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Operating Procedures for the Bond Settlement Agency Business
(People's Bank of China, October 20, 2000)
To regulate the operation of the bond settlement agency business at the national inter-bank bond market, these Procedures are made pursuant to the Measures for the Administration of Bond Transactions in the National Inter-Bank Bond Market and the Notice of the People's Bank of China on the Relevant Issues concerning Launching the Bond Settlement Agency Business .
| | 债券结算代理业务操作规程
（中国人民银行 2000年10月20日）
为规范全国银行间债券市场债券结算代理业务的操作行为，根据中国人民银行《全国银行间债券市场债券交易管理办法》和《关于开办债券结算代理业务有关问题的通知》，制定本规程。
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Chapter I Preparation for the Settlement Agency Business
| | 第一章 结算代理业务准备
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Article 1 A settlement agent (hereinafter referred to as “agent”) shall submit the following documents to China Government Securities Depository Trust & Clearing Co. Ltd. (CDC) before operating the settlement agency business:
| | 第一条 结算代理人（简称代理人）在开办结算代理业务前，应向中央国债登记结算有限责任公司（简称中央结算公司）提交以下文件
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1. A photocopy of the approval document issued by the People's Bank of China on its operation of the settlement agency business;
| | （一）中国人民银行关于批准该机构开办结算代理业务文件的复印件；
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2. A “Signature Card for Bond Settlement Agency” (see Annex 1 for its format) affixed with the official seal of the agent and the seal of the legal representative or a party authorized by him/her, as well as the official seal of the department designated to handle the settlement agency business and the seal of the handling person (if there is any change in official seal or personnel, the card shall be submitted anew); and
| | （二）加盖代理人法人公章及法人代表或其授权人签章的“债券结算代理业务印鉴卡”（格式见附式一），该印鉴卡应预留指定办理结算代理业务的专业部门公章和经办人员签章（如以后公章或人员变动，应重新提交印鉴卡）；
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3. A ciphering formula for emergency settlement transactions, which is different from that for the proprietary business.
| | （三）预留与自营业务相区别的结算应急业务密押编制公式。
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Article 2 Agents shall be directly connected to the Central Bond Book-Entry System (“CBBES”) of the CDC.
| | 第二条 代理人应与中央结算公司的中央债券簿记系统（简称簿记系统）直接联网。
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Article 3 Special personnel shall be designated to handle the settlement agency business. Such personnel must accept professional trainings and obtain competence certificates before handling the settlement agency business. In light of the quantity of clients and the volume of business, agents may divide their handling personnel into agency teams with each agency team composed of at least two handling persons.
| | 第三条 结算代理业务应指定专人办理，经办人员应通过相关业务培训并取得合格证书后方可进行结算代理业务操作。代理人可根据委托人的数量及业务量情况划分若干代理组进行操作，每个代理组的经办人员应不少于二人。
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Article 4 Each agent shall have a seal exclusively used for the settlement agency business (“special seal”) inscribed with the name and code (first five digits of its custody account) of the agent in addition to “special seal for the settlement agency business of the Central Bond Book-Entry System”. Such a seal should be a square with a side length of 3cm (see Annex 2 for a sample thereof). Every document issued by an agent to its client through the CBBES shall be affixed with the seal. A moulage of the seal shall be submitted to the CDC for archival purposes. An agent shall designate special persons to keep and use its special seal as required.
| | 第四条 代理人应刻制结算代理业务专用章（简称专用章），章上应刻有代理人机构名称、代码（托管账号前五位）及“中央债券簿记系统结算代理业务专用章”字样，章的形状为边长三公分的正方形（章样见附式二）。代理人向委托人出具通过簿记系统提取打印的相关单证时应加盖此章。专用章印模应交中央结算公司备案。代理人应指定专人保管和按规定使用专用章。
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Chapter II Opening, Transfer and Closing of Accounts
| | 第二章 开户、转户及销户
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Article 5 After concluding an agency agreement with a client, an agent shall submit the master repurchase agreement to the client, and open a Class C bond custody account (“Class C account”) at the CDC in the client's name to record the type and amount of bonds held by the client, represent the client's rights and interests and handle the client's bond settlement transactions.
| | 第五条 代理人在与委托人签订委托代理协议后，应将回购主协议提交委托人，并代委托人在中央结算公司以委托人名义开设债券托管丙类账户（简称丙类账户），用于记载委托人持有的债券品种、数额，并体现其相关权益和办理委托人的债券结算业务。
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Article 6 To open a Class C account, an agent shall submit the following documents to the CDC:
| | 第六条 代理人在办理丙类账户的开户手续时，应向中央结算公司提交以下文件：
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1. An original agency agreement;
| | （一）委托代理协议原件一份；
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2. A photocopy of a certificate on the client's corporate status (affixed with the reserved seal of the agent);
| | （二）委托人法人身份证明文件的复印件（加盖代理人预留印章）；
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3. A “Schedule of Application for Opening Class C Bond Custody Accounts” (see Annex 3 for format) affixed with the agent's seal; and
| | （三）代理人签章的“债券托管丙类账户开户申请一览表”（格式见附式三）；
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4. The master repurchase agreement signed by the client (the agent shall keep a photocopy thereof).
| | （四）委托人签署的回购主协议（代理人应同时保留复印件）。
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Article 7 After a Class C account is opened, an agent shall serve the “Notice on Opening a Class C Bond Custody Account” (in the form of a paper fold with a dark green and gold lettering cover, see Annex 4 for contents in the fold) issued by the CDC upon the client without delay.
| | 第七条 丙类账户开设后，代理人应将中央结算公司出具的“债券托管丙类账户开户通知书” （该通知书形式为墨绿底色烫金字封面的纸折，折内文字内容见附式四）及时送达委托人。
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Article 8 A client shall designate a capital settlement account for its agent to handle the settlement of bond transactions, repayment of principals and interests, and collection or payment of other funds.
| | 第八条 委托人应向其代理人指定资金结算账户，用以办理债券交易结算及还本付息等资金收付业务。
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Article 9 A client has the right to own and dispose of its Class C account, but must entrust account operations to its agent one by one. A client has the right to inquire of its agent about its account and demand of account statements.
| | 第九条 委托人对其丙类账户拥有所有权和支配权，但对该账户的使用操作应逐笔委托代理人代为办理，委托人有权向代理人查询自身账户情况，并索取对账单。
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Article 10 To change its agent, a client must open a new Class C account and handle the account transfer formalities through the original agent by the following steps:
| | 第十条 委托人变更代理人应开立新丙类账户并通过原代理人办理转户手续，具体程序如下：
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1. For terminating the agency relationship, the client must notify the original agent beforehand according to the agency agreement;
| | （一）委托人终止委托代理关系应按委托代理协议的约定提前通知原代理人；
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2. After establishing an agency relationship with the new agent, the client must open a new Class C account under Articles 6 and 7 of this Chapter;
| | （二）委托人与新代理人建立委托代理关系后，按本章第六条和第七条规定办理开立新丙类账户手续；
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3. The client must submit a power of attorney for account transfer to the original agent; if there is any settlement contract which has not been completely fulfilled, it shall continue to fulfill it, but this will not affect the account transfer for other bonds;
| | （三）委托人向原代理人提交转户委托书。如有尚未完成的结算合同，应继续履行完毕，但不影响办理其它债券的转户；
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4. For handling account transfer, the original agent must give an account transfer instruction to the CDC (a custody transfer instruction through the CBBES is used for the time being), and the CDC will handle the transfer formalities if there is no error, and notify the original and new agents of the handling result; and
．．．．．． | | （四）办理转户时，原代理人向中央结算公司发出转户指令（目前暂使用簿记系统的转托管指令），中央结算公司审核无误后即办理转户，向原代理人及新代理人通知转户结果；
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