【中英文对照版】受益所有人信息管理办法.docx

中国人民银行、国家市场监督管理总局令(2024)第3号)受益所有人信息管理办法巳经中国人民银行行务会议审议通过和国家市场监督管理总局审签，并经国务院批准，现予发布，自2024年11月1日起施行。中国人民银行行长潘功胜国家市场监督管理总局局长罗文受益所有人信息管理办法AdministrativeMeasuresforBeneficialOwnerInformation制定机关：中国人民推行国东市埼笺督管院总处发文字号：中国人民很行、国案市场益督包理总局令(2024)第3号公布日期:2024.04.29施行日期：2024.11.01效力0阶：部门规章法规美别：公民权利与义务IssuingAulhorilyPeople'sBankofChinaStaleAdministrationforMarkelRegulationDocumentNumberOrderNo,32024of(hePeople'sBankofChinaand(heStateAdministrationforMarketRegulationDateIssued：04-29-2024EffectiveDate：11-0)-20241.eveIofAulhorityDepartmenlalRulesAreaof1.awRightsandObligationsofCitizensOrderofthePeople'sBankofChinaandtheStateAdministrationforMarketRegulation(No.32024)TheAdministrativeMeasuresforBeneficialOwnerInformation,asdeliberatedandadoptedattheexecutivemeetingofthePeople'sBankofChina,examinedandsignedbytheStateAdministrationforMarketRegulation,andapprovedbytheStateCouncil,areherebyissued,andshallcomeintoforceonNovember1,2024.PanGongsheng,GovernorofthePeople'sBankofChina1.uoWen,DirectoroftheStateAdministrationforMarketRegulationApril29,20242024年4月29日AdministrativeMeasuresforBeneficialOwnerInformation受益所有人信息管理办法Article1TheseMeasuresaredevelopedinaccordancewiththerelevantlawsandadministrativeregulationsonanti-moneylaunderingandadministrationofenterpriseregistrationforthepurposesofenhancingmarkettransparency,maintainingthemarketorderandfinancialorder,andpreventingandcurbingmoneylaunderingandfinancingofterrorism.笫一条为提高市场透明度，维护市场秩序、金融秩序，预防和遏制洗钱、恐怖主义融资活动，根据反洗钱和企业登记管理有关法律、行政法规，制定本办法。Article2Thefollowingentities(hereinafterllectivelyreferredtoasttrecordationentities")shallfilebeneficialownerinformationthroughtherelevantregistrationsystemsinaccordancewiththeprovisionsoftheseMeasures:笫二条下列主体（以下统称备案主体）应当根据本办法规定通过相关登记注册系统备案受益所有人信息：(1) Companies.(2) Partnerships.(3) Branchesofforeigncompanies.（一）公司；（二）合伙企业；（三）外国公司分支机构;(4)OtherentitiesprescribedbythePeople'sBankofChina(PBC)andtheStateAdministrationforMarketRegulation(SAMR).（四）中国人民银行、国家市场监督管理总局规定的其他主体。Individualindustrialandcommercialhouseholdsarenotrequiredtofilebeneficialownerinformation.个体工商户无需备案受益所有人信息。Article3Forarecordationentitywitharegistered第三条注册资本（出资额）不超过1000万元人民币（或者等值外币）且股东、合伙人全部为自然人的备案主体，如果不存在股东、合伙人以外的自然人对其实际控制或者从其获取收益，也不存在通过股权、合伙权益以外的方式对其实施控制或者从其获取收益的情形，承诺后免于备案受益所有人信息。capital(orcapitalcontribution)notexceeding10millionyuan(oranequivalentinaforeigncurrency)andwhoseshareholdersandpartnersareallnaturalpersons,ifnonaturalpersonotherthanitsshareholdersandpartnersactuallycontrolstherecordationentityorobtainsbenefitsfromit,andnoonecontrolstherecordationentityorobtainsbenefitsfromitthroughmethodsotherthanequityorpartnershipinterest,therecordationentityshallbeexemptedfromfilingbeneficialownerinformationaftergivingundertakings.第四条国家市场监督管理总局统筹指导相关登记注册系统建设，指导地方登记机关依法开展受益所有人信息备案工作，及时将归集的受益所有人信息推送至中国人民银行。县级以上地方市场监督管理部门督促备案主体及时备案受益所有人信息。Article4TheSAMRshallcoordinateandguidethedevelopmentoftherelevantregistrationsystem,directlocalregistrationauthoritiestofilebeneficialownerinformationinaccordancewiththelaw,andpromptlysendthecollectedbeneficialownerinformationtothePBC.1.ocalmarketregulatorydepartmentsatorabovethecountylevelshallurgerecordationentitiestopromptlyfilebeneficialownerinformation.中国人民银行建立受益所有人信息管理系统，及时接收、保存、处理受益所有人信息。中国人民银行及其分支机构督促备案主体准确备案受益所有人信息。ThePBCshallestablishabeneficialownerinformationmanagementsystemtopromptlyreceive,retain,andprocessbeneficialownerinformation.ThePBCanditsbranchofficesshallurgerecordationentitiestoaccuratelyfilebeneficialownerinformation.第五条中国人民银行及其分支机构为受益所有人信息备案工作提供指导，市场监督管理部门予以配合。Article 5 ThePBCanditsbranchofficesshallprovideguidancefortherecordationofbeneficialownerinformation,andmarketregulatorydepartmentsshallprovidecooperation.第六条符合下列条件之一的自然人为备案主体的受益所有人：Article 6 Anaturalpersonwhomeetsanyofthefollowingconditionsshallbethebeneficialownerofarecordationentity:（一）通过直接方式或者间接方式最终拥有备案主体25%以上股权、股份或者合伙权益；(1) Ultimatelyholding25%ormoreoftheequity,shares,orpartnershipinterestoftherecordationentity,directlyorindirectly.（二）虽未满足第一项标准，但最终享有备案主体25%以上收益权、表决权；(2) Ultimatelyholding25%ormoreoftherighttoearningsorvotingrightsoftherecordationentityalthoughfailingtosatisfythecriteriaspecifiedinsubparagraph(1).（三）虽未满足第一项标准，但单独或者联合对备案主体进行实际控制。(3) Exercisingactualcontrolovertherecordationentityseparatelyorjointlyalthoughfailingtosatisfythecriteriaspecifiedinsubparagraph(1).前款第三项所称实际控制包括但不限于通过协议约定、关系密切的人等方式实施控制，例如决定法定代表人、圭事、监事、高级管理人员或者执行事务合伙人的任免，决定重大经营、管理决策的制定或者执行，决定财务收支，长期实际支配使用重要资产或者主要资金等。Forthepurposeofsubparagraph(3)oftheprecedingparagraph,"actualcontrol"shallincludebutnotbelimitedtoexercisingcontrolthroughagreements,closelyrelatedpersons,andothermethods,suchasdecidingontheappointmentandremovalofthelegalrepresentative,directors,supervisors,seniorexecutives,orexecutivepartners,decidingontheformulationorexecutionofmajoroperationandmanagementdecisions,decidingonfinan