Legislative Updates (Issue 60) | 法宝双语新闻

【来源】北大法宝英文译本库

【责任编辑】Mani

【声明】本文由北大法宝编写，转载请注明来源。

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1.《证券经纪业务管理办法（征求意见稿）》发布

7月26日，证监会发布《证券经纪业务管理办法（征求意见稿）》，征求社会各界意见，意见反馈截止时间为2019年8月26日。

《征求意见稿》主要内容包括：一是首次尝试对证券经纪业务作出界定，明确委托关系本质，把握核心环节，为打击非法证券经纪业务提供了明确规则依据；二是切实保护投资者合法权益，从交易佣金收取、客户资产保护、对账单提供、转销户办理、投诉处理等具体事项上作出必要的制度保障；三是全面规范主要业务环节，对证券经纪业务涉及的营销、开户、交易、结算等环节作出了规定，特别是针对账户实名制、适当性管理、交易行为管理、异常交易监控作出了具体规范；四是强化证券公司内部管控责任。从隔离墙建立、人员管理、组织保障、合规稽核、信息系统、营业场所等方面提出了规范要求；五是强化监督管理与责任追究，在法律授权范围内明确了相应的行政监管与行政处罚措施，依法对公司及其责任人员的责任承担做出了具体规定。

1. Measures for the Administration of Securities Brokerage Business (Exposure Draft) Issued

On July 26, 2019, the China Securities Regulatory Commission issued the Measures for the Administration of Securities Brokerage Business (Exposure Draft), and comments may be submitted until August 26, 2019.

The main contents of the Exposure Draft include: (1) defining the securities brokerage business for the first time, clarifying the nature as the entrustment relationship, grasping the core links, and providing specific basis of rules for cracking down on illegal securities brokerage business; (2) earnestly protecting legal rights and interests of investors, and providing necessary institutional guarantees for such specific matters as charging of securities transaction commissions, protection of clients’ assets, provision of account statements, handling of account transfer and cancellation, and responses to complaints; (3) comprehensively standardizing main business links by stipulating marketing, account opening, transaction, settlement and other aspects involved in the securities brokerage business, especially containing specific rules for the registration of an account with a legal name, suitability management, transaction management, and abnormal transaction monitoring; (4) enhancing the responsibilities of securities companies in internal management and control by putting forward regulatory requirements for such aspects as setup of separation walls, personnel management, organizational guarantees, compliance audit, information systems, and business premises; (5) strengthening supervision and management and accountability, clarifying corresponding administrative supervision and administrative punishment measures within the scope of legal authorization, and making specific provisions on responsibilities of companies and their liable persons according to the law.

2.《金融控股公司监督管理试行办法（征求意见稿）》发布

2019年7月26日，中国人民银行发布关于《金融控股公司监督管理试行办法（征求意见稿）》公开征求意见的通知，公众可以中国政府法制信息网、电子邮件、信函邮寄、传真的方式进行意见反馈，截止时间为2019年8月24日。

《办法》适用于实际控制人为境内非金融企业和自然人的金融控股公司，对于金融机构跨业投资控股形成的金融集团，由金融监管部门根据《办法》实施监管，并制定具体实施细则。

《办法》的主要内容包括：设立金融控股公司的市场准入许可；严格股东资质监管；强化资本来源真实性和资金运用合规性监管；明晰股权结构管理；强化公司治理和关联交易监管；完善风险“防火墙”制度；设置过渡期。

2. Interim Measures for the Regulation of Financial Holding Companies (Exposure Draft) Issued

On July 26, 2019, the Notice by the People’s Bank of China of Requesting Public Comments on the Interim Measures for the Regulation of Financial Holding Companies (Exposure Draft) was issued. The public may provide their comments on the website of the Legislative Affairs Office of the State Council, or by email, letter or fax prior to August 24, 2019.

The Measures apply to the financial holding companies in which their actual controllers are domestic non-financial enterprises or natural persons. For financial groups formed through cross-sector investment holding by financial institutions, the financial regulators are required to conduct the supervision and develop the detailed rules for its implementation in accordance with the Measures.

The Measures are mainly to establish the market access permission for financial holding companies, strictly regulate qualifications of shareholders, strengthen the supervision over authenticity of capital sources and compliance of capital utilization, clarify the equity structure management, enhance the supervision over corporate governance and related transactions, improve the risk “firewall” system, and set a transitional period.

3. 市场退出制度改革推动破产制度建设

近日，国家发展改革委等部门联合印发《加快完善市场主体退出制度改革方案》，发改委财金司有关负责人就《方案》答记者问。

针对破产制度建设，《方案》提出以下关键举措：一是完善破产法律制度。改革方案提出四方面改革举措：完善企业破产制度，分步推进建立自然人破产制度，加强司法与行政协调配合，加强司法能力及中介机构建设。二是建立庭外重组和预重整制度，并在一定条件下实现与法庭内程序有效衔接,从而有效利用有限司法资源、维护企业营运价值、降低重组成本和提高重组灵活性。三是做好破产配套的制度建设。改革方案提出，要完善司法与行政协调机制，明确政府部门破产行政管理职能，以便理顺市场主体退出过程中的司法与行政关系。同时，加强破产审判专业人员和破产管理人队伍能力建设，将为化解破产案件受理难、审判难提供重要保障。

3. Reform Plan of the Exit System for Market Participants Promotes Establishment of the Bankruptcy System

Recently, the National Development and Reform Commission (NDRC) and other 12 departments jointly issued the Reform Plan for Accelerating the Improvement of the Exit System for Market Participants, and the relevant person in charge of the Department of Fiscal and Financial Affairs of the NDRC answered reporters’ questions regarding the Plan.

The Plan sets out the following key measures targeting the bankruptcy system: first, the legal system for bankruptcy should be improved, including improving the bankruptcy system for enterprises, advancing the establishment of a natural person bankruptcy system step by step, intensifying the coordination and cooperation between judicial authorities and administrative authorities, and strengthening the building of judicial capacity and intermediaries. Second, an out-of-court reorganization and pre-reorganization system should be established and the effective connection with in-court procedures should be realized under certain conditions so as to effectively utilize limited judicial resources, maintain the operating value of enterprises, reduce the reorganization cost, and improve the reorganization flexibility. Third, supporting rules for bankruptcy should be improved. The Reform Plan requires the improvement of a coordination mechanism between judicial authorities and administrative authorities and the clarification of functions of government departments to administer bankruptcy in order to fine-tune the judicial and administrative relations in the process of exit of market participants. Meanwhile, the training of specialists in bankruptcy trials and the team building of bankruptcy administrators should be enhanced so as to provide an important guarantee for resolving the difficulties in accepting or trying bankruptcy cases.

4.《中华人民共和国土地增值税法（征求意见稿）》发布

7月16日，财政部、国家税务总局发布《中华人民共和国土地增值税法（征求意见稿）》，意见反馈截止日期为2019年8月15日。

《征求意见稿》意味着《中华人民共和国土地增值税暂行条例》将上升为法律。与《条例》相比，《征求意见稿》主要有以下变化：集体房地产纳入征税范围；调整税收优惠政策，增加地方政府对普通住宅、集体房地产享受减免税的权限；明确纳税义务发生时间和申报纳税期限，合并《条例》中分开设置的纳税申报和缴纳税款两个时间期限；征收管理模式变为后续管理。

4. Law on Land Value-Added Tax (Exposure Draft) Issued

On July 16, 2019, the Ministry of Finance and the State Taxation Administration issued the Law of the People’s Republic of China on Land Value-Added Tax (Exposure Draft), and comments may be submitted until August 15, 2019.

The Exposure Draft means that the Interim Regulation of the People's Republic of China on Land Value-Added Tax will be upgraded to a law. Compared with the Regulation, the Exposure Draft mainly has the following changes: incorporating collective real estate into the scope of taxation; adjusting preferential tax policies and increasing the authority of local governments to enjoy tax reduction and exemption for ordinary housing and collective real estate; clarifying the time of occurrence of the obligation to pay tax as well as the time limit for filing a tax return, and consolidating two separate time limits for filing tax returns and paying tax in the Regulation; and changing the tax collection management mode into follow-up management.

5.《商业银行股权托管办法》发布

2019年7月12日，银保监会印发《商业银行股权托管办法》，自公布之日起实施。《办法》共四章二十一条，主要内容包括：一是明确股权托管方式。《办法》规定上市、在新三板挂牌的商业银行股权托管应按照现有法律法规进行，非上市商业银行可以按照市场化原则，自行选择符合条件的股权托管机构。二是规定股权托管基本业务框架。商业银行应向托管机构完整、及时、准确地提供股东名册及有关股权信息资料。托管机构应严格遵照双方签订的服务协议，勤勉尽责地对股东名册进行管理，保障商业银行股权活动安全、高效、合规进行。三是强化监管部门职责。《办法》设立专章明确监管部门职责，除了对违反《办法》规定的商业银行进行处罚外，监管部门还将建立股权托管机构黑名单，并通过全国信用信息共享平台与相关部门或政府机构共享黑名单信息。

5. Measures for Equity Custody of Commercial Banks Issued

On July 12, 2019, the China Banking and Insurance Regulatory Commission issued the Measures for the Equity Custody of Commercial Banks, which should come into force on the date of issuance.

With a total of 21 articles in four chapters, the Measures include as follows: first, the ways of equity custody are specified. The equities of commercial banks listed for trading or quoted on the New Third Board should be placed under custody in accordance with the existing laws and regulations, while unlisted commercial banks may select the eligible equity custody institutions by themselves under the market-oriented principle. Second, the basic business framework for equity custody is stipulated. Commercial banks are required to provide custody institutions with the shareholder register and relevant equity information materials in a complete, timely and accurate manner, and custody institutions should manage the shareholder register with due diligence in strict accordance with the service agreements signed by both parties so as to ensure that the equity-related activities of commercial banks are carried out in a safe, efficient and lawful manner. Third, the responsibilities of regulators should be strengthened. The Measures provide for the responsibilities of regulators in a separate chapter, which include not only imposing administrative penalties on commercial banks in violation of the provisions of the Measures, but also establishing a blacklist of equity custody institutions, and sharing information with relevant departments or government organs though the national credit information sharing platform.

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