 |
Bond transaction participants shall comply with relevant provisions on other transaction participants in the Member Management Rules of the Shenzhen Stock Exchange, the Trading Rules of the Shenzhen Stock Exchange and other rules. As needed for market development, the SZSE may adjust the conditions for bond transaction participants.
．．．．．． | | 债券交易参与人应当遵守《深圳证券交易所会员管理规则》《深圳证券交易所交易规则》等规则关于其他交易参与人的相关规定。根据市场发展需要，深交所可以调整债券交易参与人的条件。
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