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Guiding Opinions of the China Banking Regulatory Commission and the China Securities Regulatory Commission on Commercial Banks Offering Preferred Shares to Replenish Tier 1 Capital | | 中国银监会、中国证监会关于商业银行发行优先股补充一级资本的指导意见 |
| (No. 12 [2014] of the China Banking Regulatory Commission) | | （银监发〔2014〕12号） |
| | 各银监局，各政策性银行、国有商业银行，股份制商业银行，邮政储蓄银行，证监会各派出机构，各交易所，各下属单位，各协会： |
| To regulate the offering of preferred shares by commercial banks, improve the capital quality of commercial banks, and protect the lawful rights and interests of all stakeholders, in accordance with the Guiding Opinions of the State Council on Launching the Pilot Program of Preferred Shares (No. 46 [2013], State Council), the Measures for the Administration of Capital of Commercial Banks (for Trial Implementation) (Order No. 1 [2012], CBRC), the Measures for the Administration of the Pilot Program of Preferred Shares, and other relevant provisions, the following guiding opinions on commercial banks offering preferred shares to replenish Tier 1 capital are hereby issued: | | 为规范商业银行优先股发行，提升商业银行资本质量，保护利益相关方的合法权益，根据《国务院关于开展优先股试点的指导意见》（国发〔2013〕46号）、《商业银行资本管理办法（试行）》（银监会令2012年第1号）、《优先股试点管理办法》等规定，现就商业银行发行优先股补充一级资本提出如下指导意见。 |
| I. To offer preferred shares, a commercial bank shall satisfy the relevant provisions of the State Council and the CSRC and the conditions set forth by the CBRC for issuance of capital instruments, and maintain its core Tier 1 capital adequacy ratio at or above the prudential supervision requirement of the CBRC. | | 一、商业银行发行优先股，应符合国务院、证监会的相关规定及银监会关于募集资本补充工具的条件，且核心一级资本充足率不得低于银监会的审慎监管要求。 |
| II. To offer preferred shares, a commercial bank shall apply to the CBRC by submitting the following application documents: | | 二、商业银行发行优先股，应向银监会提出发行申请，申请文件包括： |
| (1) An application for offering of preferred shares. | | （一）优先股发行申请； |
| (2) A plan on offering of preferred shares. | | （二）优先股发行方案； |
| (3) Its company bylaws (draft) as amended in accordance with the Measures for the Administration of the Pilot Program of Preferred Shares. | | （三）根据《优先股试点管理办法》修改的公司章程（草案）； |
| (4) A resolution of the shareholders' meeting. | | （四）股东大会决议； |
| (5) A capital plan. | | （五）资本规划； |
| (6) Audited financial statements for the last three years and notes thereto. | | （六）最近三个年度经审计的财务报表及附注； |
| (7) A legal opinion on compliance issued by the issuer's lawyers. | | （七）发行人律师出具的合规性法律意见书； |
| (8) Other documents required by the CBRC. | | （八）银监会要求的其他文件。 |
| All matters subject to administrative licensing involved in the offering of preferred shares, such as capital addition and amendment of bylaws, shall be accepted, examined, and decided by the relevant regulatory department of the CBRC at one time. | | 商业银行发行优先股涉及的资本补充、章程修改等行政许可事项，由银监会相关监管部门一次性予以受理、审查并决定。 |
| III. After obtaining an approval document from the CBRC, a commercial bank shall submit an application for offering of preferred shares to the CSRC. The CSRC shall grant a confirmation in accordance with the Measures for the Administration of the Pilot Program of Preferred Shares and the related rules. To offer preferred shares, an unlisted commercial bank shall, in accordance with the relevant requirements of the CSRC, apply for quotation and public transfer of its stock on the National Equities Exchange and Quotations, and be included in supervision as an unlisted public company. | | 三、商业银行取得银监会的批准文件后，向证监会提出发行申请。证监会依据《优先股试点管理办法》及相关配套规则进行核准。非上市商业银行发行优先股的，应当按照证监会有关要求，申请在全国中小企业股份转让系统挂牌公开转让股票，纳入非上市公众公司监管。 |
| ．．．．．． | | ．．．．．． |
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