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Announcement No. 7 [2017] of the People's Bank of China—Announcement on Issues concerning Providing Credit Rating Services by the Credit Rating Agencies on the Interbank Bond Market []
中国人民银行公告(2017)第7号――信用评级机构在银行间债券市场开展信用评级业务有关事宜公告 []
【法宝引证码】
  • Document Number: Announcement No. 7 [2017] of the People's Bank of China
  • Date issued: 07-01-2017
  • Effective date: 07-01-2017
  • Level of Authority: Departmental Regulatory Documents
 
  
  
Announcement of the People's Bank of China 

中国人民银行公告

(No. 7 [2017]) (〔2017〕第7号)

For the purposes of promoting the opening up of the interbank bond market and promoting the sound development of the credit rating industry, under the Law of the People's Republic of China on the People's Bank of China, the issues concerning providing credit rating services by the credit rating agencies on the interbank bond market are hereby announced as follows: 为推动银行间债券市场对外开放,促进信用评级行业健康发展,根据《中华人民共和国中国人民银行法》,现就信用评级机构在银行间债券市场开展信用评级业务有关事宜公告如下:
I. To provide relevant credit rating services in relation to the issuance of bonds on the interbank bond market (hereinafter referred to as the “credit rating services on the interbank bond market”), an incorporated credit rating agency lawfully formed within the territory of China shall meet the following conditions:   一、境内依法设立的信用评级机构法人在银行间债券市场开展与债券发行相关的信用评级业务(以下简称银行间债券市场信用评级业务),应当具备以下条件:
(1) It has undergone the recordation formalities at the branch office of the People's Bank of China (“PBC”) at or above the level of a central sub-branch in the capital city of the province (autonomous region) where it is located. (一)已在所在地的中国人民银行省会(首府)城市中心支行以上分支机构备案;
(2) It has a number of credit rating analysts that have bond rating experience and match the credit rating services to be provided. (二)拥有一定数量的具有债券评级经验且与拟从事的信用评级业务相匹配的信用评级分析师;
(3) It has a sound corporate governance mechanism, and its main shareholder and actual controller have no circumstance of potential interest conflicts that are sufficient to affect the independence of credit rating in the equity ratio or voting rights and other respects. (三)公司治理机制健全,且其主要股东及实际控制人在股权比例或投票权等方面不存在足以影响信用评级独立性的潜在利益冲突情形;
(4) It has established perfect internal credit rating management rules, rating procedures and methods, rating quality control, due diligence investigation, credit rating review and other credit rating rules under the laws and regulations on the interbank bond market. (四)已按照银行间债券市场法律法规建立完善的信用评级内部管理制度以及评级程序与方法、评级质量控制、尽职调查、信用评级评审等信用评级制度;
(5) It has relevant experience in bond rating and sound market reputation, and its rating results are generally accepted by the qualified institutional investors. (五)具有债券评级的相关经验,市场声誉良好,评级结果获得合格机构投资者的普遍认可;
(6) It has no records of major violations of laws and regulations in the last three years, and is not under investigation due to suspected illegal operation or crime. (六)最近三年未发生重大违法违规行为,且不存在因涉嫌违法经营、犯罪正在被调查的情形。
II. In addition to the requirements of items (2) to (6) of Article 1, an incorporated credit rating agency that is formed overseas according to the law and provides credit rating services on the interbank bond market (hereinafter referred to as the “overseas rating agency”) shall meet all the following conditions:   二、境外依法设立的信用评级机构法人(以下简称境外评级机构)开展银行间债券市场信用评级业务,除符合第一条第(二)至第(六)项要求外,还应当同时符合如下条件:
(1) It is registered or certified by the credit rating supervision institution in the country or region where it is located and is subject to the effective supervision of the credit rating supervision institution in the country or region where it is located. (一)经所在国家或地区信用评级监管机构注册或认证,且受到所在国家或地区信用评级监管机构的有效监管;
(2) The credit rating supervision system of the country or region where it is located complies with the internationally recognized credit rating supervision principle. (二)所在国家或地区的信用评级监管体系符合国际公认的信用评级监管原则;
(3) It pledges to accept the supervision of the PBC with respect to the credit rating services on the interbank bond market it provides, or the credit rating supervision institution in the country or region where it is located has entered into a credit rating supervision cooperation agreement with the PBC. (三)承诺就所开展的银行间债券市场信用评级业务接受中国人民银行监管,或所在国家或地区信用评级监管机构已与中国人民银行签署信用评级监管合作协议;
(4) It has a branch office formed within the territory of China which has undergone the recordation formalities at the branch office of the PBC at or above the level of a central sub-branch in the capital city of the province (autonomous region) where it is located. (四)具有在境内设立的分支机构,且该分支机构已在所在地的中国人民银行省会(首府)城市中心支行以上分支机构备案。
III. The PBC shall supervise and administer the credit rating agencies providing credit rating services on the interbank bond market according to the law.   三、中国人民银行依法对开展银行间债券市场信用评级业务的信用评级机构进行监督管理。
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