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Measures for the Administration of Standardized Commercial Instruments [Effective]
标准化票据管理办法 [现行有效]
【法宝引证码】

Announcement of the People's Bank of China 

中国人民银行公告

(No. 6 [2020]) ([2020]第6号)

For the purposes of standardizing the financing mechanisms for standardized commercial instruments and better serving the financing of small and medium-sized enterprises and the development of supply chain finance, the People's Bank of China (“PBC”) has developed the Measures for the Administration of Standardized Commercial Instruments, which are hereby issued and shall come into force on July 28, 2020. 为规范标准化票据融资机制,更好服务中小企业融资和供应链金融发展,中国人民银行制定了《标准化票据管理办法》,现予公布,自2020年7月28日起实施。
Annex: Measures for the Administration of Standardized Commercial Instruments 附件:标准化票据管理办法
People's Bank of China 中国人民银行
June 24, 2020 2020年6月24日
Annex 附件
Measures for the Administration of Standardized Commercial Instruments 标准化票据管理办法
Chapter I General Provisions 

第一章 总 则

Article 1 For the purposes of standardizing the business relating to standardized commercial instruments, supporting the liquidity of small and medium-sized financial institutions, and serving the financing of small and medium-sized enterprises and the development of supply chain finance, these Measures are developed in accordance with the Law of the People's Republic of China on the People's Bank of China, the Trust Law of the People's Republic of China, and the Negotiable Instruments Law of the People's Republic of China and relevant laws and administrative regulations.   第一条 为规范标准化票据业务,支持中小金融机构流动性,服务中小企业融资和供应链金融发展,根据《中华人民共和国中国人民银行法》 《中华人民共和国信托法》 《中华人民共和国票据法》以及相关法律、行政法规,制定本办法。
Article 2 For the purpose of these Measures, “standardized commercial instruments” means the beneficiary certificates divided into equal shares which are created with the cash flow generated from the underlying asset pools formed by depositary institutions by collecting commercial drafts with similar core credit elements and similar payment periods as the payment support.   第二条 本办法所称标准化票据,是指存托机构归集核心信用要素相似、期限相近的商业汇票组建基础资产池, 以基础资产池产生的现金流为偿付支持而创设的等分化受益凭证。
Article 3 The creation of and trading in standardized commercial instruments shall observe the principles of fairness and voluntariness, good faith and self-regulation, and self-assumption of risks on the basis of market needs.   第三条 标准化票据的创设和交易应根据市场需要,遵循公平自愿、诚信自律、风险自担的原则。
Article 4 Standardized commercial instruments are within the scope of monetary market instruments, and shall be subject to the macro-control and supervision and administration by the PBC according to the law.   第四条 标准化票据属于货币市场工具,中国人民银行依法对标准化票据实施宏观调控和监督管理。
Chapter II Main Participating Institutions 

第二章 主要参与机构

Article 5 For the purpose of these Measures, “depository institutions” means the institutions that provide underlying asset collection, management, creation and information services for standardized commercial instruments.   第五条 本办法所称存托机构,是指为标准化票据提供基础资产归集、管理、创设及信息服务的机构。
Depository institutions shall, in accordance with laws and regulations and depository agreements, complete the registration, custody, and information disclosure related to each standardized commercial instrument and assist in the completion of redemption and recourse, among others, and supervise and urge the performance of obligations as prescribed in laws and regulations and specified in depository agreements by original holders, acceptors, underwriters and other relevant institutions. 存托机构应依照法律法规规定和存托协议约定,完成每只标准化票据相关的登记、托管、信息披露以及协助完成兑付、追索等,督促原始持票人、承兑人、承销商等相关机构履行法律法规规定及存托协议约定的义务。
Article 6 Depository institutions shall meet the following conditions:   第六条 存托机构应符合以下条件:
(1) They are commercial banks or securities companies familiar with the commercial instrument and bond market business. (一)熟悉票据和债券市场业务的商业银行或证券公司;
(2) They have practitioners, internal control system and business facilities, among others, appropriate for conducting the depositary business relating to standardized commercial instruments. (二)具有与开展标准化票据存托业务相适应的从业人员、内控制度和业务设施等;
(3) They have good financial status, sound organizational structures, standardized internal control system, and effective risk management measures. (三)财务状况良好,组织机构健全,内部控制规范,风险管理有效;
(4) They have sound reputation, and have committed no major violation of laws or regulations in the past two years. (四)信誉良好,最近两年内无重大违法、违规行为;
(5) Other conditions as prescribed by laws and regulations and specified by the PBC. (五)法律法规和中国人民银行规定的其他条件。
Article 7 For the purpose of these Measures, “original holders” means the commercial draft holders that obtain corresponding consideration after the completion of depositing of eligible commercial drafts according to depositary agreements.   第七条 本办法所称原始持票人,是指根据存托协议约定将符合条件的商业汇票完成存托,取得相应对价的商业汇票持票人。
The commercial drafts held by original holders shall be authentic, legal and valid, and the rights to underlying assets shall be completely transferred by means of endorsement at the time of depositing. No false or fraudulent depositing is allowed, and it is prohibited to subscribe for, directly or in disguise form, standardized commercial instruments with the commercial drafts deposited by holders themselves as underlying assets. 原始持票人持有的商业汇票应真实、合法、有效,存托时以背书方式将基础资产权利完整转让,不得存在虚假或欺诈性存托,不得认购或变相认购以自己存托的商业汇票为基础资产的标准化票据。
Article 8 For the purposes of these Measures, “commercial instrument brokerage institutions” means the financial institutions which are authorized by depository institutions to take charge of collecting underlying assets.   第八条 本办法所称票据经纪机构,是指受存托机构委托,负责归集基础资产的金融机构。
A commercial instrument brokerage institution shall have vibrant commercial instrument business and good market reputation, have an independent commercial instrument brokerage department and a sound internal control management mechanism, and have professional practitioners and brokerage channels. Its commercial instrument brokerage business shall be strictly separated from its self-operated commercial instrument business. 票据经纪机构应票据业务活跃、市场信誉良好,有独立的票据经纪部门和完善的内控管理机制,具有专业从业人员和经纪渠道,票据经纪机构的票据经纪业务与票据自营业务应严格隔离。
Chapter III Underlying Assets 

第三章 基础资产爱法律,有未来

Article 9 Underlying assets shall meet the following conditions:   第九条 基础资产应符合以下条件:
(1) Their acceptors, discounters, guarantors and other subjects of credit have similar core credit elements, and their payment periods are similar. (一)承兑人、贴现行、保证人等信用主体的核心信用要素相似、期限相近;
(2) They are obtained in accordance with laws and regulations, have clear ownership and complete rights, and are not pledged or subject to other encumbrances. (二)依法合规取得,权属明确、权利完整,无附带质押等权利负担;
(3) They can be transferred according to the law, and do not fall within the circumstances restricting the rights to the instruments, such as suspension of payment due to report on the loss of instruments, public summons, or sealing-up or freezing by relevant authorities. (三)可依法转让,无挂失止付、公示催告或被有关机关查封、冻结等限制票据权利的情形;
(4) Subjects of credit such as acceptors, discounters and guarantors, and original holders have committed no major violations of laws or regulations in the past two years. (四)承兑人、贴现行、保证人等信用主体和原始持票人最近两年内无重大违法、违规行为;
(5) Other conditions as prescribed by laws and regulations and specified by the PBC. (五)法律法规和中国人民银行规定的其他条件。
Article 10 The underlying assets of standardized commercial instruments shall be independent of the inherent property of depositary institutions and other participants.
......
   第十条 标准化票据的基础资产应独立于存托机构等其他参与人的固有财产。
......

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