| Announcement of the China Banking and Insurance Regulatory Commission on Requesting Public Comments on the Measures for the Management of Net Capital of Wealth Management Subsidiaries of Commercial Banks (for Trial Implementation) (Exposure Draft) | | 中国银保监会关于《商业银行理财子公司净资本管理办法（试行）（征求意见稿）》公开征求意见的公告 |
In accordance with the Guiding Opinions on Regulating the Asset Management Business of Financial Institutions, the Measures for the Supervision and Administration of the Wealth Management Business of Commercial Banks, the Measures for the Administration of Wealth Management Subsidiaries of Commercial Banks and other relevant provisions, the China Banking and Insurance Regulatory Commission has drafted the Measures for the Administration of Net Capital of Wealth Management Subsidiaries of Commercial Banks (for Trial Implementation) (Exposure Draft), which are hereby issued for public comments. The public may submit their comments by the following means: | |
根据《关于规范金融机构资产管理业务的指导意见》《商业银行理财业务监督管理办法》《商业银行理财子公司管理办法》等相关规定，银保监会起草了《商业银行理财子公司净资本管理办法（试行）（征求意见稿）》，现向社会公开征求意见。公众可以通过以下途径反馈意见： |
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| I. Logging onto the legal information website of the Chinese government (http://www.chinalaw.gov.cn), and submitting comments through the “Requests for Comments on Legislation” column of the main menu on the homepage. | | 一、登录中国政府法制信息网（网址：http：//www.chinalaw.gov.cn），进入首页主菜单的“立法意见征集”栏目提出意见。 |
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| II. By email at: yhlc@cbirc.gov.cn | | 二、通过电子邮件将意见发送至：yhlc@cbirc.gov.cn |
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| III. By letter at: China Banking and Insurance Regulatory Commission, A15 Jinrong Street, Xicheng District, Beijing, 100140, with “Comments on the Measures for the Management of Net Capital of Wealth Management Subsidiaries” indicated on the envelop. | | 三、通过信函方式将意见寄至：北京市西城区金融大街甲15号中国银保监会（邮编：100140），并请在信封上注明“理财子公司净资本管理办法征求意见”字样。 |
Comments may be submitted until October 27, 2019. | |
意见反馈截止时间为2019年10月27日。 |
China Banking and Insurance Regulatory Commission | |
中国银保监会 |
September 20, 2019 | |
2019年9月20日 |
Measures for the Management of Net Capital of Wealth Management Subsidiaries of Commercial Banks (for Trial Implementation) (Exposure Draft) | |
商业银行理财子公司净资本管理办法（试行）（征求意见稿） |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 (Legislative Basis) For the purposes of strengthening the supervision and administration of wealth management subsidiaries of commercial banks (hereinafter referred to as “banks' wealth management subsidiaries”), promoting the safe and stable operation of banks' wealth management subsidiaries, and protecting investors' lawful rights and interests, these Measures are developed in accordance with the Banking Supervision Law of the People's Republic of China and other laws and administrative regulations, as well as the Guiding Opinions on Regulating the Asset Management Business of Financial Institutions, the Measures for the Supervision and Administration of the Wealth Management Business of Commercial Banks, and the Measures for the Administration of Wealth Management Subsidiaries of Commercial Banks. | | 第一条 （立法依据）为加强对商业银行理财子公司（以下简称银行理财子公司）的监督管理，促进银行理财子公司安全稳健运行，保护投资者合法权益，根据《中华人民共和国银行业监督管理法》等法律、行政法规以及《关于规范金融机构资产管理业务的指导意见》《商业银行理财业务监督管理办法》《商业银行理财子公司管理办法》，制定本办法。 |
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| Article 2 (Scope of Application) These Measures shall apply to banks' wealth management subsidiaries legally formed within the territory of the People's Republic of China. | | 第二条 （适用范围）本办法适用于在中华人民共和国境内依法设立的银行理财子公司。 |
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| Article 3 (General Requirements) A bank's wealth management subsidiary shall manage net capital in accordance with the provisions of these Measures, and establish a net capital monitoring and supplement mechanism according to its business development, so as to ensure that it continuously complies with net capital regulatory requirements. | | 第三条 （总体要求）银行理财子公司应当按照本办法规定实施净资本管理，根据自身业务开展情况，建立净资本监控和补充机制，确保持续符合净资本监管要求。 |
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| Article 4 (Requirements for Stress Testing) A bank's wealth management subsidiary shall, in accordance with the Measures for the Supervision and Administration of the Wealth Management Business of Commercial Banks and other regulatory provisions, conduct stress testing on a periodical basis to measure net capital adequacy level under different stress scenarios and ensure the effective application of stress testing results. | | 第四条 （压力测试要求）银行理财子公司应当按照《商业银行理财业务监督管理办法》等监管规定，定期开展压力测试，测算不同压力情景下的净资本充足水平，并确保压力测试结果得到有效应用。 |
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Article 5 (Duties of the Board of Directors) The board of directors of a bank's wealth management subsidiary shall assume ultimate responsibility for the company's net capital management, and be responsible for setting net capital management objectives and approving and supervising the implementation of the net capital management plan.
．．．．．． | | 第五条 （董事会职责）银行理财子公司董事会承担本公司净资本管理的最终责任，负责确定净资本管理目标，审批并监督实施净资本管理规划。
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