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Notice by China Securities Depository and Clearing Corporation Limited of Issuing the Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, and Other Circumstances, 2020 Revision) [Effective]
中国证券登记结算有限责任公司关于发布《证券非交易过户业务实施细则(适用于继承、捐赠等情形)》的通知(2020修订) [现行有效]
【法宝引证码】

Notice by China Securities Depository and Clearing Corporation Limited of Issuing the Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, and Other Circumstances) 

中国证券登记结算有限责任公司关于发布《证券非交易过户业务实施细则(适用于继承、捐赠等情形)》的通知

All market participants: 各市场参与主体:
For the purposes of adapting to the changes in the laws and regulations and business development, and further simplifying the requirements for handling the non-trade transfer business of securities, China Securities Depository and Clearing Corporation Limited has revised and formed the Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, and Other Circumstances), which are hereby issued and shall come into force on the date of issuance. The Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, Property Division Carried out According to the Law, Loss of Legal Person Qualification and Other Circumstances) shall be concurrently repealed. 为适应法律法规和业务发展变化,进一步简化证券非交易过户业务办理要求,本公司修订形成了《证券非交易过户业务实施细则(适用于继承、捐赠等情形)》,现予以发布,并自发布之日起实施。本公司2011年7月14日发布的《证券非交易过户业务实施细则(适用于继承、赠与、依法进行的财产分割、法人资格丧失等情形)》同时废止。
 
特此通知。
Annex: Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, and Other Circumstances) 附件:证券非交易过户业务实施细则(适用于继承、捐赠等情形)
China Securities Depository and Clearing Corporation Limited 中国证券登记结算有限责任公司
April 30, 2020 2020年4月30日
Detailed Implementation Rules for the Non-trade Transfer Business of Securities (Applicable to Inheritance, Donation, and Other Circumstances) 证券非交易过户业务实施细则(适用于继承、捐赠等情形)
Article 1 For the purposes of further regulating the non-trade transfer business of securities involved in inheritance, donation, property division carried out according to the law, loss of legal person qualification, privately offered asset management, and other circumstances, and protecting the lawful rights and interests of investors, these Detailed Rules are developed according to the Securities Law, the Company Law, the Measures for the Administration of the Securities Depository and Clearing, the Measures for the Administration of the Privately Offered Asset Management Business of Securities and Futures Business Institutions, and other laws and regulations, and departmental rules, as well as the Rules on the Registration of Securities, and other relevant business rules of China Securities Depository and Clearing Corporation Limited (“CSDC”).   第一条 为进一步规范继承、捐赠、依法进行的财产分割、法人资格丧失、私募资产管理等情形涉及的证券非交易过户业务,保护投资者合法权益,根据《证券法》《公司法》《证券登记结算管理办法》《证券期货经营机构私募资产管理业务管理办法》等法律法规、部门规章的规定,以及中国证券登记结算有限责任公司(以下称本公司)《证券登记规则》等有关业务规则,制定本细则。
Article 2 For the purposes of these Detailed Rules, “securities” means stocks (excluding non-tradable shares) registered in the securities accounts (excludingopened at CSDC, depository receipts, bonds, funds, and other securities varieties traded on the stock exchanges and the National Equities Exchange and Quotations.   第二条 本细则所称证券是指登记在本公司开立的证券账户(不含开放式基金账户)中的股票(不含非流通股)、存托凭证、债券、基金等在证券交易所、全国中小企业股份转让系统交易的证券品种。
Article 3 Non-trade transfer business of securities as specified in these rules includes the following circumstances:   第三条 本细则规定的证券非交易过户业务包括以下情形:
(1) Transfer of securities involved in inheritance. (一)继承所涉证券过户;
(2) Transfer of securities involved in donation means transfer of securities involved in donation to a foundation that is registered at the civil affairs department and recognized as a charitable organization (excluding representative institutions of overseas foundations). (二)捐赠所涉证券过户,指向基金会捐赠所涉证券过户,且基金会是在民政部门登记并被认定为慈善组织的基金会(不含境外基金会代表机构);
(3) Transfer of securities involved in property division carried out according to the law which temporarily means divorce. (三)依法进行的财产分割所涉证券过户,暂仅指离婚情形;
(4) Transfer of securities involved in the loss of legal person qualification. (四)法人资格丧失所涉证券过户;
(5) Transfer of securities involved in privately offered asset management. (五)私募资产管理所涉证券过户;
(6) Other circumstances recognized by the CSRC. (六)中国证监会认定的其他情形。
Article 4 For transfer of securities involved in inheritance and loss of legal person qualification, the transferee shall file an application for transfer business as the applicant; and for transfer of securities involved in donation, divorce or management of privately offered assets, the transferor and transferee shall jointly file applications for transfer business as applicants.   第四条 继承、法人资格丧失所涉证券过户的,由过入方作为申请人提交过户业务申请;捐赠、离婚、私募资产管理所涉证券过户的,由过出方、过入方作为申请人共同提交过户业务申请。
Article 5 For transfer of securities involved in inheritance, the following materials need to be submitted when an application is filed for handling the transfer business:   第五条三年不开张,开张吃三年 继承所涉证券过户的,申请办理过户业务时需提交以下材料:
(1) The application for transfer business. (一)过户业务申请;
(2) The valid death certificate of the ancester. (二)被继承人有效死亡证明;
(3) The certificate of securities ownership (any one): (三)证券权属证明文件(任意一项):
(a) Where the ownership of securities is confirmed by the people's court, the effective legal document issued by the people's court needs to be submitted. 1、通过人民法院确认证券权属的,需提交人民法院出具的生效法律文书;
(b) Where a mediation agreement is concluded through the people's mediation committee, the mediation agreement and the confirmation document issued by the people's court need to be submitted. 2、通过人民调解委员会达成调解协议的,需提交调解协议和人民法院出具的确认文书;
(c) For notarization by a notary organization, the notary document confirming change in ownership of securities needs to be submitted.
......
 3、通过公证机构公证的,需提交确认证券权属变更的公证文书;
......

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