商业银行设立基金管理公司试点管理办法
中国人民银行 中国银行业监督管理委员会 中国证券监督管理委员会
中国人民银行 中国银行业监督管理委员会 中国证券监督管理委员会公告〔2005〕第4号
为落实《国务院关于推进资本市场改革开放和稳定发展的若干意见》(国发〔2004〕3号),促进金融市场协调发展,鼓励金融创新,保证商业银行设立基金管理公司试点工作顺利进行,中国人民银行、中国银行业监督管理委员会和中国证券监督管理委员会制定了《商业银行设立基金管理公司试点管理办法》,现予公布。
中国人民银行 中国银行业监督管理委员会 中国证券监督管理委员会
二○○五年二月二十日
附件:
商业银行设立基金管理公司试点管理办法
第一章 总则
第一条 为落实《国务院关于推进资本市场改革开放和稳定发展的若干意见》(国发〔2004〕3号),保证商业银行设立基金管理公司试点工作顺利进行,根据《中华人民共和国公司法》、《中华人民共和国证券投资基金法》、《中华人民共和国中国人民银行法》、《中华人民共和国银行业监督管理法》以及《中华人民共和国商业银行法》等法律法规,制定本办法。
第二条 本办法所称商业银行,是指在中华人民共和国境内经中国银行业监督管理委员会(以下简称中国银监会)批准设立的国有商业银行和股份制商业银行。
第三条 本办法所称基金管理公司,是指在中华人民共和国境内由商业银行直接出资作为主要股东、经中国证券监督管理委员会(以下简称中国证监会)批准设立、从事基金管理业务的企业法人。
第四条 商业银行设立的基金管理公司,按照《中华人民共和国证券投资基金法》规定的业务范围募集和管理基金。试点初期,既可以募集和管理货币市场基金和债券型基金,投资固定收益类证券,也可以募集和管理其它类型的基金。
第五条 中国人民银行会同中国银监会和中国证监会,负责商业银行设立基金管理公司的综合协调工作。
第二章 申请审批程序
第六条 申请投资基金管理公司的商业银行,应按照中国银监会的有关规定报送材料,在试点期间应同时抄报中国人民银行。中国银监会从商业银行总体风险监管的角度,审查商业银行投资基金管理公司的资格,并依法出具商业银行可以对外投资的监管意见。
第七条 经中国银监会出具同意投资基金管理公司监管意见的商业银行,应按照《证券投资基金管理公司管理办法》等有关法律法规,向中国证监会报送申请设立基金管理公司的有关材料,中国证监会依法进行审批。
商业银行申请设立基金管理公司的有关材料在试点期间应同时抄报中国人民银行。
第八条 鼓励商业银行采取股权多元化方式设立基金管理公司。
第九条 除本办法规定的条款外,商业银行设立的基金管理公司的条件及股东资格,按照《证券投资基金管理公司管理办法》的有关规定执行。
第三章 风险控制
第十条 商业银行设立的基金管理公司,应建立良好的公司治理结构。商业银行应当严格按照“法人分业”的原则,与其出资设立的基金管理公司之间建立有效的风险隔离制度,报中国银监会备案。
第十一条 商业银行仅以出资额对所设立的基金管理公司承担有限责任,并通过基金管理公司的股东会依法行使股东权利,不得越过股东会、董事会干预公司的经营管理。
第十二条 商业银行与其设立的基金管理公司不得违反国家规定相互提供客户信息资料,业务往来不得损害客户的正当合法权益。
第十三条 商业银行设立的基金管理公司的工作人员必须与商业银行脱离工资和劳动合同关系,不得相互兼职。基金管理公司的高级管理人员应当符合《证券投资基金行业高级管理人员任职管理办法》的有关规定。
第十四条 商业银行设立的基金管理公司所管理的基金资产不得用于购买其股东发行和承销期内承销的有价证券。
第十五条 商业银行为基金管理公司管理的基金提供融资支持,应按照国家有关规定执行。
第十六条 商业银行不得担任其设立的基金管理公司所管理的基金的托管人。
第十七条 商业银行可以代理销售其设立的基金管理公司发行的基金,但在代销基金时,不得在销售期安排、服务费率标准、参与基金产品开发等方面,提供优于非关联第三方同类交易的条件,不得歧视其他代销基金,不得有不正当销售行为和不正当竞争行为。
第十八条 商业银行与其设立的基金管理公司在银行间债券市场上不得以优于非关联第三方同类交易的条件进行交易。
第十九条 商业银行与其设立的基金管理公司之间的关联交易实施细则,由中国银监会和中国证监会共同制定。
商业银行设立的基金管理公司和设立基金管理公司的商业银行应分别按照中国证监会和中国银监会的有关规定进行信息披露。
第四章 监督管理
第二十条 商业银行设立的基金管理公司所募集的基金种类,由中国证监会核准。
第二十一条 中国银监会对设立基金管理公司的商业银行制定相关风险监管指标计算标准,并实施并表监管。
第二十二条 中国证监会依法对商业银行设立的基金管理公司及其募集和管理的基金实施监督管理,保证基金财产的合法运用和基金份额持有人的合法权益不受侵犯。
第二十三条 中国人民银行对商业银行设立的基金管理公司进入全国银行间债券市场依法进行备案和监管。
第二十四条 商业银行设立的基金管理公司和设立基金管理公司的商业银行应分别按照中国证监会和中国银监会的有关规定报送材料,在试点期间同时抄报中国人民银行。
第二十五条 中国人民银行、中国银监会和中国证监会对商业银行设立的基金管理公司在依法实施监管过程中,要及时相互通报有关信息,建立监管信息共享制度。
第五章 附则
第二十六条 商业银行收购基金管理公司参照本办法执行。
第二十七条 中国人民银行、中国银监会和中国证监会共同选定试点银行,并根据试点情况和市场发展需要,共同商定试点工作安排。
第二十八条 本办法由中国人民银行、中国银监会和中国证监会共同解释。
第二十九条 本办法自2005年2月20日起施行。
国务院关于纺织品进出口若干问题的规定(附英文)
国务院
国务院关于纺织品进出口若干问题的规定(附英文)
1985年1月8日,国务院
规定
根据中央、国务院关于经济体制改革的精神,现对纺织品进出口若干问题作如下规定。
一、出口纺织品,要积极搞工贸结合,结合的形式可以多种多样,“青纺联”是一种形式,企业也可以采取其它自由联合形式。今后,沿海开放城市、计划单列的城市,成立各种形式的纺织品工贸结合公司和直接对外的联合体、生产企业,一律由所在市的经贸部门会同纺织工业部门审查后,报市人民政府审批,并报省、自治区人民政府和经贸部、纺织部备案。
二、关于纺织品的出口计划、收汇任务和出口配额、进出口许可证额度的分配:
(一)必须贯彻既要考虑历史状况,又要考虑鼓励先进、有利竞争、择优出口和促进联合的原则,由经贸部会同纺织部拟订具体分配方案,由经贸部下达给各省(自治区、直辖市)、计划单列城市的人民政府和有出口任务的总公司,不再由纺织品进出口总公司按条条下达。
(二)各地经贸部门要会同纺织部门按照上述原则拟订本地区的具体分配方案,报同级人民政府批准后,由经贸厅(委、局)下达给承担国家出口任务的纺织品进出口分公司、工贸结合公司、纺织工业公司和有对外经营权的联合体和生产企业。
(三)在执行过程中,经贸部门要加强管理。严禁倒卖配额和进出口许可证,违者要严肃处理。
(四)协定国家贸易由进出口总公司统一组织有关外贸分公司、工贸结合公司和生产企业对外谈判成交。
三、扩大纺织品出口,提高产品质量,关键在于调动生产企业的积极性,把权真正放给他们,使生产企业提高对国际市场的灵敏度和清晰度,提高竞争能力。同时要充分发挥外贸分公司、口岸公司、工贸结合公司的作用。纺织品进出口总公司,今后主要应搞好信息、咨询等服务工作,也可以直接经营一部分进出口业务。
经过批准有外贸经营权的工贸结合公司和生产企业,在出口配额、许可证和进出口经营权等方面,享有与纺织品进出口公司同等的待遇,有权出口本公司经营范围内的全部商品(包括经营两纱两布,但要执行国务院统一规定),进口本公司生产需要的各种原材料(不包括涤纶、腈纶类原料,但为了发展品种、保证质量以及生产急需,经纺织部、经贸部批准,可自行组织少量进口)、染化料、辅料,以及代理出口经营范围内的商品。有条件的公司和企业。按国家规定经过批准,可以派员出国或在国外设立办事机构,进行调查研究和推销产品。
凡实行外贸代理的纺织品,其出口配额和许可证应随任务下达给生产企业。生产企业有权自选代理单位,并可参加对外谈判。代理单位负责签订合同,同时要搞好服务、咨询,按规定收取手续费。
今后国家对有外贸经营权的工贸结合公司和生产企业,主要考核出口收汇任务的完成情况,并统计创汇水平、换汇成本,以便择优安排。
四、改变现行的由国家统负盈亏的“大锅饭”的财务体制,各类工贸结合的公司、生产出口纺织品的企业,实行进口原料按国际价格水平结算原则,进口时照章缴纳关税、产品税,产品出口后,再按年度以出口产品实际用料数量退还已缴纳的进口关税和产品税,同时退还生产环节的产品税或增值税,由其自负盈亏。
五、在纺织品出口经营放开以后,经贸部要发挥归口管理部门的作用,按国务院规定的职责,加强对内管理,贯彻统一对外的原则,并规定进口纺织原料的最高价格和出口纺织品的最低价格,及时提供国际市场的信息。各纺织品进出口公司、工贸结合公司、有对外经营权的联合体和生产企业,必须按照统一的对外政策经营。
PROVISIONS OF THE STATE COUNCIL ON SEVERAL ISSUES CONCERNING THEIMPORT AND EXPORT OF TEXTILES
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
PROVISIONS OF THE STATE COUNCIL ON SEVERAL ISSUES CONCERNING THE
IMPORT AND EXPORT OF TEXTILES
(Promulgated on January 8, 1985)
The following provisions are formulated, in accordance with the spirit of
the economic restructuring of the country, in respect of several issues
concerning the import and export of textiles.
1. In the exportation of textiles, it is advisable to combine industry
with trade; the combination may take various forms, of which the "Qingdao
Textile Unico. Ltd" is one; and enterprises may freely adopt other
combinative forms. From now on, case concerning the establishment of
various forms of textile industry and trade combination companies and
other combination complexes or production enterprises having direct links
with foreign businesses in the open coastal cities and municipalities
under separate planning shall all be handled and examined jointly by the
departments of foreign economic relations and trade and the departments of
textile industry in the cities or municipalities where the companies or
enterprises are located; the cases shall, then, be submitted to the
municipal people's government for examination and approval; and the cases
shall be further submitted to the people's government of the province or
autonomous region and to the Ministry of Foreign Economic Relations and
Trade and the Ministry of Textile Industry for record.
2. Issues concerning the export planning for textiles, foreign exchange,
earnings from exports, and the distribution of export quotas and the
issuance of import and export licences:
(1) it is necessary to implement the principle of taking into
consideration the historical conditions as well as the importance of
encouraging the advanced, facilitating competition, selecting quality
products for export, and promoting combination; a specific distribution
plan shall be worked out jointly by the Ministry of Foreign Economic
Relations and Trade and the Ministry of Textile Industry, and shall be
transmitted directly by the Ministry of Foreign Economic Relations and
Trade to the people's governments of various provinces (and/or autonomous
regions, municipalities directly under the Central Government),
municipalities under separate planning, and the national corporations
undertaking export tasks; the distribution plan shall no longer, be
transmitted according to the subordinating relationship by the National
Textile Import and Export Corporation.
(2) the departments of foreign economic relations and trade in various
regions shall, jointly with the departments of textile industry, work out
the local specific distribution plan in accordance with the aforesaid
principle, and then submit it to the people's government at the same level
for approval, which shall then be transmitted through the office (or
commission, bureau) of foreign economic relations and trade to various
branch offices of the textile import and export corporations, the industry
and trade combination companies, textile industry companies that undertake
export tasks assigned by the state, and combination complexes and
production enterprises vested with the external operating rights.
(3) in the course of implementation, the department of foreign economic
relations and trade shall strengthen administration. The racketeering in
export quotas and import and export licences shall be strictly banned; and
the offender shall be dealt with seriously.
(4) trade conducted between countries at the state level in accordance
with relevant agreements shall be carried out by the national import and
export corporations by organizing the relevant branch offices of foreign
trade corporations, industry and trade combination companies, and
production enterprises in holding business negotiations with foreign
businesses and concluding relevant transactions.
3. The key to expanding the export of textiles and bettering the quality
of products lies in bringing into play the initiative of production
enterprises and in actually devolving the power to them, so that the
production enterprises may sharpen their sensitivity towards and clarity
about the international market, thereby heightening their competitiveness.
At the same time, it is essential to bring into full play the role of
various branch offices of foreign trade corporations, of various companies
situated at ports, and of various industry and trade combination
companies. From now on, the National Textile Import and Export Corporation
shall devote its attention to doing a better job in providing information
and consultancy services; it may also handle directly a portion of the
import and export business operations.
The industry and trade combination companies and production enterprises,
which have obtained, with approval, the right to operate in foreign trade,
shall enjoy the same treatment as the textile import and export
corporations in such aspects as export quota, import and export licence,
and the right to handle import and export business; and shall also have
the right to export all commodities within the scope of business
operations of their own companies (including the right to export the two
kinds of yarns and the two kinds of cloth, but they must carry on the
unified provisions formulated by the State Council), and the right to
import various kinds of raw materials required by their companies in
production (not including such kinds of raw materials as terylene and poly
acrylonitrile fibre; however, in order to develop new varieties of
commodities, to guarantee the quality of products, and to meet the urgent
needs of production, they may, with the approval of the Ministry of
Textile Industry and the Ministry of Foreign Economic Relations and Trade,
import a small quantity of such raw materials), as well as dyestuffs,
chemical and auxiliary materials, and the right to act as an agent for the
exportation of the commodities within their scope of business operations.
Those companies and enterprises with the necessary qualifications may,
after obtaining the approval in accordance with the provisions of the
state, accredit representatives abroad or establish business offices there
to conduct studies and investigations and to promote the sale of their
products.
With respect to textiles under the scheme of agency in foreign trade, the
export quota and the export licence shall be issued, along with the
production task, to the production enterprises. The production enterprises
shall have the right to select their agents by themselves and may take
part in business negotiations with foreign firms. The agents shall be
responsible for concluding contract, and, at the same time, offer
satisfactory services and consultancy, and collect service charges
according to the stipulations. From now on, with respect to those industry
and trade combination companies and production enterprises that are vested
with the right to operate in foreign trade, the state will mainly evaluate
their fulfillment of the task of foreign exchange earnings from exports,
and make statistics concerning the level of foreign exchange earnings and
the costs in terms of foreign exchange, in order to select from among them
the more successful companies and enterprises for future arrangement.
4. With a view to changing the existing financial structure, that is
"everybody eating from the common pot", under which the state takes the
sole responsibility for gains and losses, various types of industry and
trade combination companies and enterprises that manufacture textile goods
for export shall follow the principle of settling the accounts for
imported raw materials in accordance with the international price level,
and pay the Customs duties and the product tax according to the
regulations when they are imported; then, after the products are exported,
the portion of import Customs duties and the product tax already paid
shall be refunded annually on the basis of the actual quantity of raw
materials used in the exported products, and, at the same time, the
product tax or the value added tax in the process of production shall also
be refunded; by so doing they shall take the sole responsibility for gains
and losses themselves.
5. After liberalizing the business operations in the export of textiles,
the Ministry of Foreign Economic Relations and Trade shall play the role
of overall administration of foreign economic relations and trade of the
country: strengthening the administration at home in accordance with its
competence and duty prescribed by the State Council, setting ceiling
prices for the imported raw materials used in the production of textiles
and floor prices for the export textiles, and providing promptly
information concerning the international market. All the textile import
and export corporations, industry and trade combination companies,
combination complexes and production enterprises vested with the external
operating rights, shall conduct their business operations in accordance
with the unified policies governing China's foreign economic relations and
trade.