| Regulations on the Administration of Corporate Bonds | | 企业债券管理条例 |
| (Issued by the Order No. 121 of the State Council of the People's Republic of China on August 2, 1993; revised in accordance with the Decision of the State Council on Abolishing and Amending Some Administrative Regulations by the Order No. 588 of the State Council on January 8, 2011) | | （1993年8月2日中华人民共和国国务院令第121号发布 根据2011年1月8日国务院令第588号《国务院关于废止和修改部分行政法规的决定》修订） |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For the purpose of strengthening the administration of enterprise bonds, directing the rational flow of capital, making effective use of funds lying idle in society, and protecting the lawful rights and interests of investors, these Regulations are developed. | | 第一条 为了加强对企业债券的管理，引导资金的合理流向，有效利用社会闲散资金，保护投资者的合法权益，制定本条例。 |
| Article 2 These regulations are applicable to bonds issued within the territory of China by enterprises with legal person status, except financial bonds and foreign currency bonds. | | 第二条 本条例适用于中华人民共和国境内具有法人资格的企业（以下简称企业）在境内发行的债券。但是，金融债券和外币债券除外。 |
| Except enterprises as prescribed in the preceding paragraph, no entity or individual shall issue enterprise bonds. | | 除前款规定的企业外，任何单位和个人不得发行企业债券。 |
| Article 3 Enterprises shall, through public issuance of enterprise bonds, carry out paid fund-raising activities, except as otherwise specified by law or the State Council. | | 第三条 企业进行有偿筹集资金活动，必须通过公开发行企业债券的形式进行。但是，法律和国务院另有规定的除外。 |
| Article 4 Enterprise bonds shall be issued and purchased under the principles of free will, mutual benefit, and compensation. | | 第四条 发行和购买企业债券应当遵循自愿、互利、有偿的原则。 |
| Chapter II Enterprise Bonds | | 第二章 企 业 债 券 |
| Article 5 For the purpose of these Regulations, enterprise bonds are negotiable securities issued according to the legal procedures by an enterprise which has entered into an agreement to repay principal and interest on the bond within the specified time limit. | | 第五条 本条例所称企业债券，是指企业依照法定程序发行、约定在一定期限内还本付息的有价证券。 |
| Article 6 The certificate of an enterprise bond shall state clearly the following items: | | 第六条 企业债券的票面应当载明下列内容： |
| (1) The name and domicile of the enterprise; | | （一）企业的名称、住所； |
| (2) Denomination of the enterprise bond; | | （二）企业债券的面额； |
| (3) Interest rate of the enterprise bond; | | （三）企业债券的利率； |
| (4) The time limit and way for repayment of principle; | | （四）还本期限和方式； |
| (5) Way of paying interests; | | （五）利息的支付方式； |
| (6) Issuing date of enterprise bond and the serial number; | | （六）企业债券发行日期和编号； |
| (7) Seal of the enterprise and signature of the legal representative of the enterprise; and | | （七）企业的印记和企业法定代表人的签章； |
| (8) The number and date of the approval documents issued by the approval authority. | | （八）审批机关批准发行的文号、日期。 |
| Article 7 Enterprise bond holders shall be entitled to obtain interests and recover principal within the agreed period, but shall not be entitled to engage in operation or management of the said enterprise. | | 第七条 企业债券持有人有权按照约定期限取得利息、收回本金，但是无权参与企业的经营管理。 |
| Article 8 Enterprise bond holders are not liable to the operation of the enterprise that issues bonds. | | 第八条 企业债券持有人对企业的经营状况不承担责任。 |
| Article 9 Enterprise bonds may be transferred, mortgaged or inherited. | | 第九条 企业债券可以转让、抵押和继承。 |
| Chapter III Management of Enterprise Bonds | | 第三章 企业债券的管理 |
| Article 10 The State Development Planning Commission (“SDPC”) shall, in conjunction with the People's Bank of China (“PBC”), the Ministry of Finance, and the Securities Commission of the State Council, specify the annual scale for issuance of enterprise bonds across the country and all indicators within the scale, and issue them to people's governments of all provinces, autonomous regions, municipalities directly under the Central Government, and cities under separate state planning, and relevant departments under the State Council for implementation, after they are submitted to the State Council for approval. | | 第十条 国家计划委员会会同中国人民银行、财政部、国务院证券委员会拟订全国企业债券发行的年度规模和规模内的各项指标，报国务院批准后，下达各省、自治区、直辖市、计划单列市人民政府和国务院有关部门执行。 |
| Without the consent of the State Council, no place or department shall, without authorization, issue enterprise bonds beyond the annual scale or adjust all indicators within the annual scale. | | 未经国务院同意，任何地方、部门不得擅自突破企业债券发行的年度规模，并不得擅自调整年度规模内的各项指标。 |
| Article 11 An enterprise that issues enterprise bonds shall be subject to approval under the provisions of these Regulations; and without approval, no enterprise shall issue without authorization or in disguise enterprise bonds. | | 第十一条 企业发行企业债券必须按照本条例的规定进行审批；未经批准的，不得擅自发行和变相发行企业债券。 |
| A central enterprise that issues enterprise bonds shall be subject to approval of the PBC, in conjunction with the SDPC; and local enterprises that issue enterprise bonds shall be subject to approval of the branch offices of the PBC in all provinces, autonomous regions, and municipalities directly under the Central Government, and cities under separate state planning, in conjunction with competent departments of plan at corresponding levels. | | 中央企业发行企业债券，由中国人民银行会同国家计划委员会审批；地方企业发行企业债券，由中国人民银行省、自治区、直辖市、计划单列市分行会同同级计划主管部门审批。 |
| Article 12 An enterprise that issues enterprise bonds shall meet the following conditions: | | 第十二条 企业发行企业债券必须符合下列条件： |
| (1) Its enterprise scale meets the requirements prescribed by the state; | | （一）企业规模达到国家规定的要求； |
| (2) Its enterprise financial accounting system shall comply with the standards prescribed by the state; | | （二）企业财务会计制度符合国家规定； |
| (3) It has solvency; | | （三）具有偿债能力； |
| (4) It has sound economic benefits and it has been profitable for consecutive three years prior to the issuance of enterprise bonds; | | （四）企业经济效益良好，发行企业债券前连续3年盈利； |
| (5) The use of the funds raised is in line with the industrial policies of the state. | | （五）所筹资金用途符合国家产业政策。 |
Article 13 An enterprise that issues enterprise bonds shall develop issue prospectus.
．．．．．． | | 第十三条 企业发行企业债券应当制订发行章程。
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