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Notice of the State Administration of Foreign Exchange on the Relevant Issues concerning the Foreign Exchange Administration of the Overseas Securities Investment Made by Fund Management Companies and Securities Companies
(No. 47 [2009] of the State Administration of Foreign Exchange)
Branches and foreign exchange administrative departments of the State Administration of Foreign Exchange (SAFE) in all provinces, autonomous regions and municipalities directly under the Central Government and branches of the SAFE in Shenzhen, Dalian, Qingdao, Xiamen and Ningbo,
In order to regulate the foreign exchange administration of the overseas securities investment made by domestic fund management companies and securities companies (hereinafter referred to as “securities institutions”), we hereby notify you of the following relevant issues in accordance with the Regulation of the People's Republic of China on Foreign Exchange Administration and other relevant provisions:
| | 国家外汇管理局关于基金管理公司和证券公司境外证券投资外汇管理有关问题的通知
（汇发【2009】47号）
国家外汇管理局各省、自治区、直辖市分局、外汇管理部，深圳、大连、青岛、厦门、宁波市分局：
为规范境内基金管理公司和证券公司（以下简称“证券经营机构”）境外证券投资外汇管理，根据《中华人民共和国外汇管理条例》及相关规定，现就有关问题通知如下：
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I. The SAFE and its branches and sub-branches (hereinafter referred to as the “foreign exchange authorities”) shall be responsible for the supervision, administration and inspection on the overseas securities investment quota (hereinafter referred to as the “investment quota”), foreign exchange accounts and exchange activities of the securities institutions.
| | 一、国家外汇管理局及其分支局（以下简称“外汇局”）负责对证券经营机构境外证券投资额度（以下简称“投资额度”）、外汇账户及汇兑实施监督、管理和检查。
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II. To conduct the overseas securities investment business, a securities institution qualified for engaging in the foreign exchange business shall apply to the SAFE for an investment quota.
| | 二、具备经营外汇业务资格的证券经营机构开展境外证券投资业务，应向国家外汇管理局申请投资额度。
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III. A securities institution which applies for an investment quota shall submit the following materials to the SAFE:
| | 三、证券经营机构申请投资额度，应向国家外汇管理局提交以下材料：
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(1) A written application, including the basic information on the applicant, the overseas securities investment plan, the desired investment quota, the information on the senior managers in charge of the overseas securities investment business, the information on the internal control system, risk management measures and relevant preparations, etc., as well as a Table of Basic Information on Overseas Securities Investment Made by a Domestic Institution (Annex 1);
| | （一）书面申请，包括：申请人的基本情况，境外证券投资计划及拟申请投资额度，境外证券投资业务高级管理人员情况、内控制度、风险管理措施及相关准备情况等，并提交《境内机构境外证券投资基本情况表》（附表一）；
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(2) Relevant approval documents on the qualification of a qualified domestic institutional investor issued by the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”); and
| | （二）中国证券监督管理委员会（以下简称“中国证监会”）有关合格境内机构投资者资格的批准文件；
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(3) Other materials as required by the SAFE.
Those applying for increasing the investment quota shall provide a statement on the use of the approved investment quota besides the aforesaid materials.
| | （三）国家外汇管理局要求的其他材料。
申请增加投资额度的，除需提供上述材料外，还需提供已获批投资额度使用情况说明。
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IV. The SAFE shall conduct the balance management of investment quotas, and the net amount of remittance for overseas securities investment made by a securities institution shall not exceed its approved investment quota.
Securities institutions may, based on their investment needs and within their investment quotas, invest in the relevant overseas securities investment products permitted by the CSRC (hereinafter referred to as the “products”).
Where a securities institution which has obtained an investment quota fails to effectively use the investment quota within two years, the SAFE shall have the authority to adjust or reduce its investment quota.
No securities institution may, in any form, transfer or resell its investment quota to any other institution.
| | 四、国家外汇管理局对投资额度实行余额管理，证券经营机构境外证券投资净汇出额不得超过经批准的投资额度。
证券经营机构可根据投资需要，在投资额度内投资于中国证监会许可的相关境外证券投资产品（以下简称“产品”）。
已取得投资额度的证券经营机构，如两年内未能有效使用投资额度，国家外汇管理局有权对其投资额度进行调减。
证券经营机构不得以任何形式转让或转卖投资额度给其他机构使用。
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V. Securities institutions may raise foreign exchange funds from domestic investors or raise RMB funds from domestic investors to purchase foreign exchange for making overseas securities investment.
No domestic investor may, in form of foreign exchange cash, invest in the relevant products issued by a securities institution.
| | 五、证券经营机构可募集境内投资者的外汇资金，也可募集境内投资者的人民币资金购汇进行境外证券投资。
境内投资者不得以外币现钞形式投资证券经营机构发行的相关产品。
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VI. A domestic custodian shall open the domestic custody accounts for the relevant products of a securities institution upon the strength of the SAFE's approval document on investment quota. In particular, if the funds are raised in form of foreign exchange, a domestic foreign exchange custody account shall be opened; if the funds are raised in form of RMB, a RMB custody account and a domestic foreign exchange custody account shall be opened.
．．．．．． | | 六、境内托管人应凭国家外汇管理局投资额度批准文件为证券经营机构的相关产品开立境内托管账户。其中，以外汇形式募集的，需开立境内外汇托管账户；以人民币形式募集的，需开立境内人民币托管账户和境内外汇托管账户。
境内托管人应为每只产品分别开立境内托管账户。同一产品下不同币种的外汇托管账户，视同为一个账户。
境内托管人应在境内外汇托管账户开立后五个工作日内，将账户开立情况和托管协议向托管人所在地外汇局报备。
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