《《精编》企业投资管理规定(62个doc、1个ppt)14》由会员分享，可在线阅读，更多相关《《精编》企业投资管理规定(62个doc、1个ppt)14（7页珍藏版）》请在金锄头文库上搜索。
1、中国证券监督管理委员会令第46号Decree No. 46 of China Securities Regulatory CommissionNo. 46合格境内机构投资者境外证券投资管理试行办法已经2007年4月30日中国证券监督管理委员会第27次主席办公会议审议通过，现予公布，自2007年7月5日起施行。The Trial Measures for the Administration of Securities Investment Outside the Territory of China by Qualified Domestic Institutional Investors h
2、ave been deliberated and adopted at the 27th chairmens executive meeting of China Securities Regulatory Commission on April 30, 2007. They are hereby promulgated and shall enter into force as of July 5, 2007.中国证券监督管理委员会主席 尚福林二七年六月十八日Chairman of China Securities Regulatory Commission Shang FulinJune
3、18, 2007合格境内机构投资者境外证券投资管理试行办法Trial Measures for the Administration of Securities investment outside the territory of China by Qualified Domestic Institutional Investors第一章总则Chapter I General Rules第一条 为了规范合格境内机构投资者境外证券投资行为，保护投资人合法权益，根据证券投资基金法、证券法和其他有关法律、行政法规，制定本办法。Article 1 In order to regulate the s
4、ecurities investment outside the territory of China by qualified institutional investors within the territory of China and protect the legitimate rights and interests of investor, the present Measures are formulated in accordance with the Law on Securities Investment Funds, Securities Law and other
5、related laws and administrative regulations.第二条 本办法所称合格境内机构投资者（以下简称境内机构投资者），是指符合本办法规定的条件，经中国证券监督管理委员会（以下简称中国证监会）批准在中华人民共 和国境内募集资金，运用所募集的部分或者全部资金以资产组合方式进行境外证券投资管理的境内基金管理公司和证券公司等证券经营机构。Article 2 Qualified domestic institutional investors (hereinafter referred to as the QDII) referred to in the present
6、 Measures means fund management companies, securities companies and other securities institutions within the territory of China that satisfy the requirements as prescribed in the present Measures, raise funds within the territory of the Peoples Republic of China upon approval of China Securities Reg
7、ulatory Commission (hereinafter referred to as the CSRC), and implement securities investment management outside the territory of China in the form of portfolio by way of using part or all of the funds it has raised.第三条 境内机构投资者开展境外证券投资业务，应当由境内商业银行负责资产托管业务，可以委托境外证券服务机构代理买卖证券。Article 3 Where a QDII en
8、gages in the business of securities investment outside the territory of China, it shall entrust a commercial bank within the territory of China to take charge of asset custody, and may entrust a foreign securities service institution as an agent for buying and selling securities.第四条 中国证监会和国家外汇管理局（以下
9、简称国家外汇局）依法按照各自职能对境内机构投资者境外证券投资实施监督管理。Article 4 The CSRC and the State Administration of Foreign Exchange (hereinafter referred to as the SAFE) shall implement surveillance on the securities investment outside the territory of China by QDIIs.第二章境内机构投资者资格条件和审批程序Chapter II Qualification Requirements fo
10、r QDIIs, and Examination and Approval Procedures第五条 申请境内机构投资者资格，应当具备下列条件：（一） 申请人的财务稳健，资信良好，资产管理规模、经营年限等符合中国证监会的规定；（二） 拥有符合规定的具有境外投资管理相关经验的人员；（三） 具有健全的治理结构和完善的内控制度，经营行为规范；（四） 最近3年没有受到监管机构的重大处罚，没有重大事项正在接受司法部门、监管机构的立案调查；（五） 中国证监会根据审慎监管原则规定的其他条件。Article 5 When applying for the QDII qualification, applic
11、ants shall satisfy the requirements as follows:1. Having a stable and good status of finance and credit, and its assets scale and operating life, etc. satisfy the requirements as prescribed by the CSRC;2. Having related qualified staff that has the experiences in investment management outside the te
12、rritory of China;3. Having a sound governance structure and a perfect internal control system, as well as normalized business performance;4. Having not been subject to any major punishment by the surveillant organ for the last three years, and having nothing important being investigated by the judic
13、ial organ or the surveillant organ; and5. Other requirements as prescribed by the CSRC in accordance with the principle of prudent surveillance.第六条 第五条第（一）项所指的条件是：（一） 基金管理公司：净资产不少于2亿元人民币；经营证券投资基金（以下简称基金）管理业务达2年以上；在最近一个季度末资产管理规模不少于200亿元人民币或等值外汇资产；（二） 证券公司：各项风险控制指标符合规定标准；净资本不低于8亿元人民币；净资本与净资产比例不低于70%；经
14、营集合资产管理计划（以下简称集合计划）业务达1年以上；在最近一个季度末资产管理规模不少于20亿元人民币或等值外汇资产。Article 6 The requirement referred to in Article 5 Subparagraph (1) means that:1. For a fund management company: its net asset shall be no less than RMB 0.2 billion yuan, it has engaged in the business of managing securities investment funds
15、 (hereinafter referred to as the fund) for more than two years, and its asset management scale at the end of the latest quarter shall be no less than RMB 20 billion yuan or the foreign exchange assets in an equivalent value;2. For a securities company: all of its risk control indicators shall be con
16、sistent with the prescribed standards, its net capital shall not be less than RMB 0.8 billion yuan; the proportion of its net capital to its net assets shall be no less than 70 percent, it has engaged in the business of asset pool management plans (hereinafter referred to as the pool plan) for at least one year, and its asset management scale at the end of the latest quarter shall be no
