【中英文对照版】国债承销团组建工作管理办法(2023).docx

财政部、中国人民银行、中国 证监会关于修订印发国债承 销团组建工作管理办法的通 知(财库(2023) 24 号)有关金融机构，中央国债登记 结算有限责任公司、中国证券 登记结算有限责任公司、中国 外汇交易中心、上海证券交易 所、深圳证券交易所、北京证 券交易所、中国金融期货交易 所：为了规范国债承销团组建工 作，保障国债顺利发行和国债 市场稳定发展，财政部会同中 国人民银行、中国证监会对国债承销团组建工作管理 办法进行了修订，现予以公国债承销团组建工作管理办法(2023)MeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates(2023)制定机关：财政部中国人民夕艮行中国证券监督管理委员会发文字号：财库202324号公布日期：2023.12.01施行日期：2023.12.01效力位阶：部门规范性文件法规类别：国债管理Issuingauthority：InstrumentalitiesoftheStateCouncil,AMinistriesjMinistryofFinancejAIIBanks1PeopIe1SBankofChina,AllCommissionsjChinaSecuritiesRegulatoryCommissionDocumentNumber：No.242023oftheMinistryofFinanceDateissued：12-01-2023Effectivedate：12-01-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：FinanceNoticebytheMinistryofFinance,thePeople'sBankofChina,andtheChinaSecuritiesRegulatoryCommissionofRevisingandIssuingtheMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates(No.242023oftheMinistryofFinance)Therelevantfinancialinstitutions;ChinaCentralDepository&ClearingCo.,Ltd.,ChinaSecuritiesDepositoryandClearingCo.,Ltd.,theChinaForeignExchangeTradingSystem,theShanghaiStockExchange,theShenzhenStockExchange,theBeijingStockExchange,andtheChinaFinancialFuturesExchange:Forthepurposesofregulatingtheformationoftreasurybondunderwritingsyndicatesandguaranteeingthesmoothissuanceoftreasurybondsandthestabledevelopmentofthetreasurybondmarket,theMinistryofFinancehas,inconjunctionwiththePannlo1CRanknfPhinoandthoPhinaSecuritiesRegulatoryCommission,revised布。theMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates,whichareherebyissued.Annex:MeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicatesMinistryofFinanceThePeople'sBankofChinaChinaSecuritiesRegulatoryCommissionDecember1,2023AnnexMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicatesChapter I GeneralProvisionsArticle1TheseMeasuresaredevelopedforthepurposesofregulatingtheformationoftreasurybondunderwritingsyndicatesandguaranteeingthesmoothissuanceoftreasurybondsandthestabledevelopmentofthetreasurybondmarket.Article2Treasurybondunderwritingsyndicatesshallbeformedaccordingtothevarietiesoftreasurybonds,includingsavingstreasurybondunderwritingsyndicatesandbook-entrytreasurybondunderwritingsyndicates.附件：国债承销团组建工作管 理办法财政部中国人民银行中国证监会2023年12月1日附件国债承销团组建工作管理办 法第一章总则第一条为了规范国债 承销团组建工作，保障国债顺 利发行和国债市场稳定发展， 制定本办法。第二条国债承销团按 照国债品种组建，包括储蓄国 债承销团和记账式国债承销 团。第三条国债承销团组 建应当遵循公开、公平、公正 的市场化原则。Article3Treasurybondunderwritingsyndicatesshallbeformedunderthemarket-orientedprinciplesofopenness,fairness,andimpartiality.Article4TheMinistryofFinance(uMOFn)shall,inconjunctionwiththePeople,sBankofChina(uPBCn),beresponsiblefororganizingtheformationofsavingstreasurybondunderwritingsyndicates,andshall,inconjunctionwiththePBCandtheChinaSecuritiesRegulatoryCommission(uCSRCn),beresponsiblefororganizingtheformationofbook-entrytreasurybondunderwritingsyndicates.Article5TheMOFshall,inconjunctionwiththerelevantdepartmentsandaccordingtomarketconditionsandtreasurybondissuancetasks,amongothers,determinethetargetnumberofmembersofatreasurybondunderwritingsyndicate.Chapter II Early-StagePreparationArticle 6 TheMOFshall,inconjunctionwiththerelevantdepartments,announcethenoticeontheformationofatreasurybondunderwritingsyndicate("formationnotice)andthemodelmasteragreementontheunderwritingoftreasurybondsinadvance.Theformationnoticeshallincludethetargetnumberofmembers,applicationrequirements,thereviewindicatorsystemandscoringmethods,andothercontent,andshallbeissuednolaterthan15days(inclusive)beforetheapplicationdeadline.ThemodelmasteragreementontheunderwritingoftreasurybondsshallcovertherightsandobligationsoftheMOFandmembersofthetreasurybondunderwritingsyndicate,andothercontent,andshallbeconcurrentlyissuedwiththeformationnotice.第四条财政部会同中 国人民银行负责储蓄国债承 销团组建工作，会同中国人民 银行、中国证监会负责记账式 国债承销团组建工作。第五条财政部会同有 关部门根据市场环境和国债 发行任务等，确定国债承销团 成员的目标数量。第二章前期准备第六条财政部应当会 同有关部门提前公布国债承 销团组建通知（以下称组团通 知）和国债承销主协议范本。组团通知应当包括成员目标 数量、报名要求、评审指标体 系及评分方法等内容，不晚于 报名截止日前15日（含）发 布。国债承销主协议范本应当包 括财政部和国债承销团成员 双方的权利、义务等内容，与 组团通知同时发布。第上冬在细历诵知柳Article 7 BafCrathAnnlicatinndnadlinAaaprescribedintheformationnotice,theMOFshall,inconjunctionwiththePBC,beresponsibleforreceivingtheapplicationmaterialsoffinancialinstitutionsapplyingforparticipatinginasavingstreasurybondunderwritingsyndicate;andtheMOFshallberesponsibleforreceivingtheapplicationmaterialsoffinancialinstitutionsapplyingforparticipatinginabook-entrytreasurybondunderwritingsyndicate.Article 8 TheMOFshallsolicittheopinionsofthePBC5theCSRC,theNationalAdministrationofFinancialRegulation,andotherdepartmentsonthebusinessscope,operations,financialriskstatus,performanceonthefinancialmarket,whetherornotthereisanyrecordofmajorviolationoflawinoperationsinthemostrecentthreeyears,andothermattersofthefinancialinstitutionsapplyingforparticipatinginatreasurybondunderwritingsyndicate(uapplican),andrequestittoassistinprovidingtherelevantindicatordatasuchasthecapitaloperationandriskpreventionandcontroloftheapplicants.ChinaCentralDepository&ClearingCo.,Ltd.,ChinaSecuritiesDepositoryandClearingCo.,Ltd.,theChinaForeignExchangeTradingSystem,theShanghaiStockExchange,theShenzhenStockExchange,theBeijingStockExchange,theChinaFinancialFuturesExchange,andothertreasurybondcustodyandtradingvenuesshallproviderelevantbusinessdatatotheMOF.ChapterIIISelectionMethods定的报名截止日期前，财政部 会同中国人民银行负责接收 报名参加储蓄国债承销团的 金融机构的报名材料；财政部 负责接收报名参加记账式国 债承销团的金融机构的报名 材料。第八条财政部应当就 报名参加国债承销团的金融 机构（以下称报名机构）的经 营范围、经营活动情况、财务 风险状况、金融市场表现、近 3年内在经营活动中有无重大 违法记录等事项，征求中国人 民银行、中国证监会、金融监 管总局等部门意见，并请其协 助提供报名机构资本经营及 风险防控状况等相关指标数 据。中央国债登记结算有限责 任公司、中国证券登记结算有 限责任公司、中国外汇交易中 心、上海证券交易所、深圳证 券交易所、北京证券交易所、 中国金融期货交易所等债券 托管、交易场所应当向财政部 提供有关业务数据。第三章选择方式第九条财政部应当会 同有关部门从具备下列基本 条件的报名机构中选择国债 承销团成员：Article9TheMOFshall,inconjunctionwiththerelevantdepartments,selectmembersofatreasurybondunderwritingsyndicatefromtheapplicantsmeetingthefollowingbasicconditions:(1) TheyarelegallyformedwithinChinaandtheirbusinessscopecoversbondunderwriting.Exceptforbranchesofforeignbanks,otherapplicantsshallhaveindependentcorporatestatus.Branchesofforeignbanksparticipatingintheunderwritingofgovernmentbondsshallobtainthewrittenauthorizationfromtheirheadofficesonthismatter.(2) Theyhavesoundfinancialconditions,meettheregulatorystandardsintermsofcapitaladequacy,solvencyornetcapitalandotherindicators,havearelativelysoundgovernancestructureandsoundinternalcontrolmechanism,andhaverelativelystrongriskpreventionandcontrolcapability.(3) Theyhavefull-timedepartmentstoberesponsibleforthetreasurybondbusinessandhaverelativelysoundtreasurybondunderwritingandriskmanagementrules.(4) Theyarecapableofperformingallobligationsunderthemastertreasurybondunderwritingagreements.(5) Aproposedmemberofasavingstreasurybondunderwritingsyndicateshallbeadeposit-takingfinancialinstitutionthatconductsoperationsinaccordancewiththelaw,hasnorecordofmajorviolationoflawinsuchoperationsassavingstreasurybonds,individualsavingsdeposits,andsaleofwealthmanagementproductsinthemostrecentthreeyears,hasaregisteredcapitalofnotlessthanonebillionyuanortotalassetsofnotlessthan30billionyuan,andhas50ormorebusinessoutlets.（一）在中国境内依法成立， 经营范围包括债券承销。除外 国银行分行外，其他报名机构 均应具有独立法人资格；外国 银行分行参与承销政府债券， 应取得其总行对该事项的书 面授权。（二）财务稳健，资本充足率、 偿付能力或者净资本状况等 方面指标达到监管标准，治理 结构较为健全，内控机制较为 完善，具有较强的风险防控能 力。（三）设有专职部门负责国债 业务，并具有较为健全的国债 承销和风险管理制度。（四）有能力履行国债承销主 协议约定的各项义务。（五）拟作为储蓄国债承销团 成员的，应当为依法开展经营 活动，近3年内在储蓄国债、 个人储蓄存款、理财产品销售 等经营活动中没有重大违法 记录，注册资本不低于人民币 10亿元或者总资产不低于人 民币300亿元，营业网点在 50个以上的存款类金融机构。（六）拟作为记账式国债承销 团成员的，应当为依法开展经 昔狂劫.祈a舁向在信券承(6) Aproposedmemberofabook-entrytreasurybondunderwritingsyndicateshallbeadeposit-takingfinancialinstitutionthatconductsoperationsinaccordancewiththelaw,hasnorecordofmajorviolationoflawinsuchoperationsastreasurybondunderwritingandtransactionsinthemostrecentthreeyears,hasaregisteredcapitalofnotlessthan500millionyuanortotalassetsofnotlessthan20billionyuan,oranon-deposit-takingfinancialinstitutionthathasaregisteredcapitalofnotlessthanonebillionyuan.(7) Theyhavenorecordofmajorviolationoflawintheworksuchasthatoncombatingmoneylaunderingandfinancingofterrorisminthemostrecentthreeyears.(8) Amemberoftheprevioustreasurybondunderwritingsyndicateshallnotmeettheconditionsforwithdrawaloractivelywithdrawfromthesyndicateinthelastyearofthevaliditytermoftheprevioustreasurybondunderwritingsyndicate.销、交易等经营活动中没有重 大违法记录，注册资本不低于 人民币5亿元或者总资产不 低于人民币200亿元的存款 类金融机构，或注册资本不低 于人民币10亿元的非存款类 金融机构。（七）近3年在反洗钱和反恐 怖融资等工作中无重大违法 记录。（八）若为上一届国债承销团 成员的，应当在上一届国债承 销团有效期最后一年未触发 退团条件或未主动退团。第十条国债承销团采 用第三方专家评审的方式组 建。每次组建国债承销团或增 补新成员时，财政部会同有关 部门建立专家库，从中抽取专 家组成专家评审委员会，由评 审委员会成员按照规定的评 分指标体系和方法对符合基 本条件的报名机构进行独立 评分，根据评分确定国债承销 团候选成员名单，经公示、签 订承销主协议等程序后，组成 新一届国债承销团。Article10Atreasurybondunderwritingsyndicateshallbeformedbythemethodofthird-partyexpertreview.Whenformingatreasurybondunderwritingsyndicateoraddinganynewmember,theMOFshall,inconjunctionwiththerelevantdepartments,establishanexpertdatabaseandselectexpertstoformtheexpertreviewcommittee.Themembersoftheexpertreviewcommitteeshall,accordingtotheprescribedscoringindicatorsystemandmethods,giveindependentscoresontheapplicationinstitutionsmeetingthebasicconditions,andaccordingtothescores,determinethelistofcandidatesforthetreasurybondunderwritingsyndicate,andafterundergoingsuchproceduresaspublicationandenteringintothemasterunderwritingagreement,formthenewtreasurybondunderwritingsyndicate.Article11Expertsshallberecommendedbytheself-regulatoryorganizationforthefinancesector,financialinfrastructure,andresearchinstitutes,amongothers.Expertsshallmeetthefollowingconditions:(1) Expertshavegoodprofessionalethicsandareabletofollowthecodesofconductofbeingobjective,fair,clean,andself-disciplined,andobservinglawsanddisciplinesinthecourseofreview.(2) Expertshavebeenengagedintreasurybond-relatedfieldsfortenyearsormoreandhaveauniversitydiplomaorahigherdegree.(3) ExpertsarewillingtoindependentlyparticipateinreviewandaccepttheguidanceandsupervisionoftheMOF5thePBC,andtheCSRC.(4) Expertshavenoviolationofanydisciplineorlaw,oranyotherbadrecord.(5) IncumbentemployeeswhodonotbelongtotheMOF,thePBC,theCSRC,theNationalAdministrationofFinancialRegulation,oranyotherappropriatedepartment.(6) Anyothercircumstanceunderwhichheorsheisnotunfittoserveasareviewexpert.第H一条专家由金融 行业自律性组织、金融基础设 施、研究院所等推荐。专家应 当具备以下条件：（一）具有良好的职业道德， 在评审过程中能以客观公正、 廉洁自律、遵纪守法为行为准 则。（二）从事国债相关领域工作 满10年，具备大学（含）以 上文化程度。（三）愿意以独立身份参加评 审工作，并接受财政部、中国 人民银行、中国证监会的指导 和监督。（四）没有违纪违法等不良记 录。（五）不属于财政部、中国人 民银行、中国证监会、金融监 管总局等主管部门在职工作 人员。（六）不存在不适合担任评审 专家的其他情况Q第十二条财政部负责 从专家库中随机抽取专家，分 别组成人数为奇数且不少于7 人的记账式国债承销团、储蓄 国债承销团评审委员会。评审 委员会成员不能在报名机构 或箕利益关联机构中任职C抽Article12TheMOFshallberesponsibleforrandomlyselectinganoddnumberofnotlessthansevenexpertsfromtheexpertdatabasetoformanexpertreviewcommitteeofabook-entrytreasurybondunderwritingsyndicateorasavingstreasurybondunderwritingsyndicate.MembersofthrioCCmmiHaachallnnttokonpositionintheapplicantsortheiraffiliatedinstitutionswithinterestrelationship.Whenexpertsarerandomlyselectedfromtheexpertdatabase,therelevantdepartmentsshallsendobserverstoconducton-sitesupervision.Article13TheMOFshallestablishascoringindicatorsysteminconjunctionwiththerelevantdepartmentsandthespecificreviewindicatorsystemandscoringmethodsandsyndicateformationnoticeshallbeissuedatthesametime.第十三条财政部会同 有关部门建立评分指标体系， 具体评审指标体系及评分方 法与组团通知同时发布。第十四条评审委员会 根据评分标准对符合基本条 件的报名机构进行评分，按照 得分由高到低的顺序提出新 一届国债承销团候选成员的 推荐名单。如多家机构最终得 分相同，且同时进入国债承销 团后成员数量超过新一届国 债承销团成员的目标数量，则 上一届国债承销团成员优先 进入；如得分相同机构同为上 一届国债承销团成员，上一届 国债承销团有效期内综合排 名居前机构优先进入；如得分 相同机构都不是上一届国债 承销团成员，则均不进入新一 届国债承销团。Article14Thereviewcommitteeshallgivescorestotheapplicantsmeetingthebasicconditionsaccordingtothescoringstandardsandofferalistofrecommendedcandidatesformembersofthenewtreasurybondunderwritingsyndicateonthebasisoftheirscoresfromhightolow.Ifseveralinstitutionshavethesamefinalscoreandthenumberofmembersaftertheyareallacceptedtothetreasurybondunderwritingsyndicateexceedsthetargetnumberofmembersofthenewtreasurybondunderwritingsyndicate,membersoftheprevioustreasurybondunderwritingsyndicateshallhavethepreferencetobeaccepted.Iftheinstitutionswiththesamescoreareallmembersoftheprevioustreasurybondunderwritingsyndicate,theinstitutionwhichhasahighercomprehensivebusinessrankingwithinthevaliditytermoftheprevioustreasurybondunderwritingsyndicateshallhavethepreferencetobeaccepted;andifallinstitutionswiththesamescorearenotmembersoftheprevioustreasurybondunderwritingsyndicate,theyshallnotbeacceptedbythenewtreasurybondunderwritingsyndicate.Whentheon-siteexpertreviewisconducted,therelevantdepartmentsshallsendobserverstoconducton-sitesupervision.ChapterIVPublicationandSigningofContractsArticle15TheMOFshalltaketherecommendedlistgeneratedthroughthethird-partyexpertreviewasthelistofcandidatesformembersofatreasurybondunderwritingsyndicate,andannouncetothepublicthroughtheofficialwebsiteoftheMOFandotherchannels,andatthesametime,publicizethelistofcandidatesformembersofatreasurybondunderwritingsyndicatethroughtheofficialwebsiteofthePBCforfiveworkingdays.Iftheinstitutionoranypersonhasanyobjectiontotheresultduringthepublicationperiod,theMOFshallconductreviewandconfirmationjointlywiththerelevantdepartments.Article16TheMOFshall,inaccordancewiththeapplicableprovisionsissuedbythestateandonthebasisofequalityandfreewill,enterintomastertreasurybondunderwritingagreementswiththecandidatesformembersofatreasurybondunderwritingsyndicate,andannouncethelistofmembersofthetreasurybondunderwritingsyndicatetothepublic.Amastertreasurybondunderwritingagreementshallgenerallybevalidfornotmorethanthreeyears.专家现场评审时，有关部门派 观察员到场监督。第四章公示与签约第十五条财政部将第 三方专家评审产生的推荐名 单作为国债承销团候选成员 名单，通过财政部官网等渠道 向社会公示，储蓄国债承销团 候选成员名单同时通过中国 人民银行官网公示。公示期为 5个工作日。公示期间，如有 机构或人员对结果提出异议， 由财政部会同有关部门进行 复核确认。第十六条财政部应当 与国债承销团候选成员按照 国家有关规定，在平等自愿基 础上，签订国债承销主协议， 并向社会公布国债承销团成 员名单。国债承销主协议有效 期原则上不超过3年。第十七条财政部应当 按照科学、规范、公平、公开 的原则，对记账式国债承销团 成员履约情况进行综合排名； 会同中国人民银行对储蓄国 债承销团成员履约情况进行Article17TheMOFshall,undertheprinciplesofScientificity,standardization,fairness,andopenness,provideacomprehensiverankingforthemembersofabook-entrytreasurybondunderwritingsyndicateintermsofcontractfulfillment;andnrnirlCCmCrahQncironkinnfnrth0membersofasavingstreasurybondunderwritingsyndicateintermsofcontractfu用Ilment,inconjunctionwiththePBC.Themattersoncomprehensiverankingshallbeagreeduponinthemastertreasurybondunderwritingagreements.ChapterVWithdrawalandSupplementArticle18Amemberofthetreasurybondunderwritingsyndicatemay,asagreeduponinthemastertreasurybondunderwritingagreement,voluntarilyapplyforwithdrawalfromthetreasurybondunderwritingsyndicate.TheMOFshall,inconjunctionwiththerelevantdepartments,confirmthewithdrawalandannounceittothepublic.Anymemberofthetreasurybondunderwritingsyndicateapplyingforwithdrawalshall,beforeobtainingconfirmation,continuetofulfillthemastertreasurybondunderwritingagreementasagreeduponintheagreement.Article19Whererelevantactsofmembersoftheunderwritingsyndicateof