中英对照2021金融控股公司监督管理试行办法.docx

InterimMeasuresfortheSupervisionandAdministrationofFinancialHoldingCompaniesDocumentNumber：OrderNo.42020JofthePeople'sBankofChinaAreaofLawOtherFinancialInstitutionsundertheSupervisionoftheCBRC1.evelofAuthority：DepartmentalRulesIssuingAuthority：People'sBankofChinaDateIssued：09-11-2020EffectiveDate11-01-2020Status：EffectiveChapter I General Provisions第一章总则OrderofthePeople'sBankofChina(No.42020)TheInterimMeasuresfortheSupervisionandAdministrationOfFinancialHoldingCompanies,asdeliberatedandadoptedatthefifthexecutivemeetingofthePeople'sBankofChinafor2020onJuly23,2020,andwithconsentoftheCPCCentralCommitteeandtheStateCouncil,areherebyissuedandshallcomeintoforceonNovember1,2020.GovernorofthePeople'sBankofChina:YiGangSeptember11,2020InterimMeasuresfortheSupervisionandAdministrationofFinancialHoldingCompanies中国人民银行令(2020)第4号)金融控股公司监督管理试行办法已经2020年7月23日中国人民银行2020年第5次行务会议审议通过，并报经党中央、国务院同意，现予发布，自2020年11月1日起施行。中国人民银行行长易纲2020年9月11日金融控股公司监督管理试行办法Article1Forthepurposesofregulatingtheactsoffinancialholdingcompanies,strengtheningthesupervisionandadministrationoftheformationoffinancialholdingcompaniesbynon-financialenterprises,andpreventingsystemicfinancialrisks,theseMeasuresaredevelopedaccordingtotheLawofthePeople'sRepublicofChinaonthePeoplesBankofChina,theCompanyLawofthePeople'sRepublicofChina,theLawofthePeople'sRepublicofChinaonCommercialBanks,theSecuritiesLawofthePeople'sRepublicofChina,theSecuritiesInvestmentFundLawofthePeople'sRepublicofChina,theInsuranceLawofthePeople'sRepublicofChina,theBankingSupervisionLawofthePeople'sRepublicofChina,theTrustLawofthePeople'sRepublicofChinaandotherlawsandadministrativeregulations,aswellastheDecisionoftheStaleCouncilonImplementingtheAccessManagementofFinancialHoldingCompanies(No.1212020oftheStateCouncil).Article2ForthepurposesoftheseMeasures,"'financialholdingcompanies''meanslimitedliabilitycompaniesorcompanieslimitedbysharesthatareformedaccordingtothelaw,thatcontroltwoormoredifferenttypesoffinancialinstitutions,andthatonlyconductequityinvestmentmanagementanddonotdirectlycarryoutcommercialbusinessactivities.TheseMeasuresareapplicabletofinancialholdingcompanieswhosecontrollingshareholderoractualcontrolleraredomesticnon-financialenterprises,naturalpersonsandrecognizedlegalpersons.Theregulatorj,policiesandstandardsforfinancialgroupsformedthroughcross-industryinvestmentholdingby第一条为规范金融控股公司行为，加强对非金融企业等设立金融控股公司的监督管理，防范系统性金融风险，根据中华人民共和国中国人民银行法、中华人民共和国公司法、中华人民共和国商*Mh法、中华人民共和国证券法、中华人民共和国证券投资基金法、中华人民共和国保险法、中华人民共和国银行业监督管理法、中华人民共和国信托法等法律、行政法规以及国务院关于实施金融控股公司准入管理的决定(国发(2020)12号)，制定本办法。第二条本办法所称金融控股公司是指依法设立，控股或实际控制两个或两个以上不同类型金融机构，自身仅开展股权投资管理、不直接从事商业性经营活动的有限责任公司或股份有限公司。本办法适用于控股股东或实际控制人为境内非金融企业、自然人以及经认可的法人的金融控股公司。金融机构跨业投资控股形成的金融集团参照本办法确定监管政策标准，具体规则另行制定。financialinstitutionsshallbedetermined,mutatismutandisto,theseMeasures,andthespecificrulesshallbedevelopedseparately.ForthepurposesoftheseMeasures,financialinstitutionsincludethefollowingtypes:(1) Commercialbanks(excludingvillagebanks)andfinancialleasingcompanies.(2) Trustcompanies.(3) Financialassetmanagementcompanies.(4) Securitiescompanies,publicfundmanagementcompanies,andfuturescompanies.(5) Personalinsurancecompanies,propertyinsurancecompanies,reinsurancecompanies,andinsuranceassetmanagementcompanies.(6) OtherinstitutionsrecognizedbythefinancialmanagementdepartmentsundertheStateCouncil.ForthepurposesoftheseMeasures,4financialinstitutionscontrolledbyafinancialholdingcompany“meansdomesticandforeignfinancialinstitutionsthatarecontrolledoractuallycontrolledbyfinancialholdingcompanies.ForthepurposesoftheseMeasures,controloractualcontroliscollectivelyreferredtoassubstantialcontrol.Afinancialholdinggroup本办法所称金融机构包括以下类型：（一）商业银行（不含村镇银行）、金融租赁公司。（二）信托公司。（三）金融资产管理公司。（四）证券公司、公募基金管理公司、期货公司。（五）人身保险公司、财产保险公司、再保险公司、保险资产管理公司。（六）国务院金融管理部门认定的其他机构。本办法所称金融控股公司所控股金融机构是指金融控股公司控股或实际控制的境内外金融机构。本办法将控股或实际控制统称为实质控制。金融控股集团是指金融控股公司及其所控股机构共同构成的企业法人联合体。meansacombinationofcorporatelegalpersonsjointlyformedbyafinancialholdingcompanyandinstitutionscontrolledthereby.Article3Whereaninvestordirectlyorindirectlyobtainsmajorityshareswithvotingrightsofaninvestee,itformssubstantialcontrolovertheinvestee.Inthecalculationofvotingrights,convertibleinstruments,executablewarrants,executableoptionsandotherpotentialvotingrightsdirectlyorindirectlyheldbyaninvestorshallbecomprehensivelyconsidered.Whereaninvestordoesnotdirectlyorindirectlyobtainmajorityshareswithvotingrightsofaninvesteeandfallsunderoneofthefollowingcircumstances,itshallbedeemedthattheinvestorhasformedsubstantialcontrolovertheinvestee:(1) Aninvestorsubstantiallyholdsmorityvotingrightsofaninvesteebyenteringintoanagreementorotherarrangementswithotherinvestors.(2) Inaccordancewiththeprovisionsofthelawortheagreement,aninvestorhastherighttoactuallycontrolthecorporatebehaviorsofaninvestee.(3) Aninvestorhastherighttoappointanddismissoverhalfmembersoftheboardofdirectorsorothersimilarorgansofpowerofanin