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Guiding Opinions of the China Banking and Insurance Regulatory Commission and the China Securities Regulatory Commission on Commercial Banks Offering Preferred Shares to Replenish Tier 1 Capital (2019 Revision) [Effective]
中国银保监会、中国证监会关于商业银行发行优先股补充一级资本的指导意见(2019修订) [现行有效]
【法宝引证码】

Guiding Opinions of the China Banking and Insurance Regulatory Commission and the China Securities Regulatory Commission on Commercial Banks Offering Preferred Shares to Replenish Tier 1 Capital (Revision) 

中国银保监会、中国证监会关于商业银行发行优先股补充一级资本的指导意见(修订)

(No. 31 [2019] of the China Banking and Insurance Regulatory Commission) (银保监发〔2019〕31号)

All local offices of the China Banking and Insurance Regulatory Commission (“CBIRC”); all policy banks, large-scale commercial banks, and joint-stock commercial banks; Postal Savings Bank of China; all local offices of the China Securities Regulatory Commission (“CSRC”); all exchanges; all subordinate entities; and all associations: 各银保监局,各政策性银行、大型商业银行、股份制商业银行,邮储银行,证监会各派出机构,各交易所,各下属单位,各协会:
To regulate the offering of preferred shares by commercial banks, improve the capital quality of commercial banks, and protect the lawful rights and interests of all stakeholders, in accordance with the Guiding Opinions of the State Council on Launching the Pilot Program of Preferred Shares (No. 46 [2013], State Council), the Measures for the Administration of Capital of Commercial Banks (for Trial Implementation) (Order No. 1 [2012], CBRC), the Measures for the Administration of the Pilot Program of Preferred Shares (Order No. 97, CSRC), and other provisions, the following guiding opinions on commercial banks' offering of preferred shares to replenish Tier 1 capital are hereby issued: 为规范商业银行优先股发行,提升商业银行资本质量,保护利益相关方的合法权益,根据《国务院关于开展优先股试点的指导意见》(国发〔2013〕46号)、《商业银行资本管理办法(试行)》(银监会令2012年第1号)、《优先股试点管理办法》(证监会令第97号)等规定,现就商业银行发行优先股补充一级资本提出如下指导意见。
I. To offer preferred shares, a commercial bank shall comply with the relevant provisions of the State Council and the CSRC and the conditions set forth by the CBIRC for issuance of supplementary instruments for raising of capital, and maintain its core Tier 1 capital adequacy ratio at or above the prudential supervision requirement of the CBIRC.   一、商业银行发行优先股,应符合国务院、证监会的相关规定及银保监会关于募集资本补充工具的条件,且核心一级资本充足率不得低于银保监会规定的审慎监管要求。
II. To offer preferred shares, a commercial bank shall apply to the CBIRC by submitting the following application documents: (1) an application for offering of preferred shares; (2) a plan on offering of preferred shares; (3) its company bylaws (draft) as amended in accordance with the Measures for the Administration of the Pilot Program of Preferred Shares; (4) a resolution of the shareholders' meeting; (5) a capital plan; (6) audited financial statements for the most recent three years and notes thereto; (7) a legal opinion on compliance issued by the issuer's lawyers; and (8) other documents required by the CBIRC.   二、商业银行发行优先股,应向银保监会提出发行申请,申请文件包括:(一)优先股发行申请;(二)优先股发行方案;(三)根据《优先股试点管理办法》修改的公司章程(草案);(四)股东大会决议;(五)资本规划;(六)最近三个年度经审计的财务报表及附注;(七)发行人律师出具的合规性法律意见书;(八)银保监会要求的其他文件。
III. All matters subject to administrative licensing involved in the offering of preferred shares, such as capital addition and amendment to bylaws, shall be accepted, examined, and decided by the relevant regulatory department of the CBIRC at one time.   三、商业银行发行优先股涉及的资本补充、章程修改等行政许可事项,由银保监会相关监管部门一次性予以受理、审查并决定。
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