中国证券监督管理委员会机构监管部关于证券公司发行短期融资券相关问题的通知 The Circular of the Supervision Department of China Securities Regulatory Commission on Related Matters about Issuance of Short-term Financing Bonds for Securities Companies
颁布日期：20050111 实施日期：20050111 颁布单位：中国证券监督管理委员会
Ji Gou Bu Bu Han  NO. 18
All securities companies：
Pursuant to the provisions of the Measures for Administration of Short-term Financing Bond of Securities Companies， the Memorandum of Understanding on the Measures for Administration of Short-term Financing Bond of Securities Companies of the People's Bank of China， the China Securities Regulatory Commission and the China Banking Regulatory Commission， the related issues about qualification approval of the issuance of short-term financing bonds for securities companies are hereby notified as follows：
1. The securities company which proposes to issue short-term financing bond shall submit to the Supervision Department the materials that prove it consistent with the fundamental conditions of issuing short-term financing bond prescribed in the Measures for Administration of Short-term Financing Bond of Securities Companies， including：
（1） The basic information of proposed issuance of the short-term financing bond， including the aims， repayment arrangement， funds usage， the company's net assets in recent three months and etc……；
（2） The preservation of trading settlement funds of the clients of the company， the enforcement of the Circular of Further Strengthening the Supervision of Clients Trading Settlements funds of Securities Companies， and the commitment that senior managers doesn't misappropriate the clients trading settlements funds and bear the relevant responsibilities；
（3） The account of the company internal control mechanism and its execution， including the separate management of the application of equity capital from the assets management business for clients as an agent， the construction of medium and back platform and control of the operation risks of the front platform， and commitment of rules-compliance operation of the company；
（4） The evaluation of the assets and liabilities in accordance with relevant rules adopted by the company；
（5） The appraisal and control of stock risks of the company；
（6） The copy of approval document of national inter-bank borrowing （lending） market membership；
（7） The copy of announcement on information disclosure publicized by the inter-bank borrowing center.
2. The Supervision department shall exanimate the materials submitted by securities companies in accordance with Article 9 of the Measures for Administration of Short-term Financing Bond of Securities Companies， and issue an approval letter to the qualified securities company.
3. In the first year of the implementation of the Measures for Administration of Short-term Financing Bond of Securities Companies， securities companies of innovational tryout or normalized development type that passed the review of the Securities Association of China may not retain credit rating agencies to make credit rating at the time of issuance of short-term financing bond.
4. All securities companies shall abide by the provisions of the Measures for Administration of Short-term Financing Bond of Securities Companies， and carry out earnestly the issuance， trading and information disclosure of short-term financing bonds， and report timely to the China Securities Regulatory Commission and the People's Bank of China if they encounter material problems.
The Supervision department of the China Securities Regulatory Commission
January 11， 2005
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