| Official Reply of the State Council on the Regulations for Administration of Financial Institutions with Foreign Capital and Financial Institutions with Chinese and Foreign Joint Capital in Shanghai | | 国务院对《上海外资金融机构、中外合资金融机构管理办法》的批复 |
(Letter No. 76 [1990] of the State Council) | |
（国函[1990]76号） |
People's Bank of China: | |
中国人民银行： |
The Regulations for Administration of Financial Institutions with
Foreign Capital and Financial Institutions with Chinese and Foreign
Joint Capital in Shanghai have been approved by the State Council and shall be issued by you for implementation. | |
国务院批准《上海外资金融机构、中外合资金融机构管理办法》，由你行发布施行。 |
State Council | |
国务院 |
September 7, 1990 | |
一九九〇年九月七日 |
Order of the People's Bank of China | |
中国人民银行令 |
No. 2 | |
第2号 |
The Regulations for Administration of Financial Institutions with
Foreign Capital and Financial Institutions with Chinese and Foreign
Joint Capital in Shanghai, as approved by the State Council on September 7, 1990, are hereby promulgated for implementation. | |
《上海外资金融机构、中外合资金融机构管理办法），已于一九九O年九月七日经国务院批准，现子发布施行。 |
Governor of the People's Bank of China: Li Guixian | |
行长 李贵鲜 |
September 8, 1990 | |
一九九0年九月八日 |
REGULATIONS FOR ADMINISTRATION OF FINANCIAL INSTITUTIONS WITH FOREIGN CAPITAL AND FINANCIAL INSTITUTIONS WITH CHINESE AND FOREIGN JOINT CAPITAL IN SHANGHAI | |
上海外资金融机构、中外合资金融机构管理办法 |
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| CHAPTER I GENERAL PROVISIONS | | 第一章 总则 |
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| Article 1. These Regulations are hereby formulated with a view to meeting the needs of Shanghai's opening to the outside world and its economic development, strengthening and improving the administration of financial institutions with foreign capital and financial institutions with Chinese and foreign joint capital. | | 第一条 为了适应上海市对外开放和经济发展的需要，加强和完善外资金融机构、中外合资金融机构的管理，制定本办法。 |
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| Article 2. The term "financial institutions with foreign capital and financial institutions with Chinese and foreign joint capital" mentioned herein shall mean the following institutions registered to carry out business operations upon approval for establishment in accordance with the present regulations and other laws and regulations of the People's Republic of China: | | 第二条 本办法所称外资金融机构、中外合资金融机构是指依照本办法和中华人民共和国其他法律、法规的规定，经批准设立、登记注册和营业的下列机构： |
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| 1. Foreign banks with head offices established in the Shanghai Municipality (hereinafter referred to as "Foreign Bank" or "Foreign Banks"): | | （一）总行设在上海市的外国资本的银行（以下简称外资银行）； |
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| 2. Branches of foreign banks established in the Shanghai Municipality by foreign banks, (hereinafter referred to as "Foreign Bank Branch" or "Foreign Bank Branches"); | | （二）外国资本的银行在上海市设立的分行（以下简称外资银行分行）； |
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| 3. Banks with joint capital and operation established in the Shanghai Municipality by foreign financial institutions with Chinese financial institutions (hereinafter referred to as "Joint Bank" or "Joint Banks"); | | （三）外国资本的金融机构同中国资本的金融机构在上海市合资经营的银行（以下简称合资银行）； |
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| 4. Financial companies with joint capital and operation established in the Shanghai Municipality by foreign financial institutions with Chinese financial institutions (hereinafter referred to as "Joint Financial Company" or "Joint Financial Companies"). | | （四）外国资本的金融机构同中国资本的金融机构在上海市合资经营的财务公司（以下简称合资财务公司）。 |
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| Article 3. Financial institutions with foreign capital and financial institutions with Chinese and foreign joint capital must observe the laws and regulations of the People's Republic of China and their legitimate business activities and lawful rights and interests are under the protection of the Chinese laws. | | 第三条 外资金融机构、中外合资金融机构必须遵守中华人民共和国的法律、法规，其正当业务活动和合法权益受中华人民共和国法律保护。 |
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| Article 4. The People's Bank of China is the department in charge of approving, regulating, and supervising financial institutions with foreign capital and financial institutions with Chinese and foreign joint capital. Authorized by its head office, the Shanghai Branch of the People's Bank of China carries out the routine administration and supervision of financial institutions with foreign capital and financial institutions with Chinese and foreign joint capital. | | 第四条 中国人民银行是审批、管理和监督外资金融机构、中外合资金融机构的主管机关；中国人民银行授权上海市分行对外资金融机构、中外合资金融机构进行日常管理和监督。 |
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| CHAPTER II ESTABLISHMENT AND REGISTRATION | | 第二章 设立与登记 |
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| Article 5. Any party wishing to set up a Foreign Bank should have the following qualifications: | | 第五条 申请设立外资银行应当具备下列条件： |
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| 1. The investor should be a financial institution; | | （一）投资者为金融机构； |
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| 2. It should have had a representative office of over three years' standing inside China; | | （二）在中国境内已经设立代表机构三年以上； |
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| 3. It should have total assets of US$ over ten billion at the end of the year prior to the application for such establishment. | | （三）申请设立外资银行前一年年末资产总额在一百亿美元以上。 |
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| Article 6. Any party wishing to set up a Foreign Bank Branch should have the following qualifications: | | 第六条 申请设立外资银行分行应当具备下列条件： |
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| 1. It should have had a representative office of over three years' standing inside China; | | （一）在中国境内已经设立代表机构三年以上； |
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| 2. It should have total assets of US$ over twenty billion at the end of the year prior to the application for such establishment; | | （二）申请设立外资银行分行前一年年末资产总额在二百亿美元以上； |
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| 3. Its home country or region should have a sound financial supervising system. | | （三）其所在国或者地区有完善的金融监管制度。 |
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| Article 7. Parties wishing to set up a Joint Bank or a Joint financial Company should have the following qualifications: | | 第七条 申请设立合资银行、合资财务公司应当具备下列条件： |
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| 1. Each investing party to a Joint Bank or a Joint Financial Company should be financial institution; | | （一）合资各方均为金融机构； |
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| 2. The foreign investor should have a representative office inside China. | | （二）外方投资者在中国境内设有代表机构。 |
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| Article 8. When establishing a Foreign Bank, the foreign investor(s) shall submit an application to the People's Bank of China accompanied by the following documents and information: | | 第八条 设立外资银行，应当由投资者向中国人民银行提出申请，并提交下列证件、资料： |
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| 1. An application for establishment of a Foreign Bank shall include the name of the Bank intended to be set up, registered capital and actually paid-in capital, and intended types of business transactions; | | （一）设立外资银行的申请书，其内容包括：拟设银行的名称，注册资本和实收资本额，申请经营的业务种类等； |
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| 2. Feasibility study report; | | （二）可行性研究报告； |
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| 3. Statements of assets and liabilities of the investor(s), for three years prior to its application, attached with certifying documents; | | （三）最近三年的资产、负债状况的报告及有关证明文件； |
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| 4. Draft articles of association of the Foreign Bank to be established; | | （四）拟设银行的章程草案； |
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| 5. Copy of the business license of the investor(s) approved and issued by the competent authorities concerned in his home country or region; | | （五）所在国或者地区有关主管当局核发给投资者的营业执照（副本）； |
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| 6. Other documents and information required by the People's Bank of China. | | （六）中国人民银行要求提交的其他证件、资料。 |
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| Article 9. When establishing a foreign Bank Branch, the head office of the foreign bank concerned shall submit an application to the People's Bank of China accompanied by the following documents and information: | | 第九条 设立外资银行分行，应当由其总行向中国人民银行提出申请，并提交下列证件、资料： |
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| 1. An application signed by the chairman or general manager of the bank shall include the name of the Branch intended to be set up, amount of operating funds approved and allocated by the head office and the intended types of business transactions; | | （一）由董事长或者总经理签署的申请书，其内容包括：拟设分行的名称，总行拨给的营运资金数额，申请经营的业务种类等； |
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| 2. Annual reports for the three years prior to the application; | | （二）最近三年的年报； |
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| 3. Copy of the business license of the bank applying to set up a Foreign Bank Branch approved and issued by the competent authorities concerned in its home country or region; | | （三）所在国或者地区有关主管当局核发给申请设立分行的银行的营业执照（副本）； |
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| 4. Other documents and information required by the People's Bank of china. | | （四）中国人民银行要求提交的其他证件、资料。 |
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| Article 10. When establishing a Joint Bank or Joint Financial Company, all parties thereto shall jointly submit an application to the People's Bank of China, which shall be accompanied by the following documents and information: | | 第十条 设立合资银行或者合资财务公司，应当由合资各方共同向中国人民银行提出申请，并提交下列证件、资料： |
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| 1. An application for establishing a Joint Bank or a Joint Financial Company shall include the name of the joint financial institution intended to be set up, name of each investing party to the joint financial institution, registered capital and actual amount of paid-in capital, ratio of the contributions of the parties and intended types of business transactions; | | （一）设立合资机构的申请书，其内容包括：拟设合资机构的名称，合资各方名称，注册资本和实收资本额，合资各方出资比例，申请经营的业务种类等。 |
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| 2. Feasibility study report jointly prepared by the parties to the joint financial institution; | | （二）合资各方共同编制的可行性研究报告； |
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| 3. Agreement, contract and draft articles of association of the joint financial institution initialled by the authorized representatives of each of the parties to the joint financial institution; | | （三）由合资各方授权代表草签的合资经营协议，合同以及拟设机构的章程草案； |
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| 4. Statements of assets and liabilities of each of the parties to the joint financial institution for the three years prior to the application, attached with certifying documents; | | （四）合资各方最近三年的资产、负债状况的报告及有关证明文件； |
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| 5. Copies of business licenses of each of the parties to the joint financial institution approved and issued by the competent authorities concerned in its home country or region; | | （五）所在国或者地区有关主管当局核发给合资各方的营业执照（副本）； |
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| 6. Other documents and information required by the People's Bank of China. | | （六）中国人民银行要求提交的其他证件、资料。 |
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| Article 11. All documents and information, except the annual reports, set forth in Articles 8, 9 and 10 hereof, if written in a foreign language, must be submitted with a Chinese version. | | 第十一条 本办法第八、九、十条中所列证件、资料，除年报外，凡用外文书写的，均须附具中文译本。 |
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| Article 12. After the application for such establishment is examined and approved by the People's Band of China, an official application form shall be sent to the applicant(s). | | 第十二条 设立申请经中国人民银行审查同意后，发给申请者正式申请表。 |
After filling in the official application form, the applicant(s) shall formally apply to the People's Bank of China. The application shall include the following documents: | |
正式申请表填写后，向中国人民银行提出正式申请，申请文件包括： |
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| 1. Official application form signed by the legal representative of the applicant(s) or the representative authorized by the applicant(s) (in triplicate); | | （一）由申请者法定代表或者授权代表签字的正式申请表（一式三份）； |
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| 2. List of principal persons in charge of the institution intended to be set up and their curriculum vitae; | | （二）拟设机构主要负责人名单和简历； |
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| 3. Power(s) of attorney for the principal parsons in charge of the institution; | | （三）对拟任该机构主要负责人的授权书； |
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| 4. Letters of undertaking issued by the head office assuming the tax and debt repayment obligations for its branch office; | | （四）设立外资银行分行的，其总行对该分行承担税务、债务的责任担保书； |
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| 5. Other documents and information. | | （五）其他资料。 |
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| Article 13. Within thirty days from the date of approval by the People's Bank of China, a financial institution with foreign capital or a financial institution with Chinese and foreign joint capital shall go through the procedures for registration and issuance of its business license with the administration of industry and commerce according to the laws and regulations of the People's Republic of China. Within thirty days from the date of commencement of business operations, a financial institution with foreign capital and financial institution with Chinese and foreign joint capital shall go through the procedures for tax registration with tax authorities according to the law. | | 第十三条 外资金融机构、中外合资金融机构应当在接到中国人民银行批准证书后三十天内，依照中华人民共和国有关法律、法规规定，向工商行政管理机关办理登记注册，领取营业执照，并应当依法自开业之日起三十天内向税务机关办理税务登记。 |
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Article 14. After business license is granted, a financial institution with foreign capital or financial institution with Chinese and foreign joint capital approved to be set up shall apply to the State Administration of Foreign Exchange Control for the approval and issuance of "Foreign Exchange Business Operation License".
．．．．．． | | 第十四条 已经批准的外资金融机构、中外合资金融机构应当在领取营业执照后，向国家外汇管理局申领《经营外汇业务许可证》。
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