一周立法最新双语动态，我们来了! 第82期

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目录

Contents

【金融】

1. 外汇局：完善银行间债券市场境外机构投资者外汇风险管理

SAFE Releases Foreign Exchange Risk Management for Foreign Institutional Investors in the Interbank Bond Market

2. 证监会发布4件新三板改革配套规则

CSRC Issues Four Supporting Rules for Reform of NEEQ 

【司法】

3. 最高法最高检公安部联合发文严惩袭警行为

SPC, SPP and MPS Issued Opinions to Severely Punish Acts of Assaulting Police Officers

一金融

1. 外汇局：完善银行间债券市场境外机构投资者外汇风险管理

SAFE Releases Foreign Exchange Risk Management for Foreign Institutional Investors in the Interbank Bond Market

为推动外汇市场对外开放，日前，国家外汇管理局发布《国家外汇管理局关于完善银行间债券市场境外机构投资者外汇风险管理有关问题的通知》，自2020年2月1日起实施。

In order to promote the opening-up of the foreign exchange market, the State Administration of Foreign Exchange (SAFE) recently issued the Circular on of the State Administration of Foreign Exchange Improving Foreign Exchange Risk Management for Foreign Institutional Investors in the Interbank Bond Market, which will be implemented on February 1, 2020.

《通知》主要内容是为银行间债券市场境外机构投资者提供更多外汇对冲渠道。境外非银行类投资者可以选择多家境内金融机构柜台交易或以主经纪业务模式间接进入银行间外汇市场；境外银行类投资者除上述两种渠道外，也可以直接进入银行间外汇市场。同时，简化境外机构投资者开展外汇衍生品交易的展业流程，进一步完善外汇衍生品交易机制，优化外汇交易信息采集，降低市场主体交易成本。

The Circular is mainly to supply foreign institutional investors in the interbank bond market with more hedge channels. Foreign non-bank investors may choose Over-The-Counter trade from multiple domestic financial institutions or use the master broking model in order to enter the interbank foreign exchange market indirectly. In addition to the prior mentioned two channels, foreign bank investors can enter the interbank foreign exchange market directly. Besides this, the process of conducting foreign exchange derivatives trading by foreign institutional investors is simplified, the derivative trading mechanism is further improved, the collection of foreign exchange transaction information is optimized, and the trading costs of market entities are reduced.  

2. 证监会发布4件新三板改革配套规则

CSRC Issues Four Supporting Rules for Reform of NEEQ 

2020年1月13日，证监会对《非上市公众公司信息披露内容与格式准则第3号—定向发行说明书和发行情况报告书》《非上市公众公司信息披露内容与格式准则第4号—定向发行申请文件》进行修订，同时制定《非上市公众公司信息披露内容与格式准则第9号—创新层挂牌公司年度报告》和《非上市公众公司信息披露内容与格式准则第10号—基础层挂牌公司年度报告》，自发布之日起实施。

On January 13, 2020, the China Securities Regulatory Commission (CSRC) revised and issued the Standards for the Content and Format of Information Disclosure by Non-Listed Public Companies No. 3 - Private Placement Memorandum and Issuance Report; and the Standards for the Content and Format of Information Disclosure by Non-Listed Public Companies No. 4 - Application Documents for Private Placement, and simultaneously formulated and issued the Standards for the Content and Format of Information Disclosure by Non-Listed Public Companies No. 9 - Annual Report of Listed Companies in the Innovation Layer; and the Standards for the Content and Format of Information Disclosure by Non-Listed Public Companies No. 10 - Annual Report of Listed Companies in the Basic Layer, effective from the date of issuance. 

本次修订定向发行格式准则，调整了以下几方面内容：一是统一定向发行的要求，将信息披露及申报文件要求的适用范围扩大至全体公众公司；二是完善信息披露内容，明确了发行股份购买资产等方面的披露要求，细化了募集资金用途等披露要求；三是督促中介机构勤勉尽责，补充了对中介机构发表意见的要求；四是继续推进简政放权，明确挂牌公司申请定向发行需要履行行政许可的，由全国股转公司先行出具自律监管意见，作为申请行政许可的必备文件。

The revisions of the format standards for the private placement cover the following: first, the requirements for the private placement are unified, so the application scope of information disclosure and reporting documents are extended to all public companies. Second, the content of information disclosure is specified, such as the disclosure requirements for issuance of shares, purchase of assets, use of raised funds and other aspects. Third, the intermediaries are urged to be diligent and responsible, and are required to express opinions. Fourth, the streamline of administration is promoted, so a listed company’s applying for private placement needs to also apply for an administrative license, and the NEEQ shall first issue self-regulatory opinions as a necessary document for applying for an administrative license.

本次制定创新层、基础层年报格式准则，细化创新层、基础层挂牌公司的年度报告披露要求：一是明确创新层、基础层年报的差异化披露要求，同时对披露内容进行适当简化。二是借鉴科创板改革成果，以投资者需求为核心，提升年报信息披露的可读性、有用性。三是从中小企业特点出发，强化对创新层、基础层公司经营业绩影响较大的风险因素的披露。

The format standards for the annual reports of listed companies in the innovation layer and basic layer are formulated, and the disclosure requirements for the annual reports of listed companies in the innovation layer and basic layer are detailed. First, the annual reports of listed companies in the innovation layer and basic layer shall be under differentiating disclosure, and the disclosure contents shall be simplified. Second, reference shall be taken from the reform results of the SSE STAR Market, so the investors’ needs shall be focused on, and the readability and usefulness of information disclosure in the annual reports shall be improved. Third, on the basis of the characteristics of small and medium-sized enterprises, the disclosure of risk factors that have a great impact on the operations and performances of companies in the innovation layer and basic layer shall be strengthened.

二司法

3. 最高法最高检公安部联合发文严惩袭警行为

SPC, SPP and MPS Issued Opinions to Severely Punish Acts of Assaulting Police Officers

1月10日，最高人民法院、最高人民检察院、公安部联合印发《关于依法惩治袭警违法犯罪行为的指导意见》。

On January 10, the Supreme People’s Court, the Supreme People’s Procuratorate, and the Ministry of Public Securities jointly issued the Guiding Opinions on Legally Punishing Illegal and Criminal Acts of Assaulting Police Officers.

《指导意见》主要包括六个方面内容：一是明确了袭警行为的入罪标准。《指导意见》将暴力袭警界定为针对民警人身进行攻击的行为，适用刑法第二百七十七条第五款的规定以妨害公务罪定罪从重处罚。二是加大了惩处力度。针对袭警手段残忍、造成严重后果和社会影响恶劣以及具有同类前科等7种情形，在适用“袭警从重”的基础上酌情再从重处罚。构成犯罪的，一般不得适用缓刑。三是规定了构成其他严重犯罪的处理原则。《指导意见》明确了实施袭警行为，同时构成以危险方法危害公共安全罪、故意杀人罪、故意伤害罪、抢劫枪支罪、抢夺枪支罪等严重犯罪的从重处罚原则，以有效惩处犯罪，指导司法实践。四是明确了对民警非工作时间履行职务和非执行职务期间的保护。《指导意见》规定，民警在非工作时间，依照《人民警察法》等法律履行职责的，应当视为执行职务。《指导意见》还规定了在民警非执行职务期间，因其执行职务的行为对其实施暴力袭击、拦截、恐吓等行为的定罪处罚原则，加大对民警的保护力度。五是明确了公检法机关办理此类案件的工作要求。《指导意见》要求公检法机关严格履行职务，加强协作配合，依法开展对此类案件的侦查、起诉、审判，确保案件得到快速处理，准确定性，犯罪分子得到依法严惩。六是加强法制宣传教育。《指导意见》向社会揭露袭警违法犯罪行为的违法性和严重危害性，引导人民群众遵守法律、尊重执法者，在全社会营造良好法治氛围。

The Guiding Opinions mainly include six aspects: The first regards the clarification of criminalization criteria for assaults on police officers. The Guiding Opinions defines violent assaults on police officers as personal attacks on the people’s police, and such attacker shall be given a heavier punishment for the crime of endangering public affairs in accordance with Article 257 (5) of the Criminal Law. The second regards an increase in punishment. Under seven circumstances such as brutal attacks, severe consequences and bad social impacts and similar criminal record, a heavier punishment should be given based on the application of heavier punishment for assaults on police officers. Where a crime is constituted, probation is generally not applicable. The third regards the stipulation of handling principles for constitution of other serious crimes. The Guiding Opinions clarify the principle of severer punishment for circumstances under which the acts of assaulting police officers constitute other serious crimes such as crimes of endangering public security with dangerous method, intentional homicide, intentional injury, gun robbery and gun snatch to effectively punish crimes and guide judicial practice. The fourth regards clarification of the protection for the people’s police during out-of-working-hours and during out-of-duty performance-hours. The Guiding Opinions stipulate that performance of functions by the people’s police in accordance with laws such as the People's Police Law during out-of-working-hours shall be deemed as performance of their duties. The Guiding Opinions also stipulate the principle of conviction and punishment for violent attacks, interceptions, intimidation and other acts against people’s police during their out-of-duty performance-hours to strengthen the protection of people’s police. The fifth regards clarification of the requirements for the handling of such cases by organs of public security, procuratorates and courts. The Guiding Opinions require organs of public security, procuratorates and courts to strictly perform their duties, strengthen cooperation and coordination, and carry out investigations, prosecutions and trials of such cases by law to ensure that cases are handled quickly. The nature of cases is determined accurately, and criminals are severely punished as legally required. The sixth regards strengthening of publicity and education on the legal system. The Guiding Opinions expose the illegality and serious harmfulness of the illegal and criminal acts of assaulting police officers to society to guide the people to abide by the law, respect officers of law-enforcement, and create a good atmosphere of rule of law in the entire society.

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