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中国证券监督管理委员会、国家外汇管理局关于境内居民个人投资境内上市外资股若干问题的通知 Circular of China Securities Regulatory Commission and the State Administration of Foreign Exchange on Issues Concerning Individual Domestic Residents' Investment in Foreign Currency Stocks Listed in the Domestic Stock Markets

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证监发[2001]22号
颁布日期:20010222  实施日期:20010222  颁布单位:中国证券监督管理委员会、 国家外汇管理局

  ZhengJianFa [2001] No.22

  February 21,2001

  All the Securities Regulatory Offices, Sub-Offices, Representative Offices; all the branches, Beijing and Chongqing Departments of State Administration of Foreign Exchange ("SAFE"); Shanghai and Shenzhen Stock Exchanges; all the commercial banks, securities companies and investment trust companies:

  To promote the sound development of foreign currency stocks listed in the domestic stock markets (hereinafter referred to as "B shares"), maintain the normal operation of both the B shares and foreign exchange markets, safeguard the legal rights of the investors and regulate the conduct of the participants in the stock market, this notice has been thus made by the China Securities Regulatory Commission (hereinafter referred to as "CSRC") to the following issues:

  1. Pursuant to Article 4 of the Provisions of the State Council on Foreign Currency Stocks Listed in the Domestic Stock Market Issued by Joint Stock Limited Companies (Decree No.189 of the State Council, 1995] and the decision made by CSRC on February 19, 2001 concerning the approval of domestic residents' investment in the B Share market, individual domestic residents may, adhering to this notice, invest in the B shares.

  2. Before June 1, 2001, domestic residents who intend to invest in the B shares, can only use the foreign exchange account and foreign currency account which had been deposited in domestic commercial banks before the date of February 19, 2001 (February 19 included and the same hereinafter). Nevertheless, those foreign currencies either in cash or transacted from other sources rather than from the foreign currency deposit accounts as aforementioned will not be allowed to invest in the B shares. The foreign currency that had been deposited before February 19, 2001 in domestic commercial banks and the deposit referred upon the expiration date is allowed to invest in the B shares. After June 1, 2001, domestic residents are allowed to invest in the B shares with foreign currencies which should be deposited after February 19,2001 or remitted from abroad to the Chinese domestic commercial banks. Foreign currencies in cash, however, still will not be allowed to invest in B-share market as aforementioned.

  3. Security companies and trust investment companies which bear the authorization of CRSC to engage in B shares transactions and the authorization of SAFE to handle foreign currencies may carry the certificates produced by the CSRC for operating the B shares and the licenses authorized by the State Bureau of Foreign Exchange for managing foreign currencies to open B share guarantee accounts at all the domestic commercial banks and their branches which bear the authorization to manage foreign currencies in the same city. The branches of the aforementioned securities companies and investment trust companies may open the guarantee accounts by producing copies of the aforementioned certificates and licenses issued to the companies, on which the official seals of the branches shall be set. Securities companies or investment trust companies or their branches (hereinafter referred to as "securities operating institutions") can open only one B share guarantee account within one domestic commercial bank within the same area, and under no circumstances, should securities operating institutions open more than one B share guarantee account in one domestic commercial bank within the same area. Securities operating institutions should, within three working days after the opening of the account, submit the name of the bank of the deposit to SAFE or its local branches ("Foreign Exchange Bureau") to be put on file and disclose the information about their guarantee accounts to the public via mess media.

  4. Domestic residents who intend to open B share accounts should go through the following proceedings:

  Individuals may, bearing their legal ID documents, have their foreign currencies transferred from their original deposit accounts into the B share guarantee accounts opened by the securities operating institutions. Personal IDs are required for such transactions. Presently such transactions are restricted to the same kind of bank and the same city. Domestic commercial banks should produce entry vouchers to individuals for their money transference, and should deliver the statement of account to the securities operating institutions.

  Individuals then may bring their legal IDs and entry vouchers of the transferred foreign currencies to the securities opening institutions to open B share capital accounts. The minimum B share account opening balance is 1,000.00 US dollars or the equivalent.

  Upon opening the B share capital accounts, individuals may open their B share securities accounts with the said securities operating companies.

  5. Domestic commercial banks should, when handling with transference of foreign currency for domestic residents, strictly abide by the rules prescribed in this notice to check the deposit dates and transferred currency. Before June 1, 2001, when domestic residents transfer foreign currency from their certified deposit, the foreign currency should be deposited before February 19, 2001. When domestic residents transfer foreign currency from the current deposit, the amount should not be over the balance of the accounts before February 19, 2001. When domestic residents make the transactions, the foreign currency should be converted into the same kind of currency as the B share guarantee account held by the securities operating institutions.

  6. The profit of the B share capital accounts for domestic residents should include the profit of the foreign currency being transferred from foreign exchange account or foreign currency accounts, and the profit from B share trading. The cost should include the foreign currency spent for buying B-share stocks or transferring back to domestic commercial banks. Nevertheless, foreign currency in B-share capital account is not allowed to be transferred to foreign countries. All the foreign currencies transferred from B share capital accounts to their deposit accounts within domestic commercial banks shall be deemed foreign currency within the country and be subjected to the "The Interim Rules on Foreign Currency Regulations of Individual Domestic Residents" and other applicable rules. Domestic residents shall not withdraw foreign currency cash from their B share capital accounts at anytime.

  7. The profit of B share accounts for non-residents shall include foreign currency being transferred from abroad, foreign currency legally deposited with domestic commercial banks and profit from the B-share trading. The cost should include the cost of the foreign currency being transferred abroad, or the foreign currency being deposited in their legal accounts within domestic commercial banks and/or the foreign currency spent for B share trading. Non-residents shall not withdraw foreign currency cash from their B share accounts.

  8. Transference of B share between domestic residents and non-residents is forbidden. Domestic residents shall not entrust their B share holdings to the entities outside of main land China.

  9. All domestic commercial banks, having opened B share guarantee accounts for the securities operating institutions, are permitted to manage foreign currency payment and settlement which are associated to B-share trading between the securities operating companies and securities registration and settlement companies, and between the securities operating companies and their branches.

  10. All securities operating institutions, domestic commercial banks, domestic residents, non-residents shall strictly abide by the rules prescribed in this notice and other relevant rules and regulations issued by the CSRC and the SAFE concerning B share trading, in order to avoid transferring foreign exchange abroad and illegal trading of foreign currencies. Those who breach the rules and regulations shall be subject to CSRC and SAFE's punishments stipulated by the relevant rules and regulations.

  11. This notice shall enter into force as of February 21, 2001. Securities operating institutions may open B share guarantee accounts in domestic commercial banks from the effective date of this notice. Nevertheless, domestic residents shall not transfer foreign currency for the purpose of opening B share capital accounts until February 26, 2001. "The Circular on Issues related to Strict Control of Opening B Share Accounts" (ZhengJianFaZi [1996] No. 75) and "The Circular of Clearing up B Share Accounts" (ZhengJianJiaoZi [1996] No. 1) of CSRC shall be nullified at the same time as this notice enters into force.

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