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| Notice of China Banking Regulatory Commission on Issuing the Guidelines for the Governance of Trust Companies | | 中国银行业监督管理委员会关于印发《信托公司治理指引》的通知 |
(No. 4 [2007] of China Banking Regulatory Commission) | |
（银监发[2007]4号） |
All banking regulatory bureaus and trust companies directly under the supervision of China Banking Regulatory Commission: | |
各银监局，银监会直接监管的信托公司： |
We hereby print and distribute the Guidelines for the Governance of Trust Companies to you for your earnest compliance and implementation. | |
现将《信托公司治理指引》印发给你们，请遵照执行。 |
All banking regulatory bureaus shall, in light of the development situation of the trust companies within your respective jurisdictions and in accordance with the principle of “differential treatment and classified guidance”, strengthen supervision and guidance and urge the trust companies to perfect their corporate governance structure. | |
各银监局要根据辖内信托公司的发展状况，采取“区别对待、分类指导”的原则，加强监管和指导，督促信托公司完善公司治理结构。 |
All trust companies shall, in light of the actual situation, perfect the corporate governance structure, improve the corporate governance effect and, in accordance with the provisions of the relevant laws and regulations and the requirements of these Guidelines, amend the articles of association before December 31st, 2007. | |
各信托公司要根据公司实际情况完善公司治理结构，提升公司治理成效，并依照有关法律法规的规定和本指引的要求，于2007年12月31日前修订公司章程。 |
January 22nd, 2007 | |
二○○七年一月二十二日 |
Guidelines for the Governance of Trust Companies | |
信托公司治理指引 |
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| Chapter I General Rules | | 第一章 总则 |
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| Article 1 For the purpose of further perfecting the governance of trust companies, strengthening risk control, promoting the sound operation and healthy development of trust companies and safeguarding the legitimate rights and interests of the shareholders, beneficiaries and other interested parties of trust companies, these Guidelines are formulated in accordance with the Company Law of the People's Republic of China, the Banking Supervision Law of the People's Republic of China, the Trust Law of the People's Republic of China and other relevant laws and regulations. | | 第一条 为进一步完善信托公司治理，加强风险控制，促进信托公司的规范经营和健康发展，保障信托公司股东、受益人及其他利益相关者的合法权益，根据《中华人民共和国公司法》、《中华人民共和国银行业监督管理法》、《中华人民共和国信托法》等法律法规，制定本指引。 |
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| Article 2 The governance of a trust company shall realize the principle of maximizing the interests of the beneficiaries. The establishment and operation of such organizational framework as the shareholders' meeting, the board of directors, the board of supervisors and the senior management level shall be based on the protection of the interests of the beneficiaries. Where the interests of the trust company, its shareholders or staff conflict with those of the beneficiaries, priority shall be given to the protection of the beneficiaries' interests. | | 第二条 信托公司治理应当体现受益人利益最大化的基本原则。股东（大）会、董事会、监事会、高级管理层等组织架构的建立和运作，应当以受益人利益为根本出发点。公司、股东以及公司员工的利益与受益人利益发生冲突时，应当优先保障受益人的利益。 |
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| Article 3 The governance of a trust company shall observe the following principles: | | 第三条 信托公司治理应当遵循以下原则： |
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| (1) earnestly fulfilling the trustee's duties, following the principles of honesty, credit, prudence and effective management, scrupulously performing its duties and handling the trust affairs for the best interests of the beneficiaries; | | （一）认真履行受托职责，遵循诚实、信用、谨慎、有效管理的原则，恪尽职守，为受益人的最大利益处理信托事务； |
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| (2) clarifying the duties, rights and obligations of its shareholders, directors, supervisors and senior managers, and perfecting the procedural system and decision-making process of the shareholders' meeting, the board of directors, the board of supervisors and the senior management level; | | （二）明确股东、董事、监事、高级管理人员的职责和权利义务，完善股东（大）会、董事会、监事会、高级管理层的议事制度和决策程序； |
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| (3) establishing perfect inner control system, risk management system, information disclosure system and reasonable performance evaluation system and salary system; | | （三）建立完备的内部控制、风险管理和信息披露体系，以及合理的绩效评估和薪酬制度； |
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| (4) setting up the philosophy of risk management, determining effective risk management policies, formulating detailed and accurate risk management system, establishing comprehensive risk management program and identifying, measuring, supervising and controlling all kinds of risks; and | | （四）树立风险管理理念，确定有效的风险管理政策，制订详实的风险管理制度，建立全面的风险管理程序，及时识别、计量、监测和控制各类风险； |
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| (5) actively encouraging the introduction of qualified strategic investors, excellent management team and professional managers, and optimizing the governance structure. | | （五）积极鼓励引进合格战略投资者、优秀的管理团队和专业管理人才，优化治理结构。 |
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| Article 4 A trust company shall set up a regulation-compliance management mechanism and urge the board of directors, the board of supervisors, the senior management level and other levels of the company to perform their duties on regulation-compliance within their respective scope of duties so as to make the business operations of the trust company consistent with the relevant laws, rules and standards and to make the company operate according to law. | | 第四条 信托公司应当建立合规管理机制，督促公司董事会、监事会、高级管理层等各个层面在各自职责范围内履行合规职责，使信托公司的经营活动与法律、规则和准则相一致，促使公司合规经营。 |
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| Chapter II Shareholders and the Shareholders' Meeting | | 第二章 股东和股东（大）会 |
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| Section 1 Shareholders | | 第一节 股东 |
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| Article 5 The shareholders of trust companies shall satisfy the qualification requirements prescribed by laws, administrative regulations and China Banking Regulatory Commission (hereinafter referred to as CBRC) and be subject to the approval of the CBRC. | | 第五条 信托公司股东应当具备法律、行政法规和中国银行业监督管理委员会（以下简称中国银监会）规定的资格条件，并经中国银监会批准。 |
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| Article 6 A shareholder of a trust company shall make the following promises: | | 第六条 信托公司股东应当作出以下承诺： |
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| (1) its purchase of the shares of the company is beneficial to the company's sustainable, sound and stable development; | | （一）入股有利于信托公司的持续、稳健发展； |
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| (2) it will not transfer the shares it holds in the company within three years, except the shares of a listed trust company; | | （二）持股未满三年不转让所持股份，但上市信托公司除外； |
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| (3) it will not pledge the shares it holds in the company; | | （三）不质押所持有的信托公司股权； |
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| (4) it will not establish any trust on the shares it holds; | | （四）不以所持有的信托公司股权设立信托； |
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| (5) it will perform the obligation of financial contribution in strict accordance with the laws, administrative regulations and the provisions of the CBRC. | | （五）严格按照法律、行政法规和中国银监会的规定履行出资义务。 |
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| Article 7 A shareholder of a trust company may not commit any of the following behaviors: | | 第七条 信托公司股东不得有下列行为： |
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| (1) making false or overrated financial contribution, spiriting capital away either directly or in any disguised form: | | （一）虚假出资、出资不实、抽逃出资或变相抽逃出资； |
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| (2) seeking illegitimate interests by using the position of shareholder; | | （二）利用股东地位牟取不当利益； |
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| (3) directly or indirectly intervening in the daily operation and management of the trust company; | | （三）直接或间接干涉信托公司的日常经营管理； |
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| (4) requesting the trust company to make a promise on the lowest return or dividend distribution; | | （四）要求信托公司做出最低回报或分红承诺； |
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| (5) requesting the trust company to provide guarantee for it; | | （五）要求信托公司为其提供担保； |
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| (6) conducting affiliated transactions with the trust company by violating the relevant provisions; | | （六）与信托公司违规开展关联交易； |
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| (7) misappropriating the inherent property or trust property of the trust company; | | （七）挪用信托公司固有财产或信托财产； |
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| (8) disposing its financial contribution in the form of equity custody, trust document or secret agreement; or | | （八）通过股权托管、信托文件、秘密协议等形式处分其出资； |
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| (9) other behaviors that damage the legitimate rights and interests of the trust company, other shareholders or the beneficiaries. | | （九）损害信托公司、其他股东和受益人合法权益的其他行为。 |
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| Article 8 A shareholder shall inform the trust company in a timely manner in case it is under any of the following circumstances: | | 第八条 股东出现下列情形之一时，应当及时通知信托公司： |
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| (1) preservative measures in litigation are adopted against the equity it holds in the trust company, or the equity it holds is forcibly executed; | | （一）所持信托公司股权被采取诉讼保全措施或被强制执行； |
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| (2) transfer of the equity it holds in the trust company; | | （二）转让所持有的信托公司股权； |
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| (3) change of name; | | （三）变更名称； |
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| (4) merger or split-up; | | （四）发生合并、分立； |
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| (5) dissolution, bankruptcy, closure or take-over; or | | （五）解散、破产、关闭或被接管； |
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| (6) other circumstances that may lead to the change of the equity it holds in the trust company. | | （六）其他可能导致所持信托公司股权发生变化的情形。 |
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| Article 9 A shareholder of a trust company shall be strictly separated from the trust company in terms of business, personnel, assets, finance and business place, etc, it shall make independent operation and business accounting and undertake liabilities and risks independently. | | 第九条 股东与信托公司之间应在业务、人员、资产、财务、办公场所等方面严格分开，各自独立经营、独立核算、独立承担责任和风险。 |
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| Section 2 Shareholders' Meeting | | 第二节 股东（大）会 |
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| Article 10 The convening, voting formula, procedure and limits of the functions and powers of the shareholders' meeting of a trust company shall be clearly stipulated in the articles of association of the company. | | 第十条 信托公司股东（大）会的召集、表决方式和程序、职权范围等内容，应在公司章程中明确规定。 |
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| Article 11 The detailed rules of procedures of the shareholders' meeting of a trust company shall include the notice, the preparation of documents, the convening form, the voting formula, the minutes, the signature and other contents, which shall be formulated by the board of directors in accordance with the articles of association of the company and implemented after they are deliberated and adopted by the shareholders' meeting. | | 第十一条 股东（大）会议事细则包括通知、文件准备、召开方式、表决形式、会议记录及其签署等内容，由董事会依照公司章程制定，经股东（大）会审议通过后执行。 |
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| Article 12 The periodic meeting of the shareholders' meeting of a trust company shall deliberate the issues prescribed in the relevant laws and regulations, moreover, the following items shall also be listed into the scope of deliberation of the shareholders' meeting: | | 第十二条 股东（大）会定期会议除审议相关法律法规规定的事项外，还应当将下列事项列入股东（大）会审议范围： |
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| (1) informing the regulatory department's regulatory opinions on the company and the situation on the company's implementation and rectification; and | | （一）通报监管部门对公司的监管意见及公司执行整改情况； |
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| (2) reporting the situation on the realization of the interests of the beneficiaries. | | （二）报告受益人利益的实现情况。 |
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| Article 13 Where any shareholder of a trust company holds 50% or more equity of the company either solely or with its affiliated parties, the shareholders' meeting shall apply the cumulative voting system in electing directors and supervisors. | | 第十三条 信托公司股东单独或与关联方合并持有公司50％以上股权的，股东（大）会选举董事、监事应当实行累积投票制。 |
The term “cumulative voting system” as mentioned in these Guidelines means that when electing directors or supervisors in the shareholders' meeting, the number of the votes held by each share shall equal the number of the directors or supervisors to be elected, and all the votes held by a shareholder may be used in a concentrated way. | |
本指引所称累积投票制，是指股东（大）会选举董事或者监事时，每一股份拥有与应选董事或者监事人数相同的表决权，股东拥有的表决权可以集中使用。 |
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| Article 14 The minutes of the shareholders' meeting of a trust company shall be authentic and complete, and be kept for at least 15 years since the date they are made. | | 第十四条 股东（大）会会议记录应做到真实、完整，并自做出之日起至少保存十五年。 |
The resolutions and other relevant documents of the shareholders' meeting shall be reported to the CBRC or its dispatched office for record. | |
股东（大）会的决议及相关文件，应当报中国银监会或其派出机构备案。 |
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| Chapter III Directors and the Board of Directors | | 第三章 董事和董事会 |
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| Section 1 Directors | | 第一节 董事
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