| | |
| Order of the People's Bank of China | | 中国人民银行令 |
(No.5 [2002]) | |
（［2002］第5号） |
In accordance with laws of Trust law of the People's Republic of China and Law of the People's Republic of China on the People's Bank of China etc, and regulations of the State Council, Administrative Rules on Trust and Investment Companies amended by the People's Bank of China, are hereby promulgated and carried out. | |
根据《中华人民共和国信托法》、《中华人民共和国中国人民银行法》等法律和国务院有关规定，中国人民银行修订了《信托投资公司管理办法》，现予以公布施行。 |
President of the People's Bank of China, Dai Xianglong | |
行长：戴相龙 |
May 9, 2002 | |
二00二年五月九日 |
Administrative Rules on Trust and Investment Companies | |
信托投资公司管理办法 |
| |
|
| Chapter I General Provisions | | 第一章 总则 |
| |
|
| Article 1 These rules are formulated according to the "Trust Law of the People's Republic of China", the " Law on the People's Bank of China of the People's Republic of China" and relevant rules of the State Council, so as to strengthen supervision and administration of Trust and Investment Companies (TICs), standardize their operations and promote healthy development of the trust and investment industry. | | 第一条 为了加强对信托投资公司的监督管理，规范信托投资公司的经营行为，促进信托业的健康发展，根据《中华人民共和国信托法》、《中华人民共和国中国人民银行法》等法律和国务院有关规定，制定本办法。 |
| |
|
| Article 2 Trust and Investment Companies (TICs) hereof refer to financial institutions that are mainly engaged in trust business and established in accordance with " Company Law of the People's Republic of China" and these rules. | | 第二条 本办法所称信托投资公司，是指依照《中华人民共和国公司法》和本办法设立的主要经营信托业务的金融机构。 |
| |
|
| Article 3 "Trust" in these rules refers to following activities: The client entrusts his or her property to the trustee based on his or her trust in the trustee and the property is managed and disposed of by the trustee on his or her own name in a way that is in line with the client's will and aimed at benefiting the beneficiary or achieving other particular goals. | | 第三条 本办法所称信托，是指委托人基于对受托人的信任，将其财产权委托给受托人，由受托人按委托人的意愿以自己的名义，为受益人的利益或者特定目的，进行管理或者处分的行为。 |
"Client" refers to individuals, legal persons or other legal organizations that have full capacity to perform civil action; "Beneficiary" refers to individuals, legal persons or other legal organizations that enjoy the benefits of entrusted property. The Client and the Beneficiary could be the same person, or otherwise. The trustee could be the beneficiary but not the only beneficiary of the same entrustment. | |
委托人应是具有完全民事行为能力的自然人、法人或者依法成立的其他组织。受益人是在信托中享有信托受益权的自然人、法人或者依法成立的其他组织。受益人和委托人可以是同一人，也可以不是同一人；受托人可以是受益人，但不得是同一信托的唯一受益人。 |
| |
|
| Article 4 "Trust business" in the regulation refers to the operation that a TIC accept the entrustment and deal with the entrustment affairs as the trustee for the purpose of operating and earning remuneration. | | 第四条 本办法所称信托业务，是指信托投资公司以营业和收取报酬为目的，以受托人身份承诺信托和处理信托事务的经营行为。 |
| |
|
| Article 5 "Entrusted property" in these rules refers to property accepted by a TIC through entrustment commitments. Any property obtained from the management, utilization, disposal or other operations of the entrusted property by a TIC shall also be regarded as entrusted property. Any property whose transaction is prohibited by laws and regulations shall not be used as entrusted property. Any property whose transaction is restricted by laws and administrative regulations can be used as entrusted property after being approved by relevant authorities. | | 第五条 本办法所称信托财产，是指信托投资公司因承诺信托而取得的财产。信托投资公司因信托财产的管理、运用、处分或者其他情形而取得的财产，也归入信托财产。法律、行政法规禁止流通的财产，不得作为信托财产;法律、行政法规限制流通的财产，依法经有关主管部门批准后，可以作为信托财产。 |
The entrusted properties are neither a TIC's own assets nor its liabilities to the beneficiary. When a TIC ceases operation, the entrusted property shall not be included in assets to be liquidated. | |
信托财产不属于信托投资公司的固有财产，也不属于信托投资公司对受益人的负债。信托投资公司终止时，信托财产不属于其清算财产。 |
| |
|
| Article 6 The entrustment will not terminate with the dissolution, bankruptcy or closure of a TIC, nor with its quitting from the entrustment, unless it is stipulated otherwise by laws or entrustment contract. | | 第六条 信托不因信托投资公司依法解散、被宣告破产或者被依法撤销而终止，也不因信托投资公司的辞任而终止，但法律或者信托文件另有规定的除外。 |
| |
|
| Article 7 The operations of a TIC shall be organized in accordance with laws, regulations and entrustment contract, and shall not harm the interests of the state and the general public or the legitimate interest of other persons. | | 第七条 信托投资公司从事信托活动，应当遵守法律、行政法规的规定和信托文件的规定，不得损害国家利益、社会公共利益和他人的合法权益。 |
| |
|
| Article 8 When managing and disposing of the entrusted property, a TIC shall be faithful to their duties and fulfill the obligation of being honest, credible, prudent and efficient. | | 第八条 信托投资公司管理或者处分信托财产，必须恪尽职守，履行诚实、信用、谨慎、有效管理的义务。 |
| |
|
| Article 9 A TIC shall not be allowed to take deposits, issue bonds or borrow from abroad. | | 第九条 信托投资公司不得办理存款业务，不得发行债券，不得举借外债。 |
| |
|
| Article 10 The People's Bank of China is to supervise TICs and their operations according to laws, administrative regulations and these rules. | | 第十条 中国人民银行依照法律、行政法规和本办法对信托投资公司及其业务实施监督和管理。 |
| |
|
| Chapter II Establishment, Alteration and Termination of TICs | | 第二章 机构的设立、变更与终止 |
| |
|
| Article 11 TICs shall be established in the form of limited liability companies or share-holding companies. | | 第十一条 设立信托投资公司，应当采取有限责任公司或者股份有限公司的形式。 |
| |
|
| Article 12 A TIC shall get the approval of the People's Bank of China for its establishment and the "license for trust and investment institution" as well. No entities or individuals can engage in trust business without approval of the People's Bank of China, nor can any commercial institution use "Trust & Investment" in its name unless particularly permitted by laws and regulations. | | 第十二条 设立信托投资公司，必须经中国人民银行批准，并领取《信托机构法人许可证》。未经中国人民银行批准，任何单位和个人不得经营信托业务，任何经营单位不得在其名称中使用“信托投资”字样。法律、行政法规另有规定的除外。 |
| |
|
| Article 13 The establishment and operation of a TIC shall meet the following criteria: | | 第十三条 信托投资公司的设立应当具备下列条件： |
| |
|
| 1)Articles of association that conform to the "Company law of the People's Republic of China" and regulations of the People's Bank of China. | | （一）有符合《中华人民共和国公司法》和中国人民银行规定的公司章程； |
| |
|
| 2)Eligible shareholders according to regulations of the People's Bank of China. | | （二）有具备中国人民银行规定的入股资格的股东； |
| |
|
| 3)Registered capital no less than the minimum requirements stipulated by these rules. | | （三）具有本办法规定的最低限额的注册资本； |
| |
|
| 4)Eligible senior managerial personnel and qualified trust business staff according to regulations of the People's Bank of China. | | （四）有具备中国人民银行规定任职资格的高级管理人员和与其业务相适应的信托从业人员； |
| |
|
| 5)Complete organizational structure, comprehensive rules of trust operation and sound risk-control systems. | | （五）具有健全的组织机构、信托业务操作规则和风险控制制度； |
| |
|
| 6)Business premise, security system and other business-related facilities as required. | | （六）有符合要求的营业场所、安全防范措施和与业务有关的其他设施； |
| |
|
| 7)Other criteria set by the People's Bank of China. | | （七）中国人民银行规定的其他条件。 |
The People's Bank of China can review the application for the establishment of a TIC according to the need of economic development and the market situation of trust business. | |
中国人民银行可以根据经济发展的需要和信托市场的状况对信托投资公司的设立申请进行审查。 |
| |
|
| Article 14The registered capital of a TIC shall be no less than RMB 300 million Yuan. | | 第十四条 信托投资公司的注册资本不得低于人民币3亿元。 |
A TIC engaged in foreign exchange business shall have foreign currency of no less than USD 15 million in its registered capital. | |
经营外汇业务的信托投资公司，其注册资本中应包括不少于等值1500万美元的外汇。 |
The People's Bank of China can modify the minimum requirement of registered capital for the establishment of a TIC according to the development needs of TIC sector. | |
中国人民银行根据信托投资公司行业发展的需要，可以调整设立信托投资公司的注册资本最低限额。 |
| |
|
| Article 15 A TIC shall obtain approval from the People's Bank of China in following matters: | | 第十五条 信托投资公司有下列情形之一的，应当经中国人民银行批准： |
| |
|
| 1)Change of name. | | （一）变更名称； |
| |
|
| 2)Change of registered capital. | | （二）变更注册资本金； |
| |
|
| 3)Change of location. | | （三）变更公司住所； |
| |
|
| 4)Change of organizational structure. | | （四）改变组织形式； |
| |
|
| 5)Adjustment of business scope. | | （五）调整业务范围； |
| |
|
| 6)Change of senior management. | | （六）更换高级管理人员； |
| |
|
| 7)Change of major shareholders or shareholding structure. Shareholders of a listed TIC with their holdings of tradable shares less than 10% of total shares are not included. | | （七）变更股东或者调整股权结构，但持有上市股份公司流通股份未达到公司总股份10%的除外； |
| |
|
| 8)Modification of the Articles of Association. | | （八）修改公司章程； |
| |
|
| 9)Merger or split-up. | | （九）合并或者分立； |
| |
|
| 10)Other changes stipulated by the People's Bank of China. | | （十）中国人民银行规定的其他变更事项。 |
| |
|
| Article 16 A TIC that applies for dissolution due to the merger, split-up or other reasons stipulated in its Articles of Association can dissolute after being approved by the People's Bank of China, and then be liquidated by a liquidation task force set up in accordance with relevant laws. | | 第十六条 信托投资公司因分立、合并或者公司章程规定的解散的事由出现，申请解散的，经中国人民银行批准后解散，并依法组织清算组进行清算。 |
| |
|
| Article 17 When a TIC cannot pay its maturing debt due to illegal operations or poor management, and the public interests would be damaged or the financial system would be endangered unless it is closed, the People's Bank of China shall close it according to the " Regulations on Closure of Financial Institutions". | | 第十七条 信托投资公司因违法违规经营、经营管理不善等原因，不能支付到期债务，不撤销将严重损害社会公众利益、危害金融秩序的，由中国人民银行根据《金融机构撤销条例》予以撤销。 |
| |
|
| Article 18 A TIC that can't pay its maturing debt may apply for bankruptcy to the People's Court with the approval of the People's Bank of China. | | 第十八条 信托投资公司不能支付到期债务，经中国人民银行同意，可向人民法院提出破产申请。 |
| |
|
| Article 19 The approval procedure of TICs' establishment, alteration and termination shall follow the relevant regulations of the People's Bank of China. | | 第十九条 信托投资公司设立、变更、终止的审批程序，按照中国人民银行的规定执行。 |
| |
|
| Chapter III Business Scope | | 第三章 经营范围 |
| |
|
| Article 20 A TIC can apply to engage in part or all of the following businesses both in local and foreign currencies: | | 第二十条 信托投资公司可以申请经营下列部分或者全部本外币业务： |
| |
|
| 1)Entrusted funds management. The Client entrusts funds, which are his or her legitimate property, to the TIC to be managed, used and disposed of on agreed terms and objectives. | | （一）受托经营资金信托业务，即委托人将自己合法拥有的资金，委托信托投资公司按照约定的条件和目的，进行管理、运用和处分； |
| |
|
| 2)Entrusted management of movables, real estate and other properties. The Client entrusts his or her property or property rights, including moveable property, real estate, land, copyright and intellectual property rights, to the TIC to be managed, used or disposed of on agreed terms and objectives. | | （二）受托经营动产、不动产及其他财产的信托业务，即委托人将自己的动产、不动产以及知识产权等财产、财产权，委托信托投资公司按照约定的条件和目的，进行管理、运用和处分； |
| |
|
3)Entrusted management of investment funds permitted by relevant laws and administrative regulations. A TIC can engage in investment fund business as a sponsor of an investment fund or a fund management company.
．．．．．． | | （三）受托经营法律、行政法规允许从事的投资基金业务，作为投资基金或者基金管理公司的发起人从事投资基金业务；
．．．．．． |
|
Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.
1. To become a premium member, please call 400-810-8266 Ext. 171.
2. Binding to the account with access to this database.
3. Apply for a trial account.
4. To get instant access to a document, you can Pay Amount 【￥800.00】 for your single purchase. | |
您好：您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户；您可通过网上支付进行单篇购买，支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
|
| | | |
| | | |