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Interim Provisions on the Administration of Foreign Exchange in Domestic Securities Investments of Qualified Foreign Institutional Investors [Expired]
合格境外机构投资者境内证券投资外汇管理暂行规定 [失效]
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Announcement of the State Administration of Foreign Exchange on Promulgation of the Interim Provisions on the Administration of Foreign Exchange in Domestic Securities Investments of Qualified Foreign Institutional Investors 

国家外汇管理局关于发布《合格境外机构投资者境内证券投资外汇管理暂行规定》的公告


In accordance with the Interim Measures on the Administration of Domestic Securities Investments of Qualified Foreign Institutional Investors promulgated by Order No.12 of China Securities Regulatory Commission and the People's Bank of China, the State Administration of Foreign Exchange has formulated the Interim Provisions on the Administration of Foreign Exchange in Domestic Securities Investments of Qualified Foreign Institutional Investors, which are hereby promulgated and shall come into force on December 1, 2002.
 
根据中国证监会、人民银行第12号令发布的《合格境外机构投资者境内证券投资管理暂行办法》,国家外汇管理局制定了《合格境外机构投资者境内证券投资外汇管理暂行规定》,现予发布,自2002年12月1日起施行。

Attachment: Interim Provisions on the Administration of Foreign Exchange in Domestic Securities Investments of Qualified Foreign Institutional Investors
 
附件:《合格境外机构投资者境内证券投资外汇管理暂行规定》

November 28, 2002
 
二00二年十一月二十八日

Interim Provisions on the Administration of Foreign Exchange in Domestic Securities Investments of Qualified Foreign Institutional Investors
 
合格境外机构投资者境内证券投资外汇管理暂行规定

 
Chapter 1 General Provisions 

第一章 总则


 
Article 1 For the purpose of governing Qualified Foreign Institutional Investors' investments in China's securities market, and maintaining the stabilization of China's foreign exchange market and the international balance, these Provisions have been formulated in accordance with the Regulations of the People's Republic of China on Foreign Exchange Administration, as well as the Interim Measures on the Administration of Domestic Securities Investments of Qualified Foreign Institutional Investors (hereinafter referred to as the Interim Measures).   第一条 为了规范合格境外机构投资者(以下简称合格投资者)在中国境内证券市场的投资行为,维护中国外汇市场的稳定和国际收支的平衡,根据《中华人民共和国外汇管理条例》以及《合格境外机构投资者境内证券投资管理暂行办法》(以下简称《暂行办法》),制定本规定。

 
Article 2 A Qualified Foreign Institutional Investor (hereinafter referred to as QFII) shall entrust its custodian to go through the formalities required by these Provisions.   第二条 合格投资者应当委托其托管人代为办理本规定所要求的各项手续。

 
Article 3 QFIIs and their custodians shall comply with the relevant regulations and rules of China on foreign exchange control.   第三条 合格投资者和托管人应当遵守中国外汇管理有关法规和规章的规定。

 
Article 4 The State Administration of Foreign Exchange (hereinafter referred to as SAFE) shall, in accordance with the laws, exercise foreign exchange administration over the securities investing activities undertaken by QFIIs within China.   第四条 国家外汇管理局(以下简称国家外汇局)依法对合格投资者在中国境内进行的证券投资活动实施外汇管理。

 
Chapter 2 Administration of Custodians 

第二章 托管人管理


 
Article 5 To apply for the qualification of a custodian, a domestic commercial bank shall provide SAFE with, apart from the documents provided for in Article 14 of the Interim Measures, a report on foreign exchange operations of the last 3 years and other documents required by SAFE.   第五条 境内商业银行申请托管人资格,除向国家外汇局报送《暂行办法》十四条规定的文件外,还应提供最近三年外汇业务经营情况报告和国家外汇局要求的其他文件。

 
Article 6 A custodian shall perform the following duties with respect to foreign exchange administration:   第六条 托管人在外汇管理方面应履行下列职责:

 
1) Handling the settlement and sale of foreign exchange, collection and payment of foreign exchange and settlement of RMB capital of QFIIs; (一)办理合格投资者的有关结售汇、收付汇和人民币资金结算业务;

 
2) Supervising the investment activities of QFIIs, and reporting to the SAFE without delay in case QFII investment orders are found to have violated the provisions on foreign exchange administration; (二)监督合格投资者的投资运作,发现其投资指令违反外汇管理规定的,及时向国家外汇局报告;

 
3) When opening RMB special accounts for QFIIs, as well as processing the formalities for remitting/repatriating the principal/proceeds of QFIIs, correctly filling in the Foreign Exchange Registration Certificate of QFII (hereinafter referred to as Foreign Exchange Registration Certificate); (三)在为合格投资者开立人民币特殊账户,以及办理合格投资者汇入本金、汇出本金或者收益手续时,应在合格投资者外汇登记证(以下简称外汇登记证)上准确填列;

 
4) Reporting to SAFE in two working days after a QFII remits/repatriates its principal/proceeds; (四)在合格投资者汇入本金、汇出本金或者收益两个工作日内,向国家外汇局报告;

 
5) Reporting to SAFE about the income and expense and the investment gains and losses status of QFIIs' RMB special accounts of the last month, in five working days after the end of each month; (五)每月结束后五个工作日内,向国家外汇局报告上个月合格投资者人民币特殊账户的收支情况和投资损益情况;

 
6) Compiling an annual financial statement on QFIIs' domestic securities investment activities in the previous year and sending it to SAFE after auditing by Chinese certified public accountants, in three months after the end of each accounting year; (六)每个会计年度结束后三个月内,编制关于合格投资者上一年度境内证券投资情况的年度财务报表,经中国注册会计师审计后报送国家外汇局;

 
7) Keeping the records and other related materials on QFIIs' fund remittance, repatriation, conversion, RMB receipt and payment for no less than 15 years; (七)保存合格投资者的资金汇入、汇出、兑换和人民币资金往来记录等相关材料,保存的时间应当不少于十五年;

 
8) Making international balance statistics reports pursuant to the relevant provisions of the state on foreign exchange administration; (八)根据国家有关外汇管理规定进行国际收支统计申报;

 
9) Other duties defined by SAFE based on prudent supervision principles. (九)国家外汇局根据审慎监管原则规定的其他职责。

 
Chapter 3 Administration of Investment Quota 

第三章 投资额度管理


 
Article 7 To apply for investment quota, QFII shall supply SAFE with, apart from the documents provided for in Article 8 of the Interim Measures, the copy of the Securities Investment License issued by China Securities Regulatory Commission (hereinafter referred to as CSRC) and other documents required by SAFE.   第七条 合格投资者申请投资额度,除向国家外汇局报送《暂行办法》八条规定的文件外,还应提供中国证券监督管理委员会(以下简称中国证监会)颁发的证券投资业务许可证复印件和国家外汇局要求的其他文件。

 
Article 8 The investment quota applied for by a single QFII may not be less than the equivalent of 50 million US dollars in RMB, and may not be more than the equivalent of 800 million US dollars in RMB.   第八条 单个合格投资者申请的投资额度不得低于等值五千万美元的人民币,不得高于等值八亿美元的人民币。

SAFE may adjust the maximum and minimum investment quota a single QFII is allowed to apply for according to situation of the capital market and international balance.
 
国家外汇局根据资本市场和国际收支情况,可以调整单个合格投资者上述申请投资额度的上下限。

 
Article 9 If a QFII fails to remit adequate principals within 3 months from receiving the Foreign Exchange Registration Certificate and needs to remit adequate principals within the originally approved quota, or to remit the principal after repatriating some of the principles, or to increase the investment quota, it shall file an application with SAFE by presenting the following documents:   第九条 合格投资者在获得外汇登记证三个月内未汇足本金而需在原批准额度以内汇足本金的,或汇出部分本金后再汇入本金的,或增加投资额度的,应持下列文件向国家外汇局提出申请:

 
1) Application Form (including investment quota applied for and investment plan etc); (一)申请书(包括拟申请投资额度、投资计划等);

 
2) Foreign Exchange Registration Certificate; (二)外汇登记证;

 
3) Statement on sources of the funds, and Letter of Commitment promising not to withdraw funds during the approved period; (三)资金来源说明书及批准时间内不撤资承诺函;

 
4) Letter of authorization by the applicant; (四)申请人的授权委托书;

 
5) Report on domestic securities investment activities of the applicant; (五)申请人境内证券投资情况报告;

 
6) Other documents required by SAFE. (六)国家外汇局要求的其他文件。

SAFE shall, within 7 working days from the day when the full set of application documents are received, determine whether to grant approval or not. An official reply will be transmitted to the applicant through the custodian if the application has been approved; whereas a written notice on rejection will be transmitted to the applicant through the custodian if the application has been rejected.
 
国家外汇局自收到完整申请材料之日起七个工作日内作出批准或不批准的决定。决定批准的,出具批复文件并通过托管人向申请人转送;决定不批准的,通过托管人向申请人转送不批准的书面通知。

 
Article 10 The period of stay of the investment principals in China of a QFII shall be counted starting from the date when the QFII remits the principals for the first time.
......
   第十条 合格投资者投资本金在境内的停留期间自合格投资者第一次汇入本金之日起计算。
......

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