【中英文对照版】国债承销团组建工作管理办法(2023).docx

财政部、中国人民银行、中国 证监会关于修订印发国债承 销团组建工作管理办法的通 知(财库(2023) 24 号)有关金融机构，中央国债登记 结算有限责任公司、中国证券 登记结算有限责任公司、中国 外汇交易中心、上海证券交易 所、深圳证券交易所、北京证 券交易所、中国金融期货交易 所：为了规范国债承销团组建工 作，保障国债顺利发行和国债 市场稳定发展，财政部会同中 国人民银行、中国证监会对国债承销团组建工作管理 办法进行了修订，现予以公国债承销团组建工作管理办法(2023)MeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates(2023)制定机关：财政部中国人民夕艮行中国证券监督管理委员会发文字号：财库202324号公布日期：2023.12.01施行日期：2023.12.01效力位阶：部门规范性文件法规类别：国债管理Issuingauthority：InstrumentalitiesoftheStateCouncil,AMinistriesjMinistryofFinancejAIIBanks1PeopIe1SBankofChina,AllCommissionsjChinaSecuritiesRegulatoryCommissionDocumentNumber：No.242023oftheMinistryofFinanceDateissued：12-01-2023Effectivedate：12-01-20231.evelofAuthority：DepartmentalRegulatoryDocumentsAreaofLaw：FinanceNoticebytheMinistryofFinance,thePeople'sBankofChina,andtheChinaSecuritiesRegulatoryCommissionofRevisingandIssuingtheMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates(No.242023oftheMinistryofFinance)Therelevantfinancialinstitutions;ChinaCentralDepository&ClearingCo.,Ltd.,ChinaSecuritiesDepositoryandClearingCo.,Ltd.,theChinaForeignExchangeTradingSystem,theShanghaiStockExchange,theShenzhenStockExchange,theBeijingStockExchange,andtheChinaFinancialFuturesExchange:Forthepurposesofregulatingtheformationoftreasurybondunderwritingsyndicatesandguaranteeingthesmoothissuanceoftreasurybondsandthestabledevelopmentofthetreasurybondmarket,theMinistryofFinancehas,inconjunctionwiththePannlo1CRanknfPhinoandthoPhinaSecuritiesRegulatoryCommission,revised布。theMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicates,whichareherebyissued.Annex:MeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicatesMinistryofFinanceThePeople'sBankofChinaChinaSecuritiesRegulatoryCommissionDecember1,2023AnnexMeasuresfortheAdministrationofFormationofTreasuryBondUnderwritingSyndicatesChapter I GeneralProvisionsArticle1TheseMeasuresaredevelopedforthepurposesofregulatingtheformationoftreasurybondunderwritingsyndicatesandguaranteeingthesmoothissuanceoftreasurybondsandthestabledevelopmentofthetreasurybondmarket.Article2Treasurybondunderwritingsyndicatesshallbeformedaccordingtothevarietiesoftreasurybonds,includingsavingstreasurybondunderwritingsyndicatesandbook-entrytreasurybondunderwritingsyndicates.附件：国债承销团组建工作管 理办法财政部中国人民银行中国证监会2023年12月1日附件国债承销团组建工作管理办 法第一章总则第一条为了规范国债 承销团组建工作，保障国债顺 利发行和国债市场稳定发展， 制定本办法。第二条国债承销团按 照国债品种组建，包括储蓄国 债承销团和记账式国债承销 团。第三条国债承销团组 建应当遵循公开、公平、公正 的市场化原则。Article3Treasurybondunderwritingsyndicatesshallbeformedunderthemarket-orientedprinciplesofopenness,fairness,andimpartiality.Article4TheMinistryofFinance(uMOFn)shall,inconjunctionwiththePeople,sBankofChina(uPBCn),beresponsiblefororganizingtheformationofsavingstreasurybondunderwritingsyndicates,andshall,inconjunctionwiththePBCandtheChinaSecuritiesRegulatoryCommission(uCSRCn),beresponsiblefororganizingtheformationofbook-entrytreasurybondunderwritingsyndicates.Article5TheMOFshall,inconjunctionwiththerelevantdepartmentsandaccordingtomarketconditionsandtreasurybondissuancetasks,amongothers,determinethetargetnumberofmembersofatreasurybondunderwritingsyndicate.Chapter II Early-StagePreparationArticle 6 TheMOFshall,inconjunctionwiththerelevantdepartments,announcethenoticeontheformationofatreasurybondunderwritingsyndicate("formationnotice)andthemodelmasteragreementontheunderwritingoftreasurybondsinadvance.Theformationnoticeshallincludethetargetnumberofmembers,applicationrequirements,thereviewindicatorsystemandscoringmethods,andothercontent,andshallbeissuednolaterthan15days(inclusive)beforetheapplicationdeadline.ThemodelmasteragreementontheunderwritingoftreasurybondsshallcovertherightsandobligationsoftheMOFandmembersofthetreasurybondunderwritingsyndicate,andothercontent,andshallbeconcurrentlyissuedwiththeformationnotice.第四条财政部会同中 国人民银行负责储蓄国债承 销团组建工作，会同中国人民 银行、中国证监会负责记账式 国债承销团组建工作。第五条财政部会同有 关部门根据市场环境和国债 发行任务等，确定国债承销团 成员的目标数量。第二章前期准备第六条财政部应当会 同有关部门提前公布国债承 销团组建通知（以下称组团通 知）和国债承销主协议范本。组团通知应当包括成员目标 数量、报名要求、评审指标体 系及评分方法等内容，不晚于 报名截止日前15日（含）发 布。国债承销主协议范本应当包 括财政部和国债承销团成员 双方的权利、义务等内容，与 组团通知同时发布。第上冬在细历诵知柳Article 7 BafCrathAnnlicatinndnadlinAaaprescribedintheformationnotice,theMOFshall,inconjunctionwiththePBC,beresponsibleforreceivingtheapplicationmaterialsoffinancialinstitutionsapplyingforparticipatinginasavingstreasurybondunderwritingsyndicate;andtheMOFshallberesponsibleforreceivingtheapplicationmaterialsoffinancialinstitutionsapplyingforparticipatinginabook-entrytreasurybondunderwritingsyndicate.Article 8 TheMOFshallsolicittheopinionsofthePBC5theCSRC,theNationalAdministrationofFinancialRegulation,andotherdepartmentsonthebusinessscope,operations,financialriskstatus,performanceonthefinancialmarket,whetherornotthereisanyrecordofmajorviolationoflawinoperationsinthemostrecentthreeyears,andothermattersofthefinancialinstitutionsapplyingforparticipatinginatreasurybondunderwritingsyndicate(uapplican),andre