关于中国境内机构在境外发行债券的管理规定(附英文)
中国人民银行
关于中国境内机构在境外发行债券的管理规定(附英文)
中国人民银行
一、为了更好地利用外资,支持国民经济建设,确保有计划地在国际金融市场上筹资,合理地安排使用借入的资金,加强对境内机构在境外发行债券的管理,特制订本规定。
二、在中国境内注册的法人(以下简称境内机构)在境外发行债券,必须遵守本规定。
三、中国人民银行总行为境内机构在境外发行债券的审批机关。国家外汇管理局及其分局(以下简称管汇部门)为境内机构在境外发行债券的管理机关,负责审查、协调和监督债券的发行及所筹资金的使用和偿还的管理。
四、境内机构需在境外发行债券,应以书面形式向当地管汇部门申请,并根据本规定第六、七、八条提交有关文件和资料,经当地管汇部门审查提出意见后,报国家外汇管理局核报中国人民银行总行批准。
五、境内机构申请在境外发行债券时,应向管汇部门提交下列文件和资料:
1.发行单位最近连续三年的业务、财务及外汇收支情况的报告;
2.发行债券的市场、方式、金额、币种、期限、利率和各项费用等情况;
3.主干事和主受托银行的情况;
4.发行债券所筹资金的管理办法和对汇率、利率风险的管理措施。
5.发行单位偿还债券本息的安排。
六、对发行债券所筹资金用于固定资产投资项目的,申请时,还应提供下列资料:
1.投资项目的可行性分析报告;
2.固定资产投资计划纳入国家或地方计划的证明文件;
3.固定资产投资项目的配套人民币资金和物资的证明文件;
4.发行债券所筹资金的使用计划。
七、对发行债券所筹资金转贷给国内企业的,申请时,应同时提供下列文件和资料:
1.国内企业的业务、财务经营状况和外汇收支情况;
2.国内企业借款的用途和配套人民币及物资的情况;
3.国内企业的借入资金用于固定资产投资纳入国家或地方计划的证明文件;
4.国内企业借入资金的使用和偿还安排;
5.国内企业固定资产投资的项目可行性分析报告;
6.发行单位与借款单位签订的贷款合同。
八、对受国内机构委托发行债券的,申请时应分别由受托机构及当地管汇部门提供下列文件和资料:
1.由受托机构提交委托机构与受托机构签订的发债协议书;
2.由受托机构根据本规定的要求提交有关文件和资料;
3.委托机构和受托机构所在地的管汇部门,应根据国家外汇管理的有关规定,分别提出委托和受托发行境外债券的审查报告。
九、首次在境外发行债券的机构,如需要申请评级,须向管汇部门提出书面申请,并附评级机构名称,用于评级的材料及评级程序等有关情况和资料,经批准后方可对外提出评级申请。评级后,发行机构应在三日内向管汇部门报告评级结果。中国人民银行总行将根据评级情况,决定是
否批准其发行债券。对于再次需要评级的机构,如其评级结果同前次不同的,应在三日内向管汇部门报告其评级结果及原因。
十、对发行机构本身业务经营需要发行债券的,所筹资金必须按批准的用途使用,债券本息的偿还自行负责。
十一、对受地方政府委托发行债券的,所筹资金应用于地方政府安排的项目,债券本息的偿还纳入地方外汇支出计划,由地方政府负责偿还。
十二、对受国家委托发行债券的,所筹资金由国家安排使用,债券本息的偿还纳入国家外汇支出计划,由国家负责偿还。
十三、债券发行单位应在发行债券的当天,将发行情况报告管汇部门,在发行后二十天内将发行债券的有关文件(包括发债说明书等)和资料报管汇部门备案。
十四、债券发行后,要在债券发行地以外的金融市场上市,须事先报管汇部门备案。对债券上市后的价格变化情况,应随时向管汇部门报告。
十五、债券发行单位,在债券发行后,必须根据管汇部门的要求,按季报送资金的使用情况、投资和贷款项目的经营情况以及资金的偿还情况。如果需要改变资金用途,必须事先取得管汇部门的同意。
十六、管汇部门有权检查债券发行单位的资金使用和偿还情况,债券发行单位必须予以配合,提供有关文件和资料。
十七、凡违反本规定的,管汇部门将视其情节轻重,给予警告、罚款和取消其发行债券资格的处罚。
十八、本规定的解释权属国家外汇管理局。
(Promulgated by the People's Bank of China on September 28, 1987)
Whole Doc.
Article 1
These Provisions are hereby formulated with a view to utilizing
foreign investment, supporting the development of national economy,
assuring the raise of funds on the international financial market based on
a plan, making a rational arrangement for use of borrowed funds and
strengthening the control of issuing bonds abroad.
Article 2
Legal entities which are registered in China (hereinafter referred to
as "institute within China" shall abide by these Provisions in respect of
issuing bonds abroad.
Article 3
The head office of the People's Bank of China is the examination and
approval authority in charge of issuing bonds abroad. The State
Administration of Exchange Control and its branch offices (hereinafter
referred to as "exchange control authorities") are the organs regulating
the issue of bonds abroad by resident institutions, and shall take the
responsibility of examining, adjusting and supervising the issue of bonds
and controlling the use and repayment of the raised funds.
Article 4
In need of issuing bonds abroad, resident institutions shall make a
written application to the local exchange control authority and submit
relevant documents and materials in light of Articles 6, 7 and 8 of these
Provisions. with suggestions made by the local exchange control authority
upon examination, the application shall be subject to the check-up by the
State control Administration of exchange and approval by the head office
of the People's Bank of China.
Article 5
In applying for issuing bonds abroad, resident institutions shall
submit the following documents and materials:
1) the report on business, finance and the status of receipt and
disbursement of foreign exchange of bonds issuing institution within the
recent consecutive three years;
2) matters as the market, types, amount, forms of currency, length,
interest rate and various expenditure of bonds issued;
3) the status of main secretaries in charge and main entrusted banks;
4) controlling methods for the funds raised through issuing bonds and
for exchange rate and rate risk;
5) arrangements of bond issuing institutions for paying back
principal plus interest of bonds;
Article 6
In case that funds raised through issuing bonds are to be used for
fixed assets investment, the following materials shall also be provided:
1) feasibility report on investment project;
2) documentation which shows that the plan about fixed assets
investment has been brought into line of the state's or local plan;
3) documentation of necessary Renminbi (RMB) Funds and necessary
goods and materials;
4) the plan for utilizing the funds raised through issuing bonds.
Article 7
In the event that funds raised through issuing bonds are to be relent
to domestic enterprises, the applicants shall present the following
materials in the meanwhile:
1) reports on conditions for the business, finance and receipts and
expenditure of foreign exchange of the domestic enterprises;
2) reports on the purpose of the loan used by the domestic enterprise
and its necessary Renminbi funds and necessary goods and materials;
3) the document testifying that the borrowed funds which are used for
the investment in fixed assets have been brought into line of the state's
or local plan;
4) arrangement for the use and repayment of the funds borrowed by the
domestic enterprise;
5) feasibility report of such domestic enterprise on the project for
investment in fixed assets;
6) a loan agreement signed between the bond issuer and the borrower.
Article 8
If the issuance of bonds is entrusted by a domestic institution, the
following documents and materials shall be provided upon application by
the entrusted institution and the local exchange control authority
respectively:
1) bonds agreement signed between the entrusting and entrusted
institutions, being submitted by the entrusted party;
2) relevant documents and materials submitted by the entrusted
institution according to these Provisions;
3) examination reports on issuing bonds in entrusting and entrusted
ways, which shall be presented respectively by the local exchange control
authorities where the entrusting and entrusted institutions are located,
in light of relevant provisions of the State Administration of Exchange
Control.
Article 9
If in need of application for grading, the institution which issues
bonds abroad for the first time, shall present the exchange control
authority a written application with materials concerning the name of the
institution for grading, materials useful for grading, grading procedures,
etc. the issuing institution shall not apply for grading abroad until the
approval is given, The issuing institution shall make a report on the
grading results to the exchange control authority within 3 days after the
grading. The head office of the People's Bank of China shall, in light of
the results of grading, decide to approve its issue of bonds or not. In
need of another grading, the institution shall give a report on the
results and reasons of the grading to the exchange control authority if
the results of grading differ from that of the last time.
Article 10
If the bonds are issued for the need of its own operation of the
issuing institution, such funds raised shall be used for the purpose as
approved, and the issuing institution shall take the full responsibility
of paying off the principal and interest of bonds.
Article 11
In case the issue of bonds is entrusted by a local government, the
raised funds shall be used for the projects arranged by the local
government, and the repayment of principal plus interest is brought into
line with the local plan for the expenditure of foreign exchange. The
local government shall be responsible for the repayment.
Article 12
If the issue of bonds is entrusted by the State, the raised funds
shall be used according to the State arrangements and the repayment of the
principal and interests is brought into line with the State plan for the
expenses of foreign exchange, The State shall undertake the responsibility
of the repayment.
Article 13
The bond issuing institution shall report the conditions of the
issuing to the exchange control authority, the same day on which bonds are
issued and file the documents and materials concerning the issue
(including the directions for the issuing of bonds, etc.) with the
exchange control authority within 20 days after the issue.
Article 14
If the bonds are to be marketed in a financial market other than the
place in which the bonds are issued after the issuance, the issuing
institution shall in advance report it to the exchange control authority
for the record, and shall provide a report to the exchange control
authority at any time when there are any changes in price after the bonds
went on the market.
Article 15
After the bonds are issued, the issuing institution shall, in the
light of requirement of the exchange control authority, submit quarterly
the reports concerning the use of the funds, operation of the investment
and loan project and the repayment of the funds. If the purpose of the
using the funds is necessary to be changed, the issuing institution shall
obtain the consent from the exchange control authority in advance.
Article 16
The exchange control authority has the right to examine the use and
repayment of the funds, and the issuing institution shall cooperate with
the exchange control authority, presenting relevant documents and
materials.
Article 17
In case of violation of these Provisions, the exchange control
authority may make the punishment of disciplinary warning, fining and even
canceling the qualification for issuing bonds according to the seriousness
of the case.
Article 18
The authority to interpret these Provisions resides in the State
Administration of Exchange Control.
1987年9月28日
国务院办公厅关于深入贯彻工会法支持工会工作的通知
国务院办公厅
国务院办公厅关于深入贯彻工会法支持工会工作的通知
国办发〔2004〕90号
各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
《中华人民共和国工会法》(以下简称工会法)公布实施以来,各地区、各有关部门认真贯彻执行,并不断探索加强与工会组织联系的机制和方法,注重发挥工会的作用,积极支持工会工作,取得了明显成效。各级工会组织坚持以邓小平理论和“三个代表”重要思想为指导,紧紧围绕改革发展稳定的大局,积极配合党委和政府工作,团结和动员广大职工群众投身改革开放和社会主义现代化建设事业,为促进经济社会发展、维护社会政治稳定做了大量工作,发挥了不可替代的作用。为深入贯彻实施工会法,进一步支持各级工会组织发挥应有的作用,经国务院同意,现就有关问题通知如下:
一、充分认识新形势下做好工会工作的重要意义。工人阶级是我们国家的领导阶级,是先进社会生产力和生产关系的代表,是改革开放和社会主义现代化建设的主力军。全心全意依靠工人阶级既是我们党和国家强大的政治优势,也是改革发展取得胜利的重要保证。作为党领导下的工人阶级群众组织,工会在党和政府与广大职工群众之间发挥着重要的桥梁和纽带作用。充分发挥工会组织密切联系职工群众、维护职工合法权益、促进社会稳定的作用,对于全面建设小康社会具有十分重要的意义。特别是随着社会主义市场经济体制的逐步建立和不断完善,我国经济结构和社会结构发生了深刻变化,各种利益关系和社会矛盾更加复杂。在新的形势下,妥善处理经济社会发展中的各种矛盾和问题,协调好改革进程中不同群体的利益关系,必须更好地发挥各级工会组织的作用。各地区、各有关部门要从改革发展稳定的大局出发,以实现好、维护好、发展好广大职工群众的根本利益为出发点和落脚点,高度重视并大力支持工会工作,尊重职工群众的主人翁地位,充分调动和发挥好广大职工群众的积极性、创造性,引导他们积极投身于社会主义现代化建设,自觉维护社会稳定。
二、完善民主参与机制,充分发挥工会组织的作用。各地区、各有关部门要全面贯彻实施工会法,按照依法行政和全面建设法治政府的要求,不断拓宽民主参与的渠道。凡研究制定涉及职工切身利益的法律法规、国民经济和社会发展战略、发展规划,要听取工会组织的意见;县级以上地方政府应当通过召开会议或者其他适当方式,向同级工会通报政府的重要工作部署和与工会工作有关的政策措施,研究解决工会反映的职工群众的意见和要求;研究制定劳动就业、工资福利、职业安全卫生保障等与职工利益直接相关的政策措施,要主动邀请工会代表参加并认真听取他们的意见;国有企业改制方案和国有控股企业改制为非国有企业的方案,必须提交企业职工代表大会或职工大会审议,并注意听取工会的意见;召开涉及职工利益和权益保障方面的会议,以及开展安全生产监督检查、事故调查处理等工作,要请工会组织参加;评选、表彰劳动模范等有关工作,要与工会共同研究并组织实施。
三、建立健全劳动关系三方协调机制。各级劳动保障部门要按照工会法的要求,会同同级工会组织和企业方面代表进一步加强三方协调机制建设,健全制度,明确职责,规范运作,并逐步向基层延伸。要定期研究和分析经济结构、产业结构调整和企业改制对劳动关系的影响,认真协商解决涉及劳动关系方面的重大问题。对一些带有普遍性、倾向性的问题,要加强经常性的协调与沟通,及时研究解决办法,充分发挥这一机制在协调劳动关系方面的作用。同时,劳动保障部门要会同工会组织积极指导和推动企业建立、完善劳动合同制度和平等协商、集体合同制度,指导和加强劳动争议调处工作,促进劳动关系的和谐稳定。
四、加强与工会组织的情况沟通和信息交流,建立健全经常性的沟通交流机制。国务院有关部门要进一步加强与全国总工会的信息沟通,抓紧完善发展改革委、劳动保障部、民政部、国资委、安全监管局等有关部门和单位与全国总工会的经常性沟通机制。地方各级政府及有关部门也要加强与同级工会组织的信息沟通,逐步建立地方政府有关部门和单位与工会组织的经常性沟通交流机制。各地区、各有关部门要进一步做好有关工作信息的收集、综合和交流工作,特别是要做好重大事件、重要信息的通报工作,保证信息交流渠道畅通。
五、努力为工会组织开展工作创造必要的条件。各地区、各有关部门要主动为工会组织依法履行职责、有效开展工作创造条件,并提供必要的物质保障。要积极支持工会通过职工代表大会或者其他形式组织职工参与本单位的民主决策、民主管理和民主监督,支持工会开展社会主义劳动竞赛、职工经济技术创新和送温暖活动,支持工会建立困难职工帮扶中心和加强职业安全健康、劳动保护工作,支持工会举办为职工服务的职业介绍、职业培训、职工互助保障以及各种丰富职工精神生活的文化体育事业等。对那些与职工利益密切相关,又有利于发挥工会优势的工作,要更多地委托给工会组织去做,不断增强工会的服务功能。
2004年12月15日