境外金融机构管理办法 PROCEDURES FOR THE ADMINISTRATION OF CHINESE FINANCIAL INSTITU-TIONS ABROAD
2009-03-24 法律英语 来源：互联网 作者： ℃2） the statements of assets and liabilities， the statements of loss and profit， and the financial reports of the applying unit for the three years prior to the submission of the application；
3） the agreement， the contract and the articles of association of the joint financial institution initialled by the respective investing parties thereto；
4） the feasibility study report； and
5） other relevant documents required by the People's Bank of China.
Article 14 A domestic financial institution or non-financial institution or a Chinese-invested financial institution or non-financial institution abroad that applies for the purchase of a financial institution abroad shall submit the following documents：
1） an application duly signed by the chief person in charge of the applying unit， which shall include the name of the financial institution that is to be purchased， its address， the articles of association， the total capital and total assets， the state of affairs of the institution and its personnel， its financial position， the reasons of the purchase and the objectives thereof， the amount of the fund needed for the purchase， and the source（s） of the fund；
2） the statements of assets and liabilities， the statements of loss and profit， and the financial reports of the applying unit for the three years prior to the submission of the application；
3） the feasibility study report； and
4） other relevant documents required by the People's Bank of China.
Article 15 If a financial institution abroad is to make any one of the following changes， its domestic investing unit shall in advance submit an application to the People's Bank of China for examination and approval：
1） if a representative agency is to be upgraded to a branch office；
> 2） if a representative agency， or a branch office， or a Chinese-invested financial institution or a Chinese-foreign joint financial institution is to be disbanded； and
3） if the percentages of the shares held by the respective investing parties to a Chinese-foreign joint financial institution are to be adjusted or if the capital is to be increased.
Article 16 The domestic investing unit of a financial institution abroad shall， prior to the date of July 31 every year， submit to the provincial branch bank of the People's Bank of China in the locality where it is situated the work report of the financial institution abroad for the first half of the year， which shall include the changes in the personnel of the institution， a breakdown of the deposits and loans， a breakdown of the money sent abroad or received therefrom； a breakdown of the import and export settlements， an analysis of the projects of investment and an analysis of the business transactions in foreign exchange， securities and gold. The afore-said report shall then be transmitted to the People's Bank of China by its provincial branch bank.
Article 17 The domestic investing unit of a financial institution abroad shall， prior to the date of March 31 every year， submit to the provincial branch bank of the People's Bank of China the statement of assets and liabilities， the statement of loss and profit， and the annual work report of the financial institution abroad for the previous fiscal year， which shall then be transmitted to the People's Bank of China by its provincial branch bank.
Article 18 The People's Bank of China and its various provincial branch banks shall have the right to exercise supervision over the work of the financial institutions abroad.
Article 19 If any party， in violation of the provisions in Article 7 of these Procedures， establishes or purchases a financial institution abroad without the approval of the People's Bank of China， the People's Bank of China shall have the right to freeze a corresponding amount of the foreign exchange of the domestic investing unit thereof or of its Renminbi deposits， order it to disband the financial institution abroad or set a deadline for it to make up for the procedures of application for examination and approval， and conduct close investigations into the liability of the chief person in charge of the unit and of those who are directly responsible therefor. If any party violates the provisions in Article 15 of these Procedures， the People's Bank of China shall have the right to freeze a corresponding amount of the foreign exchange of the domestic investing unit thereof or of its Renminbi deposits and order it to stop the business operations of the financial institution abroad for rectification. If any party violates the provisions in Articles 16 and 17 of these Procedures， to a serious extent， the People's Bank of China may impose a fine of 100，000 Renminbi yuan or less on the domestic investing unit thereof.
Any party violates the regulations concerning foreign exchange control shall be penalized in accordance with the pertinent provisions of the State.
Article 20 If any party has， before these Procedures go into effect， established or purchased a financial institution abroad without approval of the People's Bank of China， it shall， within the time limit prescribed by the People's Bank of China， make up for the procedures of application for examination and approval.
Article 21 These Procedures shall not apply to the enterprises with foreign investment inside China.
Article 22 The People's Bank of China shall be responsible for the interpretation of these Procedures.
Article 23 These Procedures shall go into effect as of the date of promulgation
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