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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
| | 中国银行业监督管理委员会令
（2005年第1号）
《货币经纪公司试点管理办法》已经2005年6月28日中国银行业监督管理委员会第35次主席会议通过，现予公布，自2005年9月1日起施行。
主席 刘明康
二00五年八月八日
货币经纪公司试点管理办法
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Chapter I General Provisions
| | 第一章 总则
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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.
| | 第一条 为了促进中国金融市场的进一步完善和发展，规范对货币经纪公司的管理，依据《中华人民共和国银行业监督管理法》、《中华人民共和国中国人民银行法》制定本办法。
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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.
| | 第二条 本办法所称的货币经纪公司，是指经批准在中国境内设立的，通过电子技术或其他手段，专门从事促进金融机构间资金融通和外汇交易等经纪服务，并从中收取佣金的非银行金融机构。
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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.
| | 第三条 货币经纪公司开展业务必须遵守中华人民共和国法律、行政法规，不得损害中华人民共和国的社会公共利益。
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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.
| | 第四条 中国银行业监督管理委员会对货币经纪公司进行监督管理。货币经纪公司在银行间市场进行同业拆借、债券买卖和外汇交易等经纪业务活动应同时接受中国人民银行和国家外汇管理局的监管和检查；其业务涉及外汇管理事项的，应当执行国家外汇管理部门的有关规定，并接受国家外汇管理部门的监督和检查。
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Chapter II The Establishment, Modification and Termination of Currency Brokerage Companies
| | 第二章 货币经纪公司的设立、变更和终止
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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.
| | 第五条 设立货币经纪公司需经中国银行业监督管理委员会批准，未经审核批准，任何单位和自然人不得擅自设立货币经纪公司或变相从事货币经纪业务，不得在机构名称中使用或变相使用“货币经纪”等字样。
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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.
| | 第六条 中国银行业监督管理委员会在批准设立货币经纪公司的申请时，应充分考虑中国外汇市场、货币市场、资本市场以及衍生产品市场的竞争和发展状况，并向相关监管部门征询意见。
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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:
| | 第七条 申请在中华人民共和国境内独资或者与中方合资设立货币经纪公司的境外投资人必须具备以下条件：
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(1)Being a currency brokerage company lawfully established in the country or region where it is located;
| | （一）在所在国家或者地区依法设立的货币经纪公司。
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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）从事货币经纪业务20年以上、经营稳健，有完善的内部控制制度。
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(3)Having a good credit standing and having no record of serious violation of law or regulation;
| | （三）资信良好，无重大违法违规记录。
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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）申请前连续三年盈利且每年税后净收益不低于500万美元。
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(5)Having a global institutional network and an information communication network which are essential for currency brokerage services;
| | （五）具有从事货币经纪服务所必需的全球机构网络和资讯通信网络。
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(6)Having established a representative office within the territory of China for 2 years or more;
| | （六）在中国境内设立代表机构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）所在国家或者地区有完善的金融监督管理制度，并且申请人受到所在国家或者地区有关主管当局的有效监管，其监管当局与中国银行业监督管理委员会签署了监管备忘录。
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(8)Other prudent conditions as provided for by the CBRC.
| | （八）中国银行业监督管理委员会规定的其他审慎性条件。
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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:
| | 第八条 申请设立货币经纪公司或者与外方合资设立货币经纪公司的中方投资人必须具备下列条件：
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(1)Being a lawfully established non-bank financial institution;
| | （一）依法设立的非银行金融机构。
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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）从事货币市场、外汇市场等代理业务5年以上。
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(3)Running steadily and having a sound internal control system;
| | （三）经营稳健，有完善的内部控制制度。
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(4)Having a good credit standing and having no record of serious violation of law or regulation;
| | （四）资信良好，无重大违法违规记录。
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(5)Having made profits for three successive years prior to the application; and
| | （五）提出申请前连续三年盈利。
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(6) Other prudent conditions as provided for by the CBRC.
| | （六）中国银行业监督管理委员会规定的其他审慎性条件。
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Article 9 The following conditions shall be met when a currency brokerage company is established:
| | 第九条 设立货币经纪公司应具备下列条件：
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(1)Having a minimum sum of registered capital that meets the requirements of the present Measures;
| | （一）具有符合本办法要求的最低注册资本。
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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《中华人民共和国公司法》等相关法律和本办法要求的章程。
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(3)Having senior managerial personnel who are familiar with the currency brokerage and relevant business;
| | （三）具有熟悉货币经纪及相关业务的高级管理人员。
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(4)Having a sound organizational structure, management system and risk control system;
| | （四）具有健全的组织机构、管理制度和风险控制制度。
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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）具有与业务经营相适应的营业场所、安全防范设施和措施。
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(6)Other prudent conditions as provided for by the CBRC.
| | （六）中国银行业监督管理委员会规定的其他审慎性条件。
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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.
| | 第十条 货币经纪公司及其分公司的设立须经过筹建和开业两个阶段。申请人提交的申请筹建、申请开业的资料，以中文书写为准。
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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.
| | 第十一条 货币经纪公司注册资本的最低限额为2000万元人民币或者等值的自由兑换货币，注册资本为实缴货币资本。
中国银行业监督管理委员会可根据货币经纪业务发展情况和审慎监管的要求，调整注册资本最低限额，但不得低于前款规定的最低限额。
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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.
| | 第十二条 货币经纪公司拟设地银监局是公司及其分公司设立申请的审核机关，中国银行业监督管理委员会是货币经纪公司及其分公司设立申请的批准机关。
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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:
| | 第十三条 申请筹建货币经纪公司，应由投资比例最大的投资人向中国银行业监督管理委员会提交书面申请，并提交下列材料：
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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）由投资人的法定代表人签署的设立独资或合资货币经纪公司的申请书，其内容应包括：拟设立机构的名称、注册地、注册资本、投资者出资比例，业务范围等。
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(2)A feasibility study report;
| | （二）可行性研究报告。
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(3)The articles of association of the to-be-established currency brokerage company;
| | （三）拟设货币经纪公司的章程。
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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）投资人所在国家或地区监管当局核发的营业执照（副本）或公司注册文件的复印件。
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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）投资人所在国家或地区监管当局或行业协会对其申请的意见函。
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(6)The basic information of the investor(s);
| | （六）投资人的基本情况。
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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）经具有相应资质的会计师事务所审计或国家有关主管部门认定的最近3年的会计报表。
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(8)An agreement, commitments or contract signed by both capital contribution parties;
| | （八）合资双方签署的协议或承诺或合同。
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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）由出资人法定代表人出具的申请材料真实性声明。
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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）中国银行业监督管理委员会要求提供的其他资料。
本条所列材料除第㈣、㈤、㈥、㈦项外都应是中文文本；第㈣、㈤、㈥、㈦项应提供中文文本，如有冲突，以中文文本为准；其中境外投资人的“营业执照或公司注册文件”必须经所在国家或地区认可的公证机构公证，或者经中国驻该国大使馆或领事馆认证。
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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.
| | 第十四条 银监局在收到筹建申请资料后的5个工作日内完成资料的完整性审查。如申请资料不齐全或不符合本办法规定的形式，银监局要一次书面告知申请人需要补充的全部内容，并由申请人补充申请资料。对申请资料齐全并符合规定形式的，银监局应当受理并在5个工作日内书面通知申请人。银监局应于20个工作日内完成初审工作并将材料转交中国银行业监督管理委员会。
中国银行业监督管理委员会自收到完整的筹建申请材料后4个月内作出是否同意批准筹建的书面决定。
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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.
| | 第十五条 货币经纪公司及其分公司的筹建期限为自接到中国银行业监督管理委员会批准文件之日起6个月。
在规定期限内未完成筹建工作，有正当理由的，经中国银行业监督管理委员会批准，可以延长3个月。在延长期内仍未完成筹建工作的，中国银行业监督管理委员会的批准文件即自动失效。
筹建期内不得以货币经纪公司或其分公司名义从事业务活动。
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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.
| | 第十六条 申请人自接到中国银行业监督管理委员会批准筹建文件之日起30个工作日内，应当筹足其实缴资本，并存入中国境内的规定账户，经具有相应资质的会计师事务所验证，出具验资报告。该账户在验资期间只收不付。
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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:
| | 第十七条 申请人应当在筹建期限届满前或延长期限届满前，向中国银行业监督管理委员会提出开业申请，并提交下列文件、资料：
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(1)A report about the completion of the preparatory establishment work and an application for the business start;
| | （一）筹建工作完成情况报告和申请开业报告。
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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）中国法定验资机构出具的验资证明、工商行政管理机关出具的对拟设机构名称的预核准登记书。
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(3)Articles of association of the currency brokerage company;
| | （三）货币经纪公司章程。
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(4)The name list, detailed resumes and qualification certification materials of the to-be senior managers;
| | （四）拟任高级管理人员的名单、详细履历及任职资格证明材料。
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(5)The names of the shareholders and their respective amount of capital contribution;
| | （五）股东名称及其出资额。
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(6)The bylaws on the businesses to be carried out and the internal risk control system;
| | （六）拟办业务的规章制度及内部风险控制制度。
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(7)The report about the safety testing of transaction place, equipment and system;
| | （七）交易场所、设备和系统的安全性测试报告。
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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）由出资人法定代表人出具的申请材料真实性声明。
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(9)Other documents as required by the CBRC.
| | （九）中国银行业监督管理委员会要求的其他文件。
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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.
．．．．．． | | 第十八条 银监局在收到开业申请资料后的5个工作日内完成资料的完整性审查。对申请资料齐全并符合规定形式的，银监局应受理并在5个工作日内书面通知申请人。银监局应于20个工作日内完成材料的初审工作并转交中国银行业监督管理委员会。
中国银行业监督管理委员会正式受理开业申请后，应在2个月内作出批准开业或不批准开业的决定。经批准设立的货币经纪公司由中国银行业监督管理委员会颁发金融许可证并予以公告；不予批准的，应书面通知申请人并说明理由。
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