中国人民银行


关于中国境内机构在境外发行债券的管理规定(附英文)
中国人民银行




一、为了更好地利用外资，支持国民经济建设，确保有计划地在国际金融市场上筹资，合理地安排使用借入的资金，加强对境内机构在境外发行债券的管理，特制订本规定。
二、在中国境内注册的法人（以下简称境内机构）在境外发行债券，必须遵守本规定。
三、中国人民银行总行为境内机构在境外发行债券的审批机关。国家外汇管理局及其分局（以下简称管汇部门）为境内机构在境外发行债券的管理机关，负责审查、协调和监督债券的发行及所筹资金的使用和偿还的管理。
四、境内机构需在境外发行债券，应以书面形式向当地管汇部门申请，并根据本规定第六、七、八条提交有关文件和资料，经当地管汇部门审查提出意见后，报国家外汇管理局核报中国人民银行总行批准。
五、境内机构申请在境外发行债券时，应向管汇部门提交下列文件和资料：
1．发行单位最近连续三年的业务、财务及外汇收支情况的报告；
2．发行债券的市场、方式、金额、币种、期限、利率和各项费用等情况；
3．主干事和主受托银行的情况；
4．发行债券所筹资金的管理办法和对汇率、利率风险的管理措施。
5．发行单位偿还债券本息的安排。
六、对发行债券所筹资金用于固定资产投资项目的，申请时，还应提供下列资料：
1．投资项目的可行性分析报告；
2．固定资产投资计划纳入国家或地方计划的证明文件；
3．固定资产投资项目的配套人民币资金和物资的证明文件；
4．发行债券所筹资金的使用计划。
七、对发行债券所筹资金转贷给国内企业的，申请时，应同时提供下列文件和资料：
1．国内企业的业务、财务经营状况和外汇收支情况；
2．国内企业借款的用途和配套人民币及物资的情况；
3．国内企业的借入资金用于固定资产投资纳入国家或地方计划的证明文件；
4．国内企业借入资金的使用和偿还安排；
5．国内企业固定资产投资的项目可行性分析报告；
6．发行单位与借款单位签订的贷款合同。
八、对受国内机构委托发行债券的，申请时应分别由受托机构及当地管汇部门提供下列文件和资料：
1．由受托机构提交委托机构与受托机构签订的发债协议书；
2．由受托机构根据本规定的要求提交有关文件和资料；
3．委托机构和受托机构所在地的管汇部门，应根据国家外汇管理的有关规定，分别提出委托和受托发行境外债券的审查报告。
九、首次在境外发行债券的机构，如需要申请评级，须向管汇部门提出书面申请，并附评级机构名称，用于评级的材料及评级程序等有关情况和资料，经批准后方可对外提出评级申请。评级后，发行机构应在三日内向管汇部门报告评级结果。中国人民银行总行将根据评级情况，决定是
否批准其发行债券。对于再次需要评级的机构，如其评级结果同前次不同的，应在三日内向管汇部门报告其评级结果及原因。
十、对发行机构本身业务经营需要发行债券的，所筹资金必须按批准的用途使用，债券本息的偿还自行负责。
十一、对受地方政府委托发行债券的，所筹资金应用于地方政府安排的项目，债券本息的偿还纳入地方外汇支出计划，由地方政府负责偿还。
十二、对受国家委托发行债券的，所筹资金由国家安排使用，债券本息的偿还纳入国家外汇支出计划，由国家负责偿还。
十三、债券发行单位应在发行债券的当天，将发行情况报告管汇部门，在发行后二十天内将发行债券的有关文件（包括发债说明书等）和资料报管汇部门备案。
十四、债券发行后，要在债券发行地以外的金融市场上市，须事先报管汇部门备案。对债券上市后的价格变化情况，应随时向管汇部门报告。
十五、债券发行单位，在债券发行后，必须根据管汇部门的要求，按季报送资金的使用情况、投资和贷款项目的经营情况以及资金的偿还情况。如果需要改变资金用途，必须事先取得管汇部门的同意。
十六、管汇部门有权检查债券发行单位的资金使用和偿还情况，债券发行单位必须予以配合，提供有关文件和资料。
十七、凡违反本规定的，管汇部门将视其情节轻重，给予警告、罚款和取消其发行债券资格的处罚。
十八、本规定的解释权属国家外汇管理局。


(Promulgated by the People's Bank of China on September 28, 1987)

Whole Doc.

Article 1
These Provisions are hereby formulated with a view to utilizing
foreign investment, supporting the development of national economy,
assuring the raise of funds on the international financial market based on
a plan, making a rational arrangement for use of borrowed funds and
strengthening the control of issuing bonds abroad.
Article 2
Legal entities which are registered in China (hereinafter referred to
as "institute within China" shall abide by these Provisions in respect of
issuing bonds abroad.
Article 3
The head office of the People's Bank of China is the examination and
approval authority in charge of issuing bonds abroad. The State
Administration of Exchange Control and its branch offices (hereinafter
referred to as "exchange control authorities") are the organs regulating
the issue of bonds abroad by resident institutions, and shall take the
responsibility of examining, adjusting and supervising the issue of bonds
and controlling the use and repayment of the raised funds.
Article 4
In need of issuing bonds abroad, resident institutions shall make a
written application to the local exchange control authority and submit
relevant documents and materials in light of Articles 6, 7 and 8 of these
Provisions. with suggestions made by the local exchange control authority
upon examination, the application shall be subject to the check-up by the
State control Administration of exchange and approval by the head office
of the People's Bank of China.
Article 5
In applying for issuing bonds abroad, resident institutions shall
submit the following documents and materials:
1) the report on business, finance and the status of receipt and
disbursement of foreign exchange of bonds issuing institution within the
recent consecutive three years;
2) matters as the market, types, amount, forms of currency, length,
interest rate and various expenditure of bonds issued;
3) the status of main secretaries in charge and main entrusted banks;
4) controlling methods for the funds raised through issuing bonds and
for exchange rate and rate risk;
5) arrangements of bond issuing institutions for paying back
principal plus interest of bonds;
Article 6
In case that funds raised through issuing bonds are to be used for
fixed assets investment, the following materials shall also be provided:
1) feasibility report on investment project;
2) documentation which shows that the plan about fixed assets
investment has been brought into line of the state's or local plan;
3) documentation of necessary Renminbi (RMB) Funds and necessary
goods and materials;
4) the plan for utilizing the funds raised through issuing bonds.

Article 7
In the event that funds raised through issuing bonds are to be relent
to domestic enterprises, the applicants shall present the following
materials in the meanwhile:
1) reports on conditions for the business, finance and receipts and
expenditure of foreign exchange of the domestic enterprises;
2) reports on the purpose of the loan used by the domestic enterprise
and its necessary Renminbi funds and necessary goods and materials;
3) the document testifying that the borrowed funds which are used for
the investment in fixed assets have been brought into line of the state's
or local plan;
4) arrangement for the use and repayment of the funds borrowed by the
domestic enterprise;
5) feasibility report of such domestic enterprise on the project for
investment in fixed assets;
6) a loan agreement signed between the bond issuer and the borrower.
Article 8
If the issuance of bonds is entrusted by a domestic institution, the
following documents and materials shall be provided upon application by
the entrusted institution and the local exchange control authority
respectively:
1) bonds agreement signed between the entrusting and entrusted
institutions, being submitted by the entrusted party;
2) relevant documents and materials submitted by the entrusted
institution according to these Provisions;
3) examination reports on issuing bonds in entrusting and entrusted
ways, which shall be presented respectively by the local exchange control
authorities where the entrusting and entrusted institutions are located,
in light of relevant provisions of the State Administration of Exchange
Control.
Article 9
If in need of application for grading, the institution which issues
bonds abroad for the first time, shall present the exchange control
authority a written application with materials concerning the name of the
institution for grading, materials useful for grading, grading procedures,
etc. the issuing institution shall not apply for grading abroad until the
approval is given, The issuing institution shall make a report on the
grading results to the exchange control authority within 3 days after the
grading. The head office of the People's Bank of China shall, in light of
the results of grading, decide to approve its issue of bonds or not. In
need of another grading, the institution shall give a report on the
results and reasons of the grading to the exchange control authority if
the results of grading differ from that of the last time.
Article 10
If the bonds are issued for the need of its own operation of the
issuing institution, such funds raised shall be used for the purpose as
approved, and the issuing institution shall take the full responsibility
of paying off the principal and interest of bonds.

Article 11
In case the issue of bonds is entrusted by a local government, the
raised funds shall be used for the projects arranged by the local
government, and the repayment of principal plus interest is brought into
line with the local plan for the expenditure of foreign exchange. The
local government shall be responsible for the repayment.
Article 12
If the issue of bonds is entrusted by the State, the raised funds
shall be used according to the State arrangements and the repayment of the
principal and interests is brought into line with the State plan for the
expenses of foreign exchange, The State shall undertake the responsibility
of the repayment.
Article 13
The bond issuing institution shall report the conditions of the
issuing to the exchange control authority, the same day on which bonds are
issued and file the documents and materials concerning the issue
(including the directions for the issuing of bonds, etc.) with the
exchange control authority within 20 days after the issue.
Article 14
If the bonds are to be marketed in a financial market other than the
place in which the bonds are issued after the issuance, the issuing
institution shall in advance report it to the exchange control authority
for the record, and shall provide a report to the exchange control
authority at any time when there are any changes in price after the bonds
went on the market.
Article 15
After the bonds are issued, the issuing institution shall, in the
light of requirement of the exchange control authority, submit quarterly
the reports concerning the use of the funds, operation of the investment
and loan project and the repayment of the funds. If the purpose of the
using the funds is necessary to be changed, the issuing institution shall
obtain the consent from the exchange control authority in advance.
Article 16
The exchange control authority has the right to examine the use and
repayment of the funds, and the issuing institution shall cooperate with
the exchange control authority, presenting relevant documents and
materials.

Article 17
In case of violation of these Provisions, the exchange control
authority may make the punishment of disciplinary warning, fining and even
canceling the qualification for issuing bonds according to the seriousness
of the case.
Article 18
The authority to interpret these Provisions resides in the State
Administration of Exchange Control.






1987年9月28日
广东省广州市人民政府


关于加强旅馆业单位安全管理的决定

广州市人民政府令第43号


《关于加强旅馆业单位安全管理的决定》已经2010年10月18日市政府第13届125次常务会议讨论通过，现予以公布，自公布之日起施行。

市长 万庆良
二○一○年十月二十六日

关于加强旅馆业单位安全管理的决定

为确保第16届亚洲运动会、广州2010年亚洲残疾人运动会（以下简称亚运会、亚残运会）的顺利举行，根据《广州市人民代表大会常务委员会关于保障亚运会和亚残运会筹备和举办工作的决定》以及《广州市人民代表大会常务委员会关于加强亚运会筹备和举办期间安全保卫工作的决定》，市人民政府决定，在亚运会、亚残运会筹备和举办期间，对本市旅馆业单位采取安全管理措施。有关事项如下：

一、本决定所称旅馆业单位，包括：

（一）在本市行政区域内经营接待旅客住宿的旅店、旅馆、旅社、饭店、酒店、宾馆、大厦、招待所、度假村、山庄、疗养院、会所、接待站等；

（二）在本市行政区域内经营提供留宿服务并已取得旅馆特种行业许可证的桑拿按摩沐足场所。

二、旅馆业单位应当按照下列规定，严格落实住宿登记制度：

（一）旅馆业单位应当安装使用广东省旅馆业治安管理信息系统；

（二）旅馆业单位应当登记旅客的有效身份证件信息。未携带有效身份证件的旅客，应当到旅馆业单位所在地辖区派出所开具相关身份证明；

（三）旅馆业单位应当如实、实时、实数将旅客身份信息录入广东省旅馆业治安管理信息系统，并传送到公安机关；

（四）旅馆业单位应当设立楼层服务台，保证1名服务员24小时值班，负责核查旅客是否履行住宿登记手续。

三、旅馆业单位应当严格落实来访登记制度。旅馆业单位应当在大堂设立独立的来访接待点，供旅客接待来访人员；确因客观条件限制无法设定来访接待点需在客房接待来访人员的，旅馆业单位应当征得旅客同意，并按住宿登记规定，如实登记来访人员的身份信息，录入旅馆业治安管理信息系统，传送到公安机关。

四、旅馆业单位应当按照下列规定，严格落实内部安全防范工作：

（一）旅馆业单位应当制定突发事件应急处置预案，并落实副总经理以上管理人员24小时值班制度；

（二）旅馆业单位应当加强客房楼层、人员密集部位以及配电间、电梯机房、饮用水箱、换气风道口、应急疏散通道等重点部位的巡查；

（三）旅馆业单位应当在大厅、通道、出入口等重要部位按照省级以上公安机关制定的标准安装视频监控等安全技术防范设施，监控录像资料留存30日备查；

（四）旅馆业单位应当在旅馆每一个入口配备2名安全检查人员和1套安全检查设备（通过式金属探测门或者手持式金属探测器），对进入旅馆内的人员、物品、车辆实施安全检查。旅馆业单位对需要寄存物品的，应当要求寄存人开包（箱）接受检查。非在本单位住宿的旅客的行李物品一律不得寄存。拒绝接受安全检查或者开包（箱）检查的，旅馆业单位应当阻止其进入或者寄存物品。

五、旅馆业单位工作人员发现犯罪嫌疑人员或者被公安机关通缉的人员的，应当立即报告公安机关；发现旅客、来访人员携带枪支弹药、管制器具、毒品、非法宣传品等违禁物品，或者爆炸性、毒害性、放射性、腐蚀性等危险物品的，应当予以制止，并立即报告公安机关。

六、旅客、来访人员应当自觉配合旅馆业单位开展住宿登记。对拒绝住宿登记的旅客、来访人员，旅馆业单位应当拒绝其入住（进入）。对在桑拿按摩沐足场所中临时决定住宿，但拒绝住宿登记的人员，场所可以向公安机关报告，由公安机关对该类人员进行审查。

七、违反本决定第二条第（三）项规定，旅馆业单位不按规定录入、上传住宿人员信息的，依照《中华人民共和国治安管理处罚法》第五十四条第三款的规定，由县级以上公安机关吊销旅馆特种行业许可证。

八、违反本决定第四条第（三）项规定，旅馆业单位不落实安全技术防范设施的，按以下规定处理：

（一）对非星级旅馆依照《广东省旅馆业治安管理规定》第十九条的规定，责令限期改正；逾期不改正的，处以2万元罚款；

（二）对星级旅馆依照《广东省安全技术防范管理条例》第二十八条的规定，给予警告，并责令限期改正；逾期不改正的，对单位处以3万元罚款；造成严重后果的，对单位处以10万元罚款，对单位直接负责的主管人员和其他直接责任人员处以1万元罚款。

九、违反本决定第五条规定，旅馆业单位有下列行为之一的，由县级以上公安机关按以下规定处理：

（一）明知住宿的旅客是犯罪嫌疑人员或者被公安机关通缉的人员，不向公安机关报告的，对旅馆业单位处以2万元罚款；对直接责任人员处以500元罚款，并依照《中华人民共和国治安管理处罚法》第五十六条的规定处5日行政拘留；

（二）明知住宿的旅客、来访人员将违禁物品或者危险物品带入旅馆，不予制止的，对旅馆业单位处以2万元罚款，对直接责任人员处以500元罚款；

十、旅馆业单位的经营管理人员违反安全规定，致使该场所存在发生安全事故的危险，经公安机关责令改正，拒不改正的，依照《中华人民共和国治安管理处罚法》第三十九条的规定，处5日行政拘留。

十一、违反本决定规定，旅馆业单位有下列行为之一的，由县级以上公安机关责令限期改正，逾期不改正的，处以2万元罚款：

（一）违反本决定第二条第（四）项规定，不设立楼层服务台并安排服务员24小时值班的，或者不履行旅客住宿登记手续核查义务的；

（二）违反本决定第四条第（四）项规定，不配备安全检查人员、安全检查设备或者不履行安全检查义务的。

十二、本决定自2010年10月26日至2010年12月31日施行。