| Announcement of the People's Bank of China | | 中国人民银行公告 |
| (No. 29 [2016]) | | （[2016]第29号） |
| For purposes of regulating trading behavior on the negotiable instrument market, protecting the lawful rights and interests of all parties to transactions, and promoting the sound development of the negotiable instrument market, the People's Bank of China (“PBC”) has developed the Administrative Measures for Trading in Negotiable Instruments, which are hereby issued for implementation. | | 为规范票据市场交易行为，维护交易各方合法权益，促进票据市场健康发展，中国人民银行制定了《票据交易管理办法》，现予公布施行。 |
| December 5, 2016 | | 2016年12月5日 |
| Annex: | | 附件： |
| Administrative Measures for Trading in Negotiable Instruments | | 票据交易管理办法 |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For purposes of regulating transactions on the negotiable instrument market, preventing trading risks, protecting the lawful rights and interests of all parties to transactions, and promoting the sound development of the negotiable instrument market, these Measures are developed in accordance with the Law of the People's Republic of China on the People's Bank of China, the Negotiable Instruments Law of the People's Republic of China, the Electronic Signature Law of the People's Republic of China, and other relevant laws and regulations. | | 第一条 为规范票据市场交易行为，防范交易风险，维护交易各方合法权益，促进票据市场健康发展，依据《中华人民共和国中国人民银行法》、《中华人民共和国票据法》、《中华人民共和国电子签名法》等有关法律法规，制定本办法。 |
| Article 2 Market participants that trade in negotiable instruments shall abide by these Measures. For the purpose of these Measures, “negotiable instruments” shall include but not be limited to banks' acceptance bills, commercial acceptance bills and other tradable negotiable instruments in paper or electronic form. | | 第二条 市场参与者从事票据交易应当遵守本办法，本办法所称票据包括但不限于纸质或者电子形式的银行承兑汇票、商业承兑汇票等可交易票据。 |
| Article 3 Trading in negotiable instruments shall observe the principles of fairness and voluntariness, good faith and self-discipline, and self-assumption of risks. | | 第三条 票据交易应当遵循公平自愿、诚信自律、风险自担的原则。 |
| Article 4 The PBC shall conduct supervision and administration of the negotiable instrument market in accordance with the law, and conduct macro-prudential administration of the negotiable instrument market according to macro control requirements. | | 第四条 中国人民银行依法对票据市场进行监督管理，并根据宏观调控需要对票据市场进行宏观审慎管理。 |
| Chapter II Negotiable Instrument Market Participants | | 第二章 票据市场参与者 |
| Article 5 “Negotiable instrument market participants” means the market participants that may trade in negotiable instruments, including: | | 第五条 票据市场参与者是指可以从事票据交易的市场主体，包括： |
| (1) Corporate participants. “Corporate participants” means the corporate bodies of financial institutions, including policy banks, commercial banks and branch offices authorized by them, rural credit cooperatives, finance companies of enterprise groups, trust companies, securities companies, fund management companies, futures companies, insurance companies and other financial institutions approved by financial regulatory authorities. | | (一)法人类参与者。指金融机构法人，包括政策性银行、商业银行及其授权的分支机构，农村信用社、企业集团财务公司、信托公司、证券公司、基金管理公司、期货公司、保险公司等经金融监督管理部门许可的金融机构。 |
| (2) Non-corporate participants. “Non-corporate participants” means all kinds of investment products established by financial institutions as asset management institutions in the asset management business conducted according to investment plans and methods agreed upon with clients upon clients' entrustment or authorization, under the premise of compliance with laws and regulations, including securities investment funds, asset management plans, banks' wealth management products, trust plans, insurance products, housing provident funds, social security funds, enterprise annuities, and pension funds, among others. | | (二)非法人类参与者。指金融机构等作为资产管理人，在依法合规的前提下，接受客户的委托或者授权，按照与客户约定的投资计划和方式开展资产管理业务所设立的各类投资产品，包括证券投资基金、资产管理计划、银行理财产品、信托计划、保险产品、住房公积金、社会保障基金、企业年金、养老基金等。 |
| (3) Other market participants determined by the PBC. | | (三)中国人民银行确定的其他市场参与者。 |
| Article 6 A corporate participant shall meet the following conditions: | | 第六条 法人类参与者应当符合以下条件： |
| (1) It is formed in accordance with laws and regulations. | | (一)依法合规设立。 |
| (2) It has developed internal management rules and operating procedures for the negotiable instrument business, and has a sound corporate governance structure and sound internal control and risk management mechanisms. | | (二)已制定票据业务内部管理制度和操作规程，具有健全的公司治理结构和完善的内部控制、风险管理机制。 |
| (3) It has personnel who are familiar with the negotiable instrument market and specialized in trade in negotiable instruments. | | (三)有熟悉票据市场和专门从事票据交易的人员。 |
| (4) It has corresponding risk recognition and assumption capability, and knows and assumes negotiable instrument investment risks. | | (四)具备相应的风险识别和承担能力，知悉并承担票据投资风险。 |
| (5) It meets other conditions required by the PBC. | | (五)中国人民银行要求的其他条件。 |
| Article 7 A non-corporate participant shall meet the following conditions: | | 第七条 非法人类参与者应当符合以下条件： |
| (1) The products comply with the relevant laws, regulations and regulatory provisions, and have obtained the approval of or completed recordation at the relevant financial regulatory department in accordance with the law. | | (一)产品设立符合相关法律法规和监管规定，并已依法在相关金融监督管理部门获得批准或者完成备案。 |
| (2) The products have been entrusted to a financial institution qualified for custodianship (hereinafter referred to as the “custodian”) to conduct independent custody, and the custodian conducts separated account management and independent accounting for the principals' funds. | | (二)产品已委托具有托管资格的金融机构(以下简称托管人)进行独立托管，托管人对委托人资金实行分账管理、单独核算。 |
| (3) The product management institution is qualified for conducting the asset management business approved by the relevant financial regulatory department. | | (三)产品管理人具有相关金融监督管理部门批准的资产管理业务资格。 |
| Article 8 A corporate participant that trades in negotiable instruments shall abide by relevant laws and regulations, strengthen the building of internal control rules, improve department and post setup, and take effective measures to continuously enhance the business capability of relevant personnel. | | 第八条 法人类参与者开展票据交易，应当遵守有关法律法规，强化内控制度建设，完善部门和岗位设置，并采取切实措施持续提高相关人员业务能力。 |
| Article 9 Where a non-corporate participant trades in negotiable instruments, the asset management institution shall exercise rights on negotiable instruments on behalf thereof, and assume corresponding civil liability with the assets managed upon entrustment. The department of the asset management institution that engages in asset management, posts, personnel and the assets managed by them shall be mutually independent from their own proprietary businesses. | | 第九条 非法人类参与者开展票据交易，由其资产管理人代表其行使票据权利并以受托管理的资产承担相应的民事责任。资产管理人从事资管业务的部门、岗位、人员及其管理的资产应当与其自营业务相互独立。 |
| Chapter III Negotiable Instrument Market Infrastructure | | 第三章 票据市场基础设施 |
| Article 10 “Negotiable instrument market infrastructure” means the institutions that provide the services of trading in negotiable instruments, registration and custody, liquidation and settlement, and information services. | | 第十条 票据市场基础设施是指提供票据交易、登记托管、清算结算、信息服务的机构。 |
| Article 11 Negotiable instrument market infrastructure shall be recognized by the PBC. The PBC shall conduct the supervision and administration of negotiable instrument-related businesses conducted by the negotiable instrument market infrastructure. | | 第十一条 票据市场基础设施应当经中国人民银行认可。中国人民银行对票据市场基础设施开展票据相关业务进行监督管理。 |
| Article 12 Negotiable instrument market infrastructure may provide the following services to market participants: | | 第十二条 票据市场基础设施可以为市场参与者提供以下服务： |
| (1) Organizing trading in negotiable instruments, and releasing the real-time quotations on trading in negotiable instruments. | | (一)组织票据交易，公布票据交易即时行情。 |
| (2) Negotiable instrument registration and custody. | | (二)票据登记托管。 |
| (3) Liquidation and settlement of trading in negotiable instruments. | | (三)票据交易的清算结算。 |
| (4) Negotiable instrument information services. | | (四)票据信息服务。 |
| (5) Other services recognized by the PBC. | | (五)中国人民银行认可的其他服务。 |
| Article 13 Negotiable instrument market infrastructure shall conduct system construction and management according to the standards relating to the construction of financial market infrastructure. | | 第十三条 票据市场基础设施按照金融市场基础设施建设有关标准进行系统建设与管理。 |
| Article 14 Negotiable instrument market infrastructure shall withdraw a certain proportion of its business income to set the risk fund and deposit it in the special account of the opening bank to cover the relevant loss caused by default delivery, technical failure, operation failure and force majuere, among others. | | 第十四条 票据市场基础设施应当从其业务收入中提取一定比例的金额设立风险基金并存入开户银行专门账户，用于弥补因违约交收、技术故障、操作失误、不可抗力等造成的相关损失。 |
| Article 15 Shanghai Negotiable Instrument Exchange is the institution designated by the PBC to provide the services of trading in negotiable instruments, registration and custody, liquidation and settlement, and information services. | | 第十五条 上海票据交易所是中国人民银行指定的提供票据交易、登记托管、清算结算和信息服务的机构。 |
| Chapter IV Registration and Electronization of Negotiable Instrument Information | | 第四章 票据信息登记与电子化 |
| Article 16 Before the discount of paper bills, a financial institution that handles acceptance, pledge, guarantee and other businesses shall complete relevant information registration through the negotiable instrument market infrastructure on the working day immediately after business handling. | | 第十六条 纸质票据贴现前，金融机构办理承兑、质押、保证等业务，应当不晚于业务办理的次一工作日在票据市场基础设施完成相关信息登记工作。 |
| After the acceptance of paper commercial acceptance bills, the opening bank of the acceptor shall register acceptance information on behalf of the acceptor based on the entrustment thereof. If the acceptance information is not registered in a timely manner, the holder has the right to require the acceptor to supplement the acceptance information. | | 纸质商业承兑汇票完成承兑后，承兑人开户行应当根据承兑人委托代其进行承兑信息登记。承兑信息未能及时登记的，持票人有权要求承兑人补充登记承兑信息。 |
| If the information on paper bills is inconsistent with the registered information, the information on paper bills shall prevail. | | 纸质票据票面信息与登记信息不一致的，以纸质票据票面信息为准。 |
| Article 17 When the applicant for a discount handles the discount of paper bills, it shall consult the bill acceptance information through the negotiable instrument market infrastructure, and after confirming that the matters that must be recorded on paper bills are consistent with registered acceptance information, then the discount shall be handled for the applicant, and the applicant is not required to provide the contract, invoice and other materials; and if the information does not exist or the matters that must be recorded on paper bills are inconsistent with registered acceptance information, discount is not allowed. | | 第十七条 贴现人办理纸质票据贴现时，应当通过票据市场基础设施查询票据承兑信息，并在确认纸质票据必须记载事项与已登记承兑信息一致后，为贴现申请人办理贴现，贴现申请人无需提供合同、发票等资料；信息不存在或者纸质票据必须记载事项与已登记承兑信息不一致的，不得办理贴现。 |
| For the purpose of this paragraph, “matters that must be recorded in paper bills” means the matters that must be recorded in bills as prescribed in Article 22 of the Negotiable Instruments Law of the People's Republic of China. | | 本款所称纸质票据必须记载事项指《中华人民共和国票据法》第二十二条规定的票据必须记载事项。 |
Article 18 The applicant for a discount shall, after completing the discount of paper bills, complete the registration of discount information through the negotiable instrument market infrastructure no later than the working day immediately after the date of discount.
．．．．．． | | 第十八条 贴现人完成纸质票据贴现后，应当不晚于贴现次一工作日在票据市场基础设施完成贴现信息登记。
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