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Measures for the Equity Custody for Commercial Banks [Effective]
商业银行股权托管办法 [现行有效]

Order of the China Banking and Insurance Regulatory Commission 


(No. 2 [2019]) (2019年第2号)

The Measures for the Equity Custody for Commercial Banks, as adopted at the 2nd chairman's meeting of the China Banking and Insurance Regulatory Commission (“CBIRC”) in 2019, are hereby issued, and shall come into force on the date of issuance. 《商业银行股权托管办法》已经中国银保监会2019年第2次主席会议通过。现予公布,自公布之日起施行。
Chairman: Guo Shuqing 主席 郭树清
July 12, 2019 2019年7月12日
Measures for the Equity Custody for Commercial Banks 商业银行股权托管办法
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of regulating the equity custody for commercial banks, enhancing equity management, and increasing the transparency of equities, these Measures are developed in accordance with the Banking Supervision Law of the People's Republic of China and the Law of the People's Republic of China on Commercial Banks.   第一条 为规范商业银行股权托管,加强股权管理,提高股权透明度,根据《中华人民共和国银行业监督管理法》《中华人民共和国商业银行法》,制定本办法。
Article 2 These Measures shall apply to the equity custody for commercial banks legally formed in the territory of the People's Republic of China, unless any law or regulation provides otherwise for the equity custody for commercial banks.   第二条 中华人民共和国境内依法设立的商业银行进行股权托管,适用本办法。法律法规对商业银行股权托管另有规定的,从其规定。
Article 3 For the purposes of these Measures, “equity custody” means that under a service agreement between a commercial bank and a custodian, the custodian as authorized by the commercial bank manages the shareholder register of the commercial bank, records equity information on the commercial bank, and handles the related equity management affairs on behalf of the commercial bank.   第三条 本办法所称股权托管是指商业银行与托管机构签订服务协议,委托其管理商业银行股东名册,记载股权信息,以及代为处理相关股权管理事务。
Article 4 Where the stock of a commercial bank is listed and traded on a stock exchange or any other stock trading venue approved by the State Council or is quoted on the National Equities Exchange and Quotations, and the commercial bank's equity is required by laws and administrative regulations to be deposited with a statutory securities depository and clearing institution in a centralized manner, the equity custody shall be conducted in accordance with the corresponding provisions; while other commercial banks shall select custodians that meet the conditions prescribed in these Measures for the custody of their equities, except as otherwise specified by the CBIRC.   第四条 股票在证券交易所或国务院批准的其他证券交易场所上市交易,或在全国中小企业股份转让系统挂牌的商业银行,按照法律、行政法规规定股权需集中存管到法定证券登记结算机构的,股权托管工作按照相应的规定进行;其他商业银行应选择符合本办法规定条件的托管机构托管其股权,银保监会另有规定的除外。
Article 5 A custodian shall, under the service agreement entered into with a commercial bank, provide safe and efficient equity custody services for the commercial bank, and report equity information on the commercial bank to the CBIRC and its local office.   第五条 托管机构应当按照与商业银行签订的服务协议,为商业银行提供安全高效的股权托管服务,向银保监会及其派出机构报送商业银行股权信息。
Article 6 The CBIRC and its local offices shall supervise and administer the equity custody activities of commercial banks in accordance with the law.   第六条 银保监会及其派出机构依法对商业银行的股权托管活动进行监督管理。
Chapter II Equity Custody for Commercial Banks 

第二章 商业银行股权的托管

Article 7 The custodian authorized by a commercial bank to manage its equity affairs shall be a legally formed securities depository and clearing institution, or be a regional equity market operator or any other equity custodian that meets the following conditions:   第七条 商业银行应委托依法设立的证券登记结算机构、符合下列条件的区域性股权市场运营机构或其他股权托管机构管理其股权事务:
(1) It is an enterprise with a legal person status legally formed within China, and has no less than two years of experience in the registration and custody business (excluding regional equity market operators). (一)在中国境内依法设立的企业法人,拥有不少于两年的登记托管业务经验(区域性股权市场运营机构除外);
(2) It has the venue and facilities required for providing equity custody services, and has convenient service outlets or online service capability that satisfies safety requirements. (二)具有提供股权托管服务所必须的场所和设施,具有便捷的服务网点或者符合安全要求的线上服务能力;
(3) It has managerial personnel who are familiar with the laws and regulations on the management of equities of commercial banks and the relevant regulatory provisions. (三)具有熟悉商业银行股权管理法律法规以及相关监管规定的管理人员;
(4) It has adequate and effective business management rules, risk prevention measures, and confidentiality management rules. (四)具有健全的业务管理制度、风险防范措施和保密管理制度;
(5) It has a complete information system that can ensure the security of equity information in the process of transmission, processing, and storage, and has disaster recovery capability. (五)具有完善的信息系统,能够保证股权信息在传输、处理、存储过程中的安全性,具有灾备能力;
(6) It satisfies the conditions and has capability for submitting information and related materials to the CBIRC and its local office. (六)具备向银保监会及其派出机构报送信息和相关资料的条件与能力;
(7) It is able to appropriately preserve business data, and original certificates and related documents and materials shall be preserved for a period of not less than 20 years. (七)能够妥善保管业务资料,原始凭证及有关文件和资料的保存期限不得少于二十年;
(8) Its business rules and major fee items and fee rates related to the equity custody services for commercial banks are open, transparent, and fair. (八)与商业银行股权托管业务有关的业务规则、主要收费项目和收费标准公开、透明、公允;
(9) It has neither committed any serious violation of laws and regulations nor been involved in any major negative case in the recent two years. (九)最近两年无严重违法违规行为或发生重大负面案件;
(10) Other conditions as the CBIRC deems necessary. (十)银保监会认为应当具备的其他条件。
Article 8 The equity custodian selected by a commercial bank shall have a complete information system that satisfies the following requirements:   第八条 商业银行选择的股权托管机构应具备完善的信息系统,信息系统应符合以下要求:
(1) The system can fully support the custodian's various equity custody services provided in accordance with these Measures, and its service capability shall meet the actual demand of the equity custody services for the bank. (一)能够完整支持托管机构按照本办法规定提供各项股权托管服务,系统服务能力应能满足银行股权托管业务的实际需要;
(2) The servers and storage devices used in the equity custody services shall be maintained and managed by the custodian independently. (二)股权托管业务使用的服务器和存储设备应自主维护、管理;
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