中國證(zheng)券網(wang)(wang)訊(記者 李(li)丹丹)中國人民(min)銀行15日在官(guan)網(wang)(wang)發布《關(guan)于完善人民(min)幣購售業務管理有關(guan)問題的(de)通知》(下稱《通知》),旨在進(jin)一步(bu)便利人民(min)幣跨境使用,促進(jin)跨境貿易和投(tou)資。
《通知》指出,境內代理行(xing)、境外清算行(xing)和境外參加行(xing)可為經(jing)常(chang)項下和直接投資(zi)(zi)、經(jing)批準的證券投資(zi)(zi)等(deng)資(zi)(zi)本(ben)和金融項下的跨(kua)境人民幣(bi)(bi)結算需求(qiu)辦理人民幣(bi)(bi)購售業務(wu),交(jiao)易品種包括即期、遠期、外匯掉(diao)期、貨(huo)幣(bi)(bi)掉(diao)期和期權等(deng)。
境(jing)內代(dai)理(li)行(xing)(xing)、境(jing)外(wai)(wai)清算行(xing)(xing)和境(jing)外(wai)(wai)參加行(xing)(xing)辦(ban)理(li)人民幣購(gou)售業(ye)務應堅(jian)持審慎原(yuan)則,注重(zhong)人民幣購(gou)售業(ye)務的雙向平(ping)(ping)衡發展,人民幣購(gou)售業(ye)務形成的頭寸(cun)應基本平(ping)(ping)盤(pan)。境(jing)外(wai)(wai)參加行(xing)(xing)可通過(guo)境(jing)內代(dai)理(li)行(xing)(xing)或(huo)境(jing)外(wai)(wai)清算行(xing)(xing)代(dai)理(li)、也(ye)可直(zhi)接進(jin)入境(jing)內銀行(xing)(xing)間外(wai)(wai)匯市場平(ping)(ping)盤(pan)。
《通知》要求,人民(min)幣購售(shou)業(ye)務(wu)堅(jian)持實需(xu)原則(ze)。境內代理行(xing)、境外清算行(xing)和(he)中國外匯交易(yi)中心應要求境外參(can)加行(xing)承諾履(lv)行(xing)真(zhen)實性審核義務(wu),按照“了解客(ke)戶”、“了解業(ye)務(wu)”和(he)“盡職調查(cha)”原則(ze)展(zhan)業(ye),確認所(suo)辦理人民(min)幣購售(shou)業(ye)務(wu)符(fu)合實需(xu)原則(ze)。境外參(can)加行(xing)應保留相關業(ye)務(wu)背景材料備查(cha)。
境外參加行與(yu)客(ke)戶開展衍(yan)生品交(jiao)(jiao)易(yi)(yi)的(de)(de),客(ke)戶的(de)(de)衍(yan)生品交(jiao)(jiao)易(yi)(yi)敞口應與(yu)作(zuo)為(wei)交(jiao)(jiao)易(yi)(yi)基(ji)礎的(de)(de)人民幣收支預期具(ju)有合理(li)的(de)(de)相(xiang)關度,并且能夠提(ti)供證明其真(zhen)實需(xu)求背景的(de)(de)書(shu)面材(cai)料(liao)。
境(jing)(jing)外(wai)企業(ye)(ye)集(ji)團(tuan)可指定(ding)集(ji)團(tuan)內特(te)定(ding)機構集(ji)中(zhong)辦(ban)(ban)理(li)人(ren)民(min)幣購售(shou)(shou)業(ye)(ye)務(wu)。集(ji)中(zhong)辦(ban)(ban)理(li)人(ren)民(min)幣購售(shou)(shou)業(ye)(ye)務(wu)的企業(ye)(ye)集(ji)團(tuan),須與(yu)境(jing)(jing)外(wai)參加行(xing)簽署(shu)書面協(xie)議,并通過境(jing)(jing)內代理(li)行(xing)或境(jing)(jing)外(wai)清算行(xing)或中(zhong)國外(wai)匯交易中(zhong)心向(xiang)中(zhong)國人(ren)民(min)銀行(xing)上(shang)海總部備案。企業(ye)(ye)集(ji)團(tuan)采用集(ji)中(zhong)辦(ban)(ban)理(li)模式的,集(ji)團(tuan)內除(chu)集(ji)中(zhong)辦(ban)(ban)理(li)機構之(zhi)外(wai)的其他機構不得(de)再(zai)通過境(jing)(jing)外(wai)參加行(xing)辦(ban)(ban)理(li)人(ren)民(min)幣購售(shou)(shou)業(ye)(ye)務(wu)。
境外(wai)(wai)(wai)(wai)銀(yin)(yin)行(xing)集(ji)(ji)團(tuan)可(ke)指定本(ben)集(ji)(ji)團(tuan)內(nei)分(fen)支(zhi)機構集(ji)(ji)中(zhong)辦(ban)理(li)人民幣(bi)(bi)(bi)購(gou)售(shou)業務(wu)。集(ji)(ji)中(zhong)辦(ban)理(li)人民幣(bi)(bi)(bi)購(gou)售(shou)業務(wu)的境外(wai)(wai)(wai)(wai)銀(yin)(yin)行(xing)集(ji)(ji)團(tuan),應通(tong)過境內(nei)代理(li)行(xing)或(huo)(huo)境外(wai)(wai)(wai)(wai)清算行(xing)或(huo)(huo)中(zhong)國(guo)外(wai)(wai)(wai)(wai)匯(hui)(hui)交易中(zhong)心(xin)向中(zhong)國(guo)人民銀(yin)(yin)行(xing)上海(hai)總部備案。境外(wai)(wai)(wai)(wai)銀(yin)(yin)行(xing)集(ji)(ji)團(tuan)內(nei)除指定分(fen)支(zhi)機構之外(wai)(wai)(wai)(wai)的其他分(fen)支(zhi)機構不得再通(tong)過境內(nei)代理(li)行(xing)、境外(wai)(wai)(wai)(wai)清算行(xing)或(huo)(huo)境內(nei)銀(yin)(yin)行(xing)間外(wai)(wai)(wai)(wai)匯(hui)(hui)市(shi)場辦(ban)理(li)人民幣(bi)(bi)(bi)購(gou)售(shou)業務(wu)。
境內代理行和境外(wai)清算(suan)行應及時(shi)準確地向人(ren)民幣(bi)跨(kua)境收(shou)付(fu)信息(xi)管理系統報送(song)人(ren)民幣(bi)購(gou)售業務信息(xi)。境外(wai)清算(suan)行、境外(wai)參(can)加行直接進入境內銀行間外(wai)匯市(shi)場交易的,應按照(zhao)有關規定向中國外(wai)匯交易中心(xin)報送(song)人(ren)民幣(bi)購(gou)售業務信息(xi)。
《通知》規定,境內(nei)代(dai)理(li)(li)行(xing)(xing)(xing)(xing)(xing)、境外(wai)(wai)(wai)清(qing)算行(xing)(xing)(xing)(xing)(xing)和中(zhong)(zhong)國外(wai)(wai)(wai)匯(hui)(hui)交(jiao)易(yi)中(zhong)(zhong)心應(ying)要求境外(wai)(wai)(wai)參加(jia)行(xing)(xing)(xing)(xing)(xing)辦理(li)(li)人民幣購售(shou)(shou)(shou)業務時承諾(nuo)履行(xing)(xing)(xing)(xing)(xing)以下(xia)義務:一是企業客戶在境外(wai)(wai)(wai)參加(jia)行(xing)(xing)(xing)(xing)(xing)辦理(li)(li)人民幣購售(shou)(shou)(shou)業務后,需在同一家銀(yin)行(xing)(xing)(xing)(xing)(xing)或(huo)銀(yin)行(xing)(xing)(xing)(xing)(xing)集團完成購售(shou)(shou)(shou)相(xiang)關(guan)(guan)(guan)的支付(fu);二是配合監管要求,向(xiang)(xiang)境內(nei)代(dai)理(li)(li)行(xing)(xing)(xing)(xing)(xing)或(huo)境外(wai)(wai)(wai)清(qing)算行(xing)(xing)(xing)(xing)(xing)或(huo)中(zhong)(zhong)國外(wai)(wai)(wai)匯(hui)(hui)交(jiao)易(yi)中(zhong)(zhong)心提供購售(shou)(shou)(shou)業務背景材料;三是境外(wai)(wai)(wai)參加(jia)行(xing)(xing)(xing)(xing)(xing)應(ying)關(guan)(guan)(guan)注異常交(jiao)易(yi),監測(ce)客戶大額購售(shou)(shou)(shou)業務的資金流向(xiang)(xiang),及時通過(guo)境內(nei)代(dai)理(li)(li)行(xing)(xing)(xing)(xing)(xing)、境外(wai)(wai)(wai)清(qing)算行(xing)(xing)(xing)(xing)(xing)或(huo)中(zhong)(zhong)國外(wai)(wai)(wai)匯(hui)(hui)交(jiao)易(yi)中(zhong)(zhong)心向(xiang)(xiang)中(zhong)(zhong)國人民銀(yin)行(xing)(xing)(xing)(xing)(xing)上海總部報告(gao)有關(guan)(guan)(guan)情(qing)況。
中國(guo)人(ren)(ren)(ren)(ren)(ren)民(min)(min)銀行上(shang)海(hai)總(zong)部應(ying)根據(ju)該(gai)通(tong)知制定相(xiang)應(ying)的(de)(de)備案流程,會同中國(guo)外匯交易(yi)中心對(dui)(dui)人(ren)(ren)(ren)(ren)(ren)民(min)(min)幣購(gou)售業(ye)(ye)務進行日常(chang)(chang)監測(ce)和評估,定期向(xiang)中國(guo)人(ren)(ren)(ren)(ren)(ren)民(min)(min)銀行報告(gao)人(ren)(ren)(ren)(ren)(ren)民(min)(min)幣購(gou)售業(ye)(ye)務的(de)(de)相(xiang)關情(qing)(qing)況(kuang)(kuang)。發(fa)現重大問題和異常(chang)(chang)情(qing)(qing)況(kuang)(kuang)的(de)(de),應(ying)及時向(xiang)中國(guo)人(ren)(ren)(ren)(ren)(ren)民(min)(min)銀行報告(gao),并采(cai)取相(xiang)關措(cuo)施維護(hu)人(ren)(ren)(ren)(ren)(ren)民(min)(min)幣購(gou)售業(ye)(ye)務平(ping)穩發(fa)展。必要時可對(dui)(dui)境內代理(li)行的(de)(de)人(ren)(ren)(ren)(ren)(ren)民(min)(min)幣購(gou)售業(ye)(ye)務開展情(qing)(qing)況(kuang)(kuang)進行檢查,也可依據(ju)境外清算行和境外參加行的(de)(de)承諾,要求其配(pei)合(he)對(dui)(dui)人(ren)(ren)(ren)(ren)(ren)民(min)(min)幣購(gou)售業(ye)(ye)務開展情(qing)(qing)況(kuang)(kuang)的(de)(de)調(diao)查。
同時,中(zhong)國(guo)(guo)人(ren)民(min)銀(yin)行(xing)(xing)對人(ren)民(min)幣購(gou)售(shou)業務實施宏觀審慎管理(li),必(bi)要時可采取措施對人(ren)民(min)幣購(gou)售(shou)業務進行(xing)(xing)調(diao)控。對違反人(ren)民(min)幣購(gou)售(shou)業務管理(li)規定的銀(yin)行(xing)(xing),由(you)中(zhong)國(guo)(guo)人(ren)民(min)銀(yin)行(xing)(xing)責(ze)令限(xian)期(qi)改正,情節嚴重(zhong)的,暫停或取消其辦理(li)人(ren)民(min)幣購(gou)售(shou)業務的資格。
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