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Order of China Banking Regulatory Commission
(No. 1 [2005])
The Measures for the Administration of Pilot Currency Brokerage Companies were adopted at the 35th chairman's meeting of China Banking Regulatory Commission. They are hereby promulgated and shall come into force as of September 1, 2005.
Chairman Liu Mingkang
August 8, 2005
Measures for the Administration of Pilot Currency Brokerage Companies
| | 中國銀行業監督管理委員會令
（2005年第1號）
《貨幣經紀公司試點管理辦法》已經2005年6月28日中國銀行業監督管理委員會第35次主席會議通過，現予公布，自2005年9月1日起施行。
主席 劉明康
二00五年八月八日
貨幣經紀公司試點管理辦法
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Chapter I General Provisions
| | 第一章 總則
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Article 1 For the purposes of promoting further improvement and development of the financial market of China and regulating the management of currency brokerage companies, these Measures are formulated in accordance with the Banking Supervision Law of the People's Republic of China and the Law of the People's Republic of China on the People's Bank of China.
| | 第一條 為了促進中國金融市場的進一步完善和發展，規範對貨幣經紀公司的管理，依據《中華人民共和國銀行業監督管理法》、《中華人民共和國中國人民銀行法》制定本辦法。
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Article 2 The “currency brokerage companies” as mentioned in the present Measures shall refer to the non-bank financial institutions which are established within the territory of China by electronic or other means, which are specially engaged in financing and foreign exchange dealings and other brokerage services, and for which they charge commissions.
| | 第二條 本辦法所稱的貨幣經紀公司，是指經批准在中國境內設立的，通過電子技術或其他手段，專門從事促進金融機構間資金融通和外彙交易等經紀服務，並從中收取傭金的非銀行金融機構。
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Article 3 A currency brokerage company shall abide by the laws and administrative regulations of the People's Republic of China when carrying out businesses. It shall not impair the public interests of the People's Republic of China.
| | 第三條 貨幣經紀公司開展業務必須遵守中華人民共和國法律、行政法規，不得損害中華人民共和國的社會公共利益。
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Article 4 The China Banking Regulatory Commission (hereinafter referred to as the CBRC) shall conduct supervision and administration on the currency brokerage companies. The brokerage business activities conducted by the currency brokerage companies such as inter-bank borrowing and lending, purchase and sale of bonds and foreign exchange dealings in the inter-bank market shall simultaneously be subject to the supervision and inspection of the People's Bank of China and the State Administration of Foreign Exchange. If their businesses relate to the administration of foreign exchange, the relevant provisions of the state foreign exchange administrative department shall be followed and they shall be subject to the supervision and inspection of the state foreign exchange administrative department.
| | 第四條 中國銀行業監督管理委員會對貨幣經紀公司進行監督管理。貨幣經紀公司在銀行間市場進行同業拆借、債券買賣和外彙交易等經紀業務活動應同時接受中國人民銀行和國家外彙管理局的監管和檢查；其業務涉及外彙管理事項的，應當執行國家外彙管理部門的有關規定，並接受國家外彙管理部門的監督和檢查。
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Chapter II The Establishment, Modification and Termination of Currency Brokerage Companies
| | 第二章 貨幣經紀公司的設立、變更和終止
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Article 5 The establishment of a currency brokerage company shall be subject to the approval of the CBRC. Without examination and approval, any entity or natural person shall not illegally establish a currency brokerage company or engage in currency brokerage business in a disguised way, nor use the wording of “currency brokerage” in the name of an institution or do so in any disguised form.
| | 第五條 設立貨幣經紀公司需經中國銀行業監督管理委員會批准，未經審核批准，任何單位和自然人不得擅自設立貨幣經紀公司或變相從事貨幣經紀業務，不得在機構名稱中使用或變相使用“貨幣經紀”等字樣。
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Article 6 When the CBRC approves an application for the establishment of a currency brokerage company, it shall take into full account the competition and development situation of the markets of foreign exchange, currency, capital and derivatives in China and shall solicit the opinions of the relevant supervisory departments.
| | 第六條 中國銀行業監督管理委員會在批准設立貨幣經紀公司的申請時，應充分考慮中國外彙市場、貨幣市場、資本市場以及衍生產品市場的競爭和發展狀況，並向相關監管部門征詢意見。
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Article 7 An overseas investor who applies for establishing a solely invested currency brokerage company or an equity joint currency brokerage company with a Chinese party within the territory of the People's Republic of China shall meet the following conditions:
| | 第七條 申請在中華人民共和國境內獨資或者與中方合資設立貨幣經紀公司的境外投資人必須具備以下條件：
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(1)Being a currency brokerage company lawfully established in the country or region where it is located;
| | （一）在所在國家或者地區依法設立的貨幣經紀公司。
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(2)Having been engaged in currency brokerage business for 20 years or more, running steadily and having a sound internal control system;
| | （二）從事貨幣經紀業務20年以上、經營穩健，有完善的內部控制制度。
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(3)Having a good credit standing and having no record of serious violation of law or regulation;
| | （三）資信良好，無重大違法違規記錄。
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(4)Making profits for three successive years prior to the application and the after-tax net proceeds during each of the three successive years being not be less than US $ 5 million;
| | （四）申請前連續三年盈利且每年稅後淨收益不低于500萬美元。
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(5)Having a global institutional network and an information communication network which are essential for currency brokerage services;
| | （五）具有從事貨幣經紀服務所必需的全球機構網絡和資訊通信網絡。
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(6)Having established a representative office within the territory of China for 2 years or more;
| | （六）在中國境內設立代表機構2年以上。
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(7)The country or region where it is located having a sound financial supervision and management system and the applicant being under the effective supervision of the relevant competent authority of the country or region where it is located. And the relevant competent authority thereof has concluded supervision memo with CBRC; and
| | （七）所在國家或者地區有完善的金融監督管理制度，並且申請人受到所在國家或者地區有關主管當局的有效監管，其監管當局與中國銀行業監督管理委員會簽署了監管備忘錄。
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(8)Other prudent conditions as provided for by the CBRC.
| | （八）中國銀行業監督管理委員會規定的其他審慎性條件。
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Article 8 A Chinese investor who applies for the establishment of a currency brokerage company or an equity joint currency brokerage company with a foreign party shall meet the following conditions:
| | 第八條 申請設立貨幣經紀公司或者與外方合資設立貨幣經紀公司的中方投資人必須具備下列條件：
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(1)Being a lawfully established non-bank financial institution;
| | （一）依法設立的非銀行金融機構。
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(2)Having engaged in business of currency market and foreign exchange market as an agent for 5 years or more;
| | （二）從事貨幣市場、外彙市場等代理業務5年以上。
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(3)Running steadily and having a sound internal control system;
| | （三）經營穩健，有完善的內部控制制度。
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(4)Having a good credit standing and having no record of serious violation of law or regulation;
| | （四）資信良好，無重大違法違規記錄。
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(5)Having made profits for three successive years prior to the application; and
| | （五）提出申請前連續三年盈利。
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(6) Other prudent conditions as provided for by the CBRC.
| | （六）中國銀行業監督管理委員會規定的其他審慎性條件。
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Article 9 The following conditions shall be met when a currency brokerage company is established:
| | 第九條 設立貨幣經紀公司應具備下列條件：
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(1)Having a minimum sum of registered capital that meets the requirements of the present Measures;
| | （一）具有符合本辦法要求的最低注冊資本。
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(2)Having articles of association that are in line with the Company Law of the People's Republic of China, other relevant laws and the present Measures;
| | （二）具有符合《中華人民共和國公司法》等相關法律和本辦法要求的章程。
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(3)Having senior managerial personnel who are familiar with the currency brokerage and relevant business;
| | （三）具有熟悉貨幣經紀及相關業務的高級管理人員。
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(4)Having a sound organizational structure, management system and risk control system;
| | （四）具有健全的組織機構、管理制度和風險控制制度。
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(5)Having a business place, safety prevention facilities and measures that can meet the needs of its business operations; and
| | （五）具有與業務經營相適應的營業場所、安全防範設施和措施。
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(6)Other prudent conditions as provided for by the CBRC.
| | （六）中國銀行業監督管理委員會規定的其他審慎性條件。
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Article 10 The establishment of a currency brokerage company and its branches shall be subject to the preparatory establishment and business start stages. The written application materials in Chinese submitted by an applicant for the preparatory establishment and business start shall prevail.
| | 第十條 貨幣經紀公司及其分公司的設立須經過籌建和開業兩個階段。申請人提交的申請籌建、申請開業的資料，以中文書寫為准。
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Article 11 The minimum amount of registered capital of a currency brokerage company shall be RMB 20 million yuan or a freely convertible currency of the equivalent value. The registered capital shall be actually contributed currency capital.
The CBRC may, in light of the development of the currency brokerage business and the requirements of prudent supervision and management, adjust the minimum amount of registered capital, but it shall not be less than the minimum amount as provided for in the preceding paragraph.
| | 第十一條 貨幣經紀公司注冊資本的最低限額為2000萬元人民幣或者等值的自由兌換貨幣，注冊資本為實繳貨幣資本。
中國銀行業監督管理委員會可根據貨幣經紀業務發展情況和審慎監管的要求，調整注冊資本最低限額，但不得低于前款規定的最低限額。
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Article 12 The banking regulatory bureau of the place where a company or branch is to be established is the examination organ of the application for the establishment of the currency brokerage company or branch. The CBRC shall be the approval organ of the application for the establishment of the currency brokerage company or branch.
| | 第十二條 貨幣經紀公司擬設地銀監局是公司及其分公司設立申請的審核機關，中國銀行業監督管理委員會是貨幣經紀公司及其分公司設立申請的批准機關。
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Article 13 When applying for the preparatory establishment of a currency brokerage company, the investor with the largest investment proportion shall submit a written application as well as the following materials to the CBRC:
| | 第十三條 申請籌建貨幣經紀公司，應由投資比例最大的投資人向中國銀行業監督管理委員會提交書面申請，並提交下列材料：
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(1)An application for the establishment of a solely invested or equity joint currency brokerage company signed by the legal representative of the investor, which shall include the name, registration place, registered capital, capital proportion of the investor, business scope, etc.;
| | （一）由投資人的法定代表人簽署的設立獨資或合資貨幣經紀公司的申請書，其內容應包括：擬設立機構的名稱、注冊地、注冊資本、投資者出資比例，業務範圍等。
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(2)A feasibility study report;
| | （二）可行性研究報告。
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(3)The articles of association of the to-be-established currency brokerage company;
| | （三）擬設貨幣經紀公司的章程。
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(4)The business license (duplicate) issued by the competent authority of the country or region where the investor is located, or the photocopy of the company's registration document;
| | （四）投資人所在國家或地區監管當局核發的營業執照（副本）或公司注冊文件的複印件。
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(5)The opinions of competent authority or industrial association of the country or region where the investor is located on the application;
| | （五）投資人所在國家或地區監管當局或行業協會對其申請的意見函。
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(6)The basic information of the investor(s);
| | （六）投資人的基本情況。
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(7)The recent 3-year financial statements audited by a qualified accounting firm or accredited by the relevant competent department of the state;
| | （七）經具有相應資質的會計師事務所審計或國家有關主管部門認定的最近3年的會計報表。
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(8)An agreement, commitments or contract signed by both capital contribution parties;
| | （八）合資雙方簽署的協議或承諾或合同。
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(9)The declaration issued by the legal representative of the capital contributor about the genuineness of the application materials; and
| | （九）由出資人法定代表人出具的申請材料真實性聲明。
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(10)Other materials as required by the CBRC.
The materials as listed in this Article, except those as specified in Items (4) through (7), shall be in Chinese. For the materials as listed in Items (4) through (7), Chinese versions shall be submitted. If there is any contradiction, the version in Chinese shall prevail. Of the materials, the “business license or company's registration document” of an overseas investor shall be subject to the notarization of a notarization institution accredited by the country or region where this overseas investor is located, or shall be subject to the notarization of the Chinese embassy or consulate stationed in the country.
| | （十）中國銀行業監督管理委員會要求提供的其他資料。
本條所列材料除第四、五、六、七項外都應是中文文本；第四、五、六、七項應提供中文文本，如有沖突，以中文文本為准；其中境外投資人的“營業執照或公司注冊文件”必須經所在國家或地區認可的公證機構公證，或者經中國駐該國大使館或領事館認證。
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Article 14 After the banking regulatory bureau receives the application materials for the preparatory establishment, it shall finish the completeness examination within 5 working days. If the application materials are incomplete or don't conform to the form as required by the present Measures, the banking regulatory bureau shall, once and for all, notify the applicant of the contents need to be supplemented. If the application materials are complete and conform to the form as required, the banking regulatory bureau shall accept the application and give a written notice to the applicant within 5 working days. The banking regulatory bureau shall finish the preliminary examination work and submit the materials to the CBRC within 20 working days.
The CBRC shall make a written decision about whether to approve the preparatory establishment within 4 months after it receives the complete set of preparatory establishment application materials.
| | 第十四條 銀監局在收到籌建申請資料後的5個工作日內完成資料的完整性審查。如申請資料不齊全或不符合本辦法規定的形式，銀監局要一次書面告知申請人需要補充的全部內容，並由申請人補充申請資料。對申請資料齊全並符合規定形式的，銀監局應當受理並在5個工作日內書面通知申請人。銀監局應于20個工作日內完成初審工作並將材料轉交中國銀行業監督管理委員會。
中國銀行業監督管理委員會自收到完整的籌建申請材料後4個月內作出是否同意批准籌建的書面決定。
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Article 15 The time limit for the preparatory establishment of a currency brokerage company and branch shall be 6 months from the day when the applicant receives the approval document of the CBRC.
If the applicant fails to finish the preparatory establishment work within the prescribed time limit, and if it has justifiable reason, the time limit may be extended for 3 months upon approval of the CBRC. If it fails to finish the preparatory establishment work within the extended time limit, the approval document of the CBRC shall be invalidated automatically.
During the time limit for the preparatory establishment, the applicant shall not conduct business activities in the name of the currency brokerage company or its branch.
| | 第十五條 貨幣經紀公司及其分公司的籌建期限為自接到中國銀行業監督管理委員會批准文件之日起6個月。
在規定期限內未完成籌建工作，有正當理由的，經中國銀行業監督管理委員會批准，可以延長3個月。在延長期內仍未完成籌建工作的，中國銀行業監督管理委員會的批准文件即自動失效。
籌建期內不得以貨幣經紀公司或其分公司名義從事業務活動。
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Article 16 Within 30 working days after the applicant receives the approval document of the CBRC, it shall prepare enough capital to be actually paid and deposit it into the designated bank account within the territory of China, for which a qualified accounting firm shall issue a capital verification report upon verification. During the capital verification period, this bank account can only take in money but shall not make any payment.
| | 第十六條 申請人自接到中國銀行業監督管理委員會批准籌建文件之日起30個工作日內，應當籌足其實繳資本，並存入中國境內的規定賬戶，經具有相應資質的會計師事務所驗證，出具驗資報告。該賬戶在驗資期間只收不付。
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Article 17 Prior to the expiration of the preparatory establishment period or of the extended time limit, the applicant shall file a business start application with the CBRC and shall submit the following documents and materials:
| | 第十七條 申請人應當在籌建期限屆滿前或延長期限屆滿前，向中國銀行業監督管理委員會提出開業申請，並提交下列文件、資料：
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(1)A report about the completion of the preparatory establishment work and an application for the business start;
| | （一）籌建工作完成情況報告和申請開業報告。
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(2)The capital verification certification issued by a statutory capital verification institution of China, the pre-approval register document issued by the industry and commerce administrative organ about the name of the to-be-established institution;
| | （二）中國法定驗資機構出具的驗資證明、工商行政管理機關出具的對擬設機構名稱的預核准登記書。
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(3)Articles of association of the currency brokerage company;
| | （三）貨幣經紀公司章程。
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(4)The name list, detailed resumes and qualification certification materials of the to-be senior managers;
| | （四）擬任高級管理人員的名單、詳細履曆及任職資格證明材料。
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(5)The names of the shareholders and their respective amount of capital contribution;
| | （五）股東名稱及其出資額。
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(6)The bylaws on the businesses to be carried out and the internal risk control system;
| | （六）擬辦業務的規章制度及內部風險控制制度。
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(7)The report about the safety testing of transaction place, equipment and system;
| | （七）交易場所、設備和系統的安全性測試報告。
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(8)The declaration issued by the legal representative of each capital contributor about the genuineness of the application materials; and
| | （八）由出資人法定代表人出具的申請材料真實性聲明。
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(9)Other documents as required by the CBRC.
| | （九）中國銀行業監督管理委員會要求的其他文件。
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Article 18 The banking regulatory bureau shall finish the completeness examination within 5 working days. If the application materials are complete and conform to the form as required, the banking regulatory bureau shall accept them and shall give a written notice to the applicant within 5 working days. The banking regulatory bureau shall finish the preliminary examination over the materials within 20 working days and submit them to the CBRC.
．．．．．． | | 第十八條 銀監局在收到開業申請資料後的5個工作日內完成資料的完整性審查。對申請資料齊全並符合規定形式的，銀監局應受理並在5個工作日內書面通知申請人。銀監局應于20個工作日內完成材料的初審工作並轉交中國銀行業監督管理委員會。
中國銀行業監督管理委員會正式受理開業申請後，應在2個月內作出批准開業或不批准開業的決定。經批准設立的貨幣經紀公司由中國銀行業監督管理委員會頒發金融許可證並予以公告；不予批准的，應書面通知申請人並說明理由。
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