| Notice of the Shenzhen Stock Exchange on Launching the Pilot Program of “Belt and Road” Bonds | | 深圳证券交易所关于开展“一带一路”债券业务试点的通知 |
| (No. 93 [2018] of the Shenzhen Stock Exchange) | | （深证上〔2018〕93号） |
| All market participants: | | 各市场参与人： |
| For the purposes of implementing the spirit of the 19th CPC National Congress and the Central Economic Work Conference, expanding the financial opening in an orderly manner, optimizing the allocation of financial resources, and allowing the bond markets of exchanges to play their role in serving the construction of the “Belt and Road,” in accordance with the Securities Law, the Measures for the Administration of the Offering and Trading of Corporate Bonds (hereinafter referred to as the “Corporate Bonds Measures”), the Listing Rules of the Shenzhen Stock Exchange for Corporate Bonds (2015 Revision) (hereinafter referred to as the “Listing Rules for Corporate Bonds”), the Interim Measures of the Shenzhen Stock Exchange for the Administration of the Non-Public Offering of Corporate Bonds (hereinafter referred to as the “Interim Measures for Non-Public Offering of Corporate Bonds”), and other laws, regulations, departmental rules, regulatory documents, and relevant business rules, you are hereby notified of the following matters on the Shenzhen Stock Exchange (“SZSE”)'s launching the pilot program of “Belt and Road” bonds: | | 为贯彻落实党的十九大会议及中央经济工作会议精神，有序扩大金融对外开放，优化金融资源配置，发挥交易所债券市场服务“一带一路”建设的作用，根据《证券法》《公司债券发行与交易管理办法》（以下简称《公司债券管理办法》）、《深圳证券交易所公司债券上市规则（2015年修订）》（以下简称《公司债券上市规则》）、《深圳证券交易所非公开发行公司债券业务管理暂行办法》（以下简称《非公开发行公司债券暂行办法》）等法律法规、部门规章、规范性文件以及相关业务规则的规定，深圳证券交易所（以下简称本所）就开展“一带一路”债券试点有关事项通知如下： |
| I. For the purposes of this Notice, “Belt and Road” bonds include bonds of the following three categories: | | 一、本通知所称“一带一路”债券，包括以下三类债券： |
| (1) Government bonds issued on the SZSE by government agencies of countries (or regions) along the “Belt and Road.” | | （一）“一带一路”沿线国家（地区）政府类机构在本所发行的政府债券； |
| (2) Corporate bonds issued on the SZSE by enterprises and financial institutions from countries (or regions) along the “Belt and Road.” | | （二）“一带一路”沿线国家（地区）的企业及金融机构在本所发行的公司债券； |
| (3) Corporate bonds issued on the SZSE by domestic and foreign enterprises for the purpose of raising funds for the construction of the “Belt and Road.” | | （三）境内外企业在本所发行的，募集资金用于“一带一路”建设的公司债券。 |
| II. The arrangements for the issuance, listing and trading or quotation and transfer, and information disclosure of government bonds issued on the SZSE by government agencies of countries (or regions) along the “Belt and Road” are as follows: | | 二、“一带一路”沿线国家（地区）政府类机构在本所发行政府债券，其发行、上市交易或挂牌转让、信息披露安排如下： |
| (1) Before issuance, an issuer shall submit the following documents to the SZSE for recordation: | | （一）发行人应当在发行前向本所提交以下文件，并由本所备案： |
| (a) The approval or authorization and other documents for the issuance of the bond in compliance with the laws of the country of the issuer. | | 1. 符合发行人所在国家法律规定的关于发行本次债券的审批或授权等文件； |
| (b) The prospectus for the bond, including but not limited to the issuance clauses, issuance arrangements, basic information on the issuer, economic and financial conditions of the issuer, information disclosure arrangements, and investor protection mechanism. | | 2. 债券募集说明书，包括发行条款、发行安排、发行人基本信息、经济财政状况、信息披露安排、投资者保护机制等； |
| (c) The review opinion of the lead underwriter. | | 3. 主承销商核查意见； |
| (d) The legal opinions issued by lawyers in China and the country (or region) of the issuer respectively. | | 4. 中国境内律师及发行人所在国家（地区）律师分别出具的法律意见书； |
| (e) The documents reflecting the issuer's main economic data or financial condition. | | 5. 反映发行人主要经济数据或财政状况的文件； |
(f) A credit rating report (at a minimum, a credit rating report issued by a credit rating agency in China qualified for engaging in the securities business).
．．．．．． | | 6. 信用评级报告（至少有一家境内具有从事证券业务资格的资信评级机构出具的信用评级报告）；
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