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Announcement No. 18 [2019] of the National Association of Financial Market Institutional Investors—Announcement on the Market Assessment Results on the Participation of Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business of Debt Financing Instruments of Non-Financial Enterprises [Effective]
中国银行间市场交易商协会公告[2019]18号——关于外资银行类会员参与非金融企业债务融资工具A类主承销业务市场评价的公告 [现行有效]
【法宝引证码】

Announcement of the National Association of Financial Market Institutional Investors 

中国银行间市场交易商协会公告

(No. 18 [2019]) (〔2019〕18号)

Announcement on the Market Assessment Results on the Participation of Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business of Debt Financing Instruments of Non-Financial Enterprises 关于外资银行类会员参与非金融企业债务融资工具A类主承销业务市场评价的公告
For purposes of further expand the opening-up of the interbank bond market, optimizing the structure of teams underwriting debt financing instruments of non-financial enterprises, and promoting the sound and orderly development of the market, the National Association of Financial Market Institutional Investors (hereinafter referred to as the “NAFMII”) has initiated the market assessment on the participation of members of the category of foreign-funded banks in the Class A lead underwriting business in accordance with the Measures for the Administration of Debt Financing Instruments of Non-Financial Enterprises in the Inter-Bank Bond Market (Order No. 1 [2008], PBC), the Rules of the National Association of Financial Market Institutional Investors for the Market Assessment of Relevant Members Participating in the Underwriting Business of Debt Financing Instruments of Non-Financial Enterprises (hereinafter referred to as the “Assessment Rules”) and other self-regulation rules. Relevant matters are hereby announced as follows: 为进一步扩大银行间债券市场对外开放,优化非金融企业债务融资工具承销队伍结构,推动市场健康有序发展,根据《银行间债券市场非金融企业债务融资工具管理办法》(中国人民银行令〔2008〕第1号)及《中国银行间市场交易商协会非金融企业债务融资工具承销业务相关会员市场评价规则》(以下简称《评价规则》)等自律规则,中国银行间市场交易商协会(以下简称“交易商协会”)启动外资银行类会员参与A类主承销业务市场评价工作,现将有关事项公告如下:
I. A target of the assessment is a member of the category of foreign-funded banks that has obtained the qualification of the underwriting business of debt financing instruments of non-financial enterprise for one year or more and meet the following conditions: (1) its parent bank group is included in the list of global systemically important banks (G-SIBs) in the past year [1]; (2) the average amount of bonds underwritten by its parent bank group as a lead underwriter has exceeded USD 20 billion in the past three years; and (3) its regulatory rating of the China Banking and Insurance Regulatory Commission is not lower than Grade II in the past year.   一、评价对象为获得非金融企业债务融资工具承销业务资格满一年且具备以下条件的外资银行类会员:(一)母行集团在近一年度全球系统重要性银行名单内[1];(二)母行集团近三年债券主承销金额平均值超过200亿美元;(三)近一年度银保监会监管评级不低于2级。
II. In accordance with Article 15 of the Assessment Rules, those that fall under any of the following circumstances in the past three years shall not participate in the market assessment: (1) they were subject to criminal punishment or serious administrative penalty due to any violation of law or regulation; (2) they are under case investigation or rectification by the competent authorities for any suspected violation of law or regulation; or (3) they have caused serious consequences to the market due to any violation of law or regulation.   二、根据《评价规则》十五条规定,近三年内有下列情形的,不参加市场评价:(一)因违法违规受到刑事处罚或重大行政处罚;(二)因涉嫌违法违规正在被相关主管机关立案调查或者正处于整改期间;(三)因违法违规给市场造成严重后果。
III. The Market Assessment Standards of the National Association of Financial Market Institutional Investors for the Participation of the Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business (see Annex 1) shall apply to this round of market assessment.   三、本次市场评价适用《中国银行间市场交易商协会外资银行类会员参与A类主承销业务市场评价标准》(见附件1)。
IV. The participating members shall, in accordance with the contents and formats required by the Explanations on Materials for the Market Assessment of the National Association of Financial Market Institutional Investors on the Participation of the Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business (see Annex 2), submit the List of Materials (see Annex 3) and specific materials to the Secretariat of the NAFMII (including electronic and paper materials) prior to 17:00 on August 28, 2019. The materials submitted shall be authentic, accurate, and complete, with the official seal of the NAFMII affixed thereto.   四、请参评会员按照《中国银行间市场交易商协会外资银行类会员参与A类主承销业务市场评价相关材料说明》(见附件2)要求的内容与格式,于2019年8月28日17时前将材料清单(见附件3)及具体材料提交至交易商协会秘书处(含电子版材料及相应纸质版材料),材料应真实、准确、完整,并加盖单位公章。
The paper and electronic materials shall be delivered to: Department of Members and Laws Affairs, National Association of Financial Market Institutional Investors, 18/F, Building 6, 1 South Yuetan Street, Xicheng District, Beijing, 100045. 纸质及电子版材料请交送至:北京市西城区月坛南街1号院6号楼18层,交易商协会会员与法律事务部,邮编:100045。
V. The Professional Committee of the NAFMII, National Interbank Funding Center, China Central Depository & Clearing Co., Ltd., Shanghai Clearing House, Beijing Financial Assets Exchange, and the representatives of relevant market members shall, in accordance with the Assessment Rules and relevant provisions, cooperate in effectively conducting assessment, and submit assessment results to the Secretariat of the NAFMII within the period of validity. The assessment results shall be independently made, objective, and authentic.   五、请交易商协会债券市场专业委员会、全国银行间同业拆借中心、中央国债登记结算有限责任公司、银行间市场清算所股份有限公司、北京金融资产交易所有限公司和相关市场成员代表按照《评价规则》及相关规定配合做好评价工作,并在有效时间内向交易商协会秘书处提交评价结果,评价结果应独立、客观、真实。
VI. The members participating in the market assessment shall assign special contact persons and give their contact information to the Secretariat of the NAFMII.   六、参与市场评价的会员机构应指定专门联系人,并将其联系方式告知交易商协会秘书处。
Contact persons: Zhu Wenkai, Bai He 联系人:朱文凯 白荷
Telephone: 010-66538073, 010-66538225 电话:010-66538073 010-66538225
Fax: 010-66539038 传真:010-66539038
Annexes: 1. Market Assessment Standards of the National Association of Financial Market Institutional Investors for the Participation of the Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business 附件1.中国银行间市场交易商协会外资银行类会员参与A类主承销业务市场评价标准
2. Relevant Explanations on Materials for the Market Assessment of the National Association of Financial Market Institutional Investors on the Participation of the Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business 2.中国银行间市场交易商协会外资银行类会员参与A类主承销业务市场评价相关材料说明
3. List of Materials for the Market Assessment of the National Association of Financial Market Institutional Investors on the Participation of the Members of the Category of Foreign-Funded Banks in the Class A Lead Underwriting Business 3.中国银行间市场交易商协会外资银行类会员参与A类主承销业务市场评价材料清单>
National Association of Financial Market Institutional Investors 中国银行间市场交易商协会
August 21, 2019 2019年8月21日
[1] The list is published by the Financial Stability Board (FSB). [1]该名单由金融稳定理事会(Financial Stability Board)发布。
     
     
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