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Notice of the General Office of the China Banking Regulatory Commission on Conducting Statistical Monitoring and Assessment of the Debt-Equity Combination of Banking Financial Institutions [Effective]
中国银监会办公厅关于开展银行业金融机构投贷联动统计监测与评估工作的通知 [现行有效]
【法宝引证码】

Notice of the General Office of the China Banking Regulatory Commission on Conducting Statistical Monitoring and Assessment of the Debt-Equity Combination of Banking Financial Institutions 

中国银监会办公厅关于开展银行业金融机构投贷联动统计监测与评估工作的通知

(No. 140 [2016] of the General Office of the China Banking Regulatory Commission) (银监办发[2016]140号)

All local offices of the China Banking Regulatory Commission (“CBRC”); all policy banks, large-scale banks and joint-stock banks; Postal Savings Bank of China; and foreign-funded banks: 各银监局,各政策性银行、大型银行、股份制银行,邮储银行,外资银行:
For the purposes of summarizing the experience of the pilot program in a timely manner, and ensuring the steady and orderly development of the pilot program of debt-equity combination, you are hereby notified of the following matters on diligently and effectively completing monitoring and assessment of debt-equity combination: 为及时总结试点经验,确保投贷联动试点工作稳妥有序开展,现就认真做好投贷联动监测与评估工作有关事项通知如下:
I. Scope of statistical monitoring and assessment   一、统计监测与评估范围
For the purposes of this Notice, “debt-equity combination” includes internal debt-equity combination and external debt-equity combination of corporate banking financial institutions. Internal debt-equity combination means debt-equity combination defined in the Guiding Opinions of the China Banking Regulatory Commission, the Ministry of Science and Technology and the People's Bank of China on Supporting Banking Financial Institutions to Intensify Innovation and Implement the Pilot Program of Debt-Equity Combination of Scientific and Technological Innovative Enterprises (No. 14 [2016], CBRC, hereinafter referred to as “Guiding Opinions”), i.e. the financing mode that banking financial institutions provide sustained financial support for scientific and technological innovative enterprises by means of combining “credit granting” and “equity investment” of the subsidiaries established by the Group with investment functions, through the relevant institutional arrangements, offsetting credit risk with investment revenue, and achieving matching of credit risk and revenue of scientific and technological innovative enterprises. External debt-equity combination means the financing mode that banking financial institutions provide financial support for scientific and technological innovative enterprises by combining “credit granting” and “equity investment” of the subsidiaries not established by the Group with investment functions. External debt-equity combination of banking financial institutions include, but are not limited to, “equity investment plus loans,” “loans plus warrants” and other forms. 本通知所指的投贷联动包括境内法人银行业金融机构内部投贷联动和外部投贷联动。其中内部投贷联动是指银监会 科技部 人民银行《关于支持银行业金融机构加大创新力度开展科创企业投贷联动试点的指导意见》(银监发〔2016〕14号,以下简称《指导意见》)所定义的投贷联动,即银行业金融机构以“信贷投放”与本集团设立的具有投资功能的子公司“股权投资”相结合的方式,通过相关制度安排,由投资收益抵补信贷风险,实现科创企业信贷风险和收益的匹配,为科创企业提供持续资金支持的融资模式。外部投贷联动是指银行业金融机构以“信贷投放”与非本集团设立的、具有投资功能的公司“股权投资”相结合的方式,为科创企业提供资金支持的融资模式。银行业金融机构外部投贷联动包括但不限于“股权投资加贷款”“贷款加认股权证”等形式。
The scope of monitoring and assessment of debt-equity combination includes policy banks, state-owned commercial banks, joint-stock commercial banks, Postal Savings Bank of China, foreign-funded banks, urban commercial banks, private banks, rural commercial banks, rural cooperative banks, rural credit cooperatives, village banks, trust companies and other banking financial institutions. The business objects of internal debt-equity combination and external debt-equity combination are scientific and technological innovative enterprises specified in the Guiding Opinions. 投贷联动监测与评估范围包括政策性银行、国有商业银行、股份制商业银行、邮储银行、外资银行、城市商业银行、民营银行、农村商业银行、农村合作银行、农村信用合作社、村镇银行、信托公司等银行业金融机构。内部投贷联动和外部投贷联动的业务对象均为《指导意见》所指的科创企业。
II. Statistical monitoring   二、统计监测工作
1. Statistical monitoring contents and division of responsibilities (一)统计监测内容及分工
The main contents of monitoring of internal debt-equity combination business include subsidiaries with investment functions and special scientific and technological financial institutions established by banking financial institutions, internal debt-equity combination investment and loans, loan risk and sharing, business results, profit and loss accounting, among others. Other major events in the development of the internal debt-equity combination shall be monitored and reported in a timely manner. 内部投贷联动业务监测的主要内容包括银行业金融机构设立投资功能子公司和科技金融专营机构情况,内部投贷联动投资及贷款情况、贷款风险及分担、业务成效、损益核算等;对内部投贷联动业务开展中的其他重大事项应及时进行监测报告。
The main contents of the monitoring of the external debt-equity combination business include the profile, loan granting, risk sharing and profits and losses, among others, of external combination institutions. 外部投贷联动业务监测的主要内容包括外部联动机构基本情况、贷款发放、风险分担及损益情况等。
The Department of Intermediary Supervision of the CBRC and all local offices of the CBRC shall respectively be responsible for conducting statistical monitoring of the debt-equity combination business (including internal debt-equity combination and external debt-equity combination carried out by banking financial institutions implementing and not implementing the pilot program) carried out by the banking financial institutions under the direct supervision thereof, and all banking financial institutions within their jurisdictions. 银监会机构监管部负责对直接监管的银行业金融机构、各银监局负责对辖内所有银行业金融机构(法人及分支机构)开展的投贷联动业务(含试点和非试点银行业金融机构开展的内部投贷联动及外部投贷联动)情况进行统计监测。
2. Frequency of statistical monitoring and submission time (二)统计监测频度和报送时间
According to the development of the debt-equity combination business, the banking financial institutions shall, according to the requirements for the frequency in the note, enter the Statistical Form of the Internal Debt-Equity Combination Business (Annex 1) and the Statistical Form of the External Debt-Equity Combination Business (Annex 2), and submit them to the appropriate regulatory authorities. 银行业金融机构根据投贷联动业务开展情况,按照填表说明中的频度要求填报内部投贷联动统计表(附件1)和外部投贷联动统计表(附件2)并报送对应监管部门。
All departments of intermediary supervision of the CBRC shall, according to the types of institutions, summarize their statistical forms of internal debt-equity combination and external debt-equity combination, and the local offices of the CBRC in all localities shall summarize the statistical forms of internal debt-equity combination and external debt-equity combination of banking financial institutions within their jurisdictions (legal persons and branches), and submit the summarized statistical monitoring forms to the Office of the Working Group of the CBRC for the Supervision of the Pilot Program of Debt-Equity Combination (Policy Research Bureau) within 30 days after the end of each statistical time point and submit the major matters within 3 days. 银监会各机构监管部门按机构类型汇总本部门内部投贷联动和外部投贷联动统计表,各地区银监局汇总辖内银行业金融机构(法人及分支机构)内部投贷联动和外部投贷联动统计表,并于每个统计时点结束后30日内将汇总统计监测表报送银监会投贷联动试点监管工作组办公室(政策研究局),重大事项应于3日内报送。
All banking financial institutions shall manually enter the data for the end of June and the end of September 2016 and submit them to the appropriate regulatory authorities before October 15, 2016. From the end of 2016, the statistical report will be included in the 1104 statement system for data collection and reporting. 请各银行业金融机构手工填报2016年6月末、9月末两期数据,并于2016年10月15日前报送对应监管部门。从2016年年末开始,该统计报表将纳入1104报表体系进行数据采集和填报。
III. Assessment   三、评估工作
1. Assessment contents (一)评估内容
Mutatis mutandis to the Guiding Opinions and other relevant documents, comprehensive assessment shall be conducted for the development, effects, risk status, business management, risk sharing and other respects of the internal and external debt-equity combination of banking financial institutions, from institutions implementing the pilot program, regions covered by the pilot program, business modes, risk sharing and other different directions, the characteristics of the business modes of different institutions and regions shall be summarized in a timely manner, and experience and modes that may be promoted shall be formed. See Annex 3 for the key points of the assessment of internal debt-equity combination of banking financial institutions. Assessment of external debt-equity combination of banking financial institutions shall be implemented, mutatis mutandis to, Annex 3. 参照《指导意见》等有关文件,从试点机构、试点地区、业务模式、风险分担及管理方式等不同维度,对银行业金融机构内外部投贷联动业务开展情况、成效、风险状况、业务管理、风险分担等进行综合全面评估,及时总结不同机构、地区业务模式的特色,形成可供推广的经验模式。银行业金融机构内部投贷联动评估要点见附件3,银行业金融机构外部投贷联动评估参照附件3执行。
2. Assessment method
......
 (二)评估方式
......

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