处方管理办法(试行)(废止)
卫生部、国家中医药管理局
处方管理办法(试行)
卫医发〔2004〕269号
关于印发《处方管理办法(试行)》的通知
各省、自治区、直辖市卫生厅局,中医药管理局,新疆生产建设兵团卫生局:
为加强处方开具、调剂、使用、保存的规范化管理,提高处方质量,促进合理用药,保障患者用药安全,依据《执业医师法》、《药品管理法》、《医疗机构管理条例》等有关法律、法规,卫生部和国家中医药管理局制定了《处方管理办法(试行)》,现印发给你们,请遵照执行。
二○○四年八月十日
处方管理办法(试行)
第一条 为加强处方开具、调剂、使用、保存的规范化管理,提高处方质量,促进合理用药,保障患者用药安全,依据《执业医师法》、《药品管理法》、《医疗机构管理条例》等有关法律、法规,制定本办法。
第二条 本办法适用于开具、审核、调剂、保管处方的相应机构和人员。
第三条 处方是由注册的执业医师和执业助理医师(以下简称“医师”)在诊疗活动中为患者开具的、由药学专业技术人员审核、调配、核对,并作为发药凭证的医疗用药的医疗文书。
第四条 处方药必须凭医师处方销售、调剂和使用。
医师处方和药学专业技术人员调剂处方应当遵循安全、有效、经济的原则,并注意保护患者的隐私权。
第五条 经注册的执业医师在执业地点取得相应的处方权。
经注册的执业助理医师开具的处方须经所在执业地点执业医师签字或加盖专用签章后方有效。
经注册的执业助理医师在乡、民族乡、镇的医疗、预防、保健机构执业,在注册的执业地点取得相应的处方权。
试用期的医师开具处方,须经所在医疗、预防、保健机构有处方权的执业医师审核、并签名或加盖专用签章后方有效。
医师须在注册的医疗、预防、保健机构签名留样及专用签章备案后方可开具处方。
医师被责令暂停执业、被责令离岗培训期间或被注销、吊销执业证书后,其处方权即被取消。
第六条医师应当根据医疗、预防、保健需要,按照诊疗规范、药品说明书中的药品适应证、药理作用、用法、用量、禁忌、不良反应和注意事项等开具处方。
开具麻醉药品、精神药品、医疗用毒性药品、放射性药品的处方须严格遵守有关法律、法规和规章的规定。
第七条 处方为开具当日有效。特殊情况下需延长有效期的,由开具处方的医师注明有效期限,但有效期最长不得超过3天。
第八条 处方格式由三部分组成:
(一)前记:包括医疗、预防、保健机构名称,处方编号,费别、患者姓名、性别、年龄、门诊或住院病历号,科别或病室和床位号、临床诊断、开具日期等,并可添列专科要求的项目。
(二)正文:以Rp或R(拉丁文Recipe “请取”的缩写 )标示,分列药品名称、规格、数量、用法用量。
(三)后记:医师签名和/或加盖专用签章,药品金额以及审核、调配、核对、发药的药学专业技术人员签名。
第九条 处方由各医疗机构按规定的格式统一印制。麻醉药品处方、急诊处方、儿科处方、普通处方的印刷用纸应分别为淡红色、淡黄色、淡绿色、白色。并在处方右上角以文字注明。
第十条 处方书写必须符合下列规则:
(一)处方记载的患者一般项目应清晰、完整,并与病历记载相一致。
(二)每张处方只限于一名患者的用药。
(三)处方字迹应当清楚,不得涂改。如有修改,必须在修改处签名及注明修改日期。
(四)处方一律用规范的中文或英文名称书写。医疗、预防、保健机构或医师、药师不得自行编制药品缩写名或用代号。书写药品名称、剂量、规格、用法、用量要准确规范,不得使用“遵医嘱”、“自用”等含糊不清字句。
(五)年龄必须写实足年龄,婴幼儿写日、月龄。必要时,婴幼儿要注明体重。西药、中成药、中药饮片要分别开具处方。
(六)西药、中成药处方,每一种药品须另起一行。每张处方不得超过五种药品。
(七)中药饮片处方的书写,可按君、臣、佐、使的顺序排列;药物调剂、煎煮的特殊要求注明在药品之后上方,并加括号,如布包、先煎、后下等;对药物的产地、炮制有特殊要求,应在药名之前写出。
(八)用量。一般应按照药品说明书中的常用剂量使用,特殊情况需超剂量使用时,应注明原因并再次签名。
(九)为便于药学专业技术人员审核处方,医师开具处方时,除特殊情况外必须注明临床诊断。
(十)开具处方后的空白处应划一斜线,以示处方完毕。
(十一)处方医师的签名式样和专用签章必须与在药学部门留样备查的式样相一致,不得任意改动,否则应重新登记留样备案。
第十一条 药品名称以《中华人民共和国药典》收载或药典委员会公布的《中国药品通用名称》或经国家批准的专利药品名为准。如无收载,可采用通用名或商品名。药名简写或缩写必须为国内通用写法。
中成药和医院制剂品名的书写应当与正式批准的名称一致。
第十二条 药品剂量与数量一律用阿拉伯数字书写。剂量应当使用公制单位:重量以克(g)、毫克(mg)、微克(μg)、纳克(ng)为单位;容量以升(l)、毫升(ml)为单位;国际单位(IU)、单位(U)计算。片剂、丸剂、胶囊剂、冲剂分别以片、丸、粒、袋为单位;溶液剂以支、瓶为单位;软膏及霜剂以支、盒为单位;注射剂以支、瓶为单位,应注明含量;饮片以剂或付为单位。
第十三条 处方一般不得超过7日用量;急诊处方一般不得超过3日用量;对于某些慢性病、老年病或特殊情况,处方用量可适当延长,但医师必须注明理由。
麻醉药品、精神药品、医疗用毒性药品、放射性药品的处方用量应当严格执行国家有关规定。开具麻醉药品处方时,应有病历记录。
第十四条 医师利用计算机开具普通处方时,需同时打印纸质处方,其格式与手写处方一致,打印的处方经签名后有效。药学专业技术人员核发药品时,必须核对打印处方无误后发给药品,并将打印处方收存备查。
第十五条 药学专业技术人员应按操作规程调剂处方药品:认真审核处方,准确调配药品,正确书写药袋或粘贴标签,包装;向患者交付处方药品时,应当对患者进行用药交待与指导。
第十六条 药学专业技术人员须凭医师处方调剂处方药品,非经医师处方不得调剂。
第十七条 取得药学专业技术资格人员方可从事处方调剂、调配工作。非药学专业技术人员不得从事处方调剂、调配工作。
具有药师以上药学专业技术职务任职资格的人员负责处方审核、评估、核对、发药以及安全用药指导。药士从事处方调配工作;确因工作需要,经培训考核合格后,也可以承担相应的药品调剂工作。
药学专业技术人员签名式样应在本机构药学部门或药品零售企业留样备查。
药学专业技术人员停止在医疗、预防、保健机构或药品零售企业执业时,其处方调剂权即被取消。
第十八条 药学专业技术人员应当认真逐项检查处方前记、正文和后记书写是否清晰、完整,并确认处方的合法性。
第十九条 药学专业技术人员应当对处方用药适宜性进行审核。包括下列内容:
(一)对规定必须做皮试的药物,处方医师是否注明过敏试验及结果的判定;
(二)处方用药与临床诊断的相符性;
(三)剂量、用法;
(四)剂型与给药途径;
(五)是否有重复给药现象;
(六)是否有潜在临床意义的药物相互作用和配伍禁忌。
第二十条 药学专业技术人员经处方审核后,认为存在用药安全问题时,应告知处方医师,请其确认或重新开具处方,并记录在处方调剂问题专用记录表上,经办药学专业技术人员应当签名,同时注明时间。
药学专业技术人员发现药品滥用和用药失误,应拒绝调剂,并及时告知处方医师,但不得擅自更改或者配发代用药品。
对于发生严重药品滥用和用药失误的处方,药学专业技术人员应当按有关规定报告。
第二十一条 药学专业技术人员调剂处方时必须做到“四查十对”。查处方,对科别、姓名、年龄;查药品,对药名、规格、数量、标签;查配伍禁忌,对药品性状、用法用量;查用药合理性,对临床诊断。
发出的药品应注明患者姓名和药品名称、用法、用量。
发出药品时应按药品说明书或处方医嘱,向患者或其家属进行相应的用药交待与指导,包括每种药品的用法、用量、注意事项等。
第二十二条 药学专业技术人员在完成处方调剂后,应当在处方上签名。
第二十三条 药学专业技术人员对于不规范处方或不能判定其合法性的处方,不得调剂。
第二十四条 处方由调剂、出售处方药品的医疗、预防、保健机构或药品零售企业妥善保存。普通处方、急诊处方、儿科处方保存1年,医疗用毒性药品、精神药品及戒毒药品处方保留2年,麻醉药品处方保留3年。
处方保存期满后,经医疗、预防、保健机构或药品零售企业主管领导批准、登记备案,方可销毁。
第二十五条 除医疗用毒性药品、精神药品、麻醉药品及戒毒药品外,任何医疗、预防、保健机构不得限制就诊人员持处方到其他医疗、预防、保健机构或药品零售企业购药。
第二十六条 本办法所称药学专业技术人员包括医疗、预防、保健机构和药品零售企业的、具有相应药学专业技术职务任职资格和资质的人员。
第二十七条 本办法由卫生部、国家中医药管理局负责解释。
第二十八条 本办法自2004年9月1日起施行。各医疗机构原印制的处方与本办法不符的,可以使用到2004年12月31日。
上海外资金融机构、中外合资金融机构管理办法(附英文)
人民银行
上海外资金融机构、中外合资金融机构管理办法(附英文)
人民银行
一九九0年九月七日国务院批准
第一章 总则
第一条 为了适应上海市对外开放和经济发展的需要,加强和完善外资金融机构、中外合资金融机构的管理,制定本办法。
第二条 本办法所称外资金融机构、中外合资金融机构是指依照本办法和中华人民共和国其他法律、法规的规定,经批准设立、登记注册和营业的下列机构:
(一)总行设在上海市的外国资本的银行(以下简称外资银行);
(二)外国资本的银行在上海市设立的分行(以下简称外资银行分行);
(三)外国资本的金融机构同中国资本的金融机构在上海市合资经营的银行(以下简称合资银行);
(四)外国资本的金融机构同中国资本的金融机构在上海市合资经营的财务公司(以下简称合资财务公司)。
第三条 外资金融机构、中外合资金融机构必须遵守中华人民共和国的法律、法规,其正当业务活动和合法权益受中华人民共和国法律保护。
第四条 中国人民银行是审批、管理和监督外资金融机构、中外合资金融机构的主管机关;中国人民银行授权上海市分行对外资金融机构、中外合资金融机构进行日常管理和监督。
第二章 设立与登记
第五条 申请设立外资银行应当具备下列条件:
(一)投资者为金融机构;
(二)在中国境内已经设立代表机构三年以上;
(三)申请设立外资银行前一年年末资产总额在一百亿美元以上。
第六条 申请设立外资银行分行应当具备下列条件:
(一)在中国境内已经设立代表机构三年以上;
(二)申请设立外资银行分行前一年年末资产总额在二百亿美元以上;
(三)其所在国或者地区有完善的金融监管制度。
第七条 申请设立合资银行、合资财务公司应当具备下列条件:
(一)合资各方均为金融机构;
(二)外方投资者在中国境内设有代表机构。
第八条 设立外资银行,应当由投资者向中国人民银行提出申请,并提交下列证件、资料:
(一)设立外资银行的申请书,其内容包括:拟设银行的名称,注册资本和实收资本额,申请经营的业务种类等;
(二)可行性研究报告;
(三)最近三年的资产、负债状况的报告及有关证明文件;
(四)拟设银行的章程草案;
(五)所在国或者地区有关主管当局核发给投资者的营业执照(副本);
(六)中国人民银行要求提交的其他证件、资料。
第九条 设立外资银行分行,应当由其总行向中国人民银行提出申请,并提交下列证件、资料:
(一)由董事长或者总经理签署的申请书,其内容包括:拟设分行的名称,总行拨给的营运资金数额,申请经营的业务种类等;
(二)最近三年的年报;
(三)所在国或者地区有关主管当局核发给申请设立分行的银行的营业执照(副本);
(四)中国人民银行要求提交的其他证件、资料。
第十条 设立合资银行或者合资财务公司,应当由合资各方共同向中国人民银行提出申请,并提交下列证件、资料:
(一)设立合资机构的申请书,其内容包括:拟设合资机构的名称,合资各方名称,注册资本和实收资本额,合资各方出资比例,申请经营的业务种类等;
(二)合资各方共同编制的可行性研究报告;
(三)由合资各方授权代表草签的合资经营协议、合同以及拟设机构的章程草案;
(四)合资各方最近三年的资产、负债状况的报告及有关证明文件;
(五)所在国或者地区有关主管当局核发给合资各方的营业执照(副本);
(六)中国人民银行要求提交的其他证件、资料。
第十一条 本办法第八、九、十条中所列证件、资料,除年报外,凡用外文书写的,均须附具中文译本。
第十二条 设立申请经中国人民银行审查同意后,发给申请者正式申请表。
正式申请表填写后,向中国人民银行提出正式申请,申请文件包括:
(一)由申请者法定代表或者授权代表签字的正式申请表(一式三份);
(二)拟设机构主要负责人名单和简历;
(三)对拟任该机构主要负责人的授权书;
(四)设立外资银行分行的,其总行对该分行承担税务、债务的责任担保书;
(五)其他资料。
第十三条 外资金融机构、中外合资金融机构应当在接到中国人民银行批准证书后三十天内,依照中华人民共和国有关法律、法规规定,向工商行政管理机关办理登记注册,领取营业执照,并应当依法自开业之日起三十天内向税务机关办理税务登记。
第十四条 已经批准的外资金融机构、中外合资金融机构应当在领取营业执照后,向国家外汇管理局申领《经营外汇业务许可证》。
第十五条 已经批准的外资金融机构、中外合资金融机构自接到中国人民银行批准证书之日起十二个月内未营业者,原批准文件自动失效。
第十六条 外资金融机构、中外合资金融机构有下列情况之一的,须经中国人民银行核准:
(一)投资股本的调整、转让;
(二)变更营业场所;
(三)更换董事长(副董事长)、行长(副行长)、总经理(副总经理)、分行长(副分行长);
(四)在境外设立分支机构。
第三章 注册资本和营运资金
第十七条 外资银行、合资银行的最低注册资本为三千万美元等值的自由兑换货币,合资财务公司的最低注册资本为二千万美元等值的自由兑换货币;其实收资本均不得低于其注册资本的50%。
外资银行分行应当由其总行专门拨给不少于一千万美元等值的自由兑换货币的营运资金。
第十八条 外资金融机构、中外合资金融机构应当在接到中国人民银行批准证书之后三十天内,筹足其实收资本或者营运资金,由中国注册会计师验证并出具证明。
第十九条 外资银行、合资银行、合资财务公司须每年从其税后净利润中提取25%的资金补充资本金,直至其实收资本加储备金的总额达到其注册资本的二倍。
外资银行分行须每年将税后净利润的25%保留在中国境内,用以补充营运资金,直至该保留盈利等于该行营运资金。
第四章 业务范围
第二十条 根据申请,中国人民银行批准外资银行、合资银行、外资银行分行经营下列业务的部分或者全部:
(一)外币存款;
(二)外币放款;
(三)外币票据贴现;
(四)外币投资;
(五)外币汇款;
(六)外汇担保;
(七)进出口结算;
(八)自营或者代客买卖外汇;
(九)外币有价证券买卖;
(十)代理外币及外币票据兑换;
(十一)代理外币信用卡付款;
(十二)保管及保管箱;
(十三)资信调查和咨询;
(十四)经批准的其他业务。
第二十一条 根据申请,中国人民银行批准合资财务公司经营下列业务的部分或者全部:
(一)外币放款;
(二)外币票据贴现;
(三)外币投资;
(四)外汇担保;
(五)外币有价证券买卖;
(六)资信调查和咨询;
(七)外币信托;
(八)每笔不少于十万美元、期限为三个月以上的外币存款;
(九)经批准的其他业务。
第二十二条 本章所称外币存款是指以外币表示的下列存款:
(一)境内外同业存款;
(二)境外的非同业存款;
(三)中国境内的外国人的存款;
(四)华侨和香港、澳门、台湾同胞的存款;
(五)外商投资企业存款;
(六)外资金融机构、中外合资金融机构对非外商投资企业贷款的转存款;
(七)经批准的其他存款。
第二十三条 外资银行、合资银行、外资银行分行在办理进出口结算业务时,服务对象为境内外商投资企业和有进出口经营权的非外商投资企业。但办理非外商投资企业的进口结算业务的,该项进口所需资金应当来自本银行的贷款。
第五章 业务管理
第二十四条 外资金融机构、中外合资金融机构经营存款业务,应当向中国人民银行上海市分行缴存存款准备金,其比率由中国人民银行制定,并根据需要进行调整。存款准备金不计利息。
第二十五条 外资金融机构、中外合资金融机构对一个企业及其关联企业的放款,不得超过其实收资本加储备金总额的30%,但经中国人民银行特许的除外。
第二十六条 外资金融机构、中外合资金融机构的投资总额不得超过其实收资本加储备金额的30%,但经中国人民银行批准投资于金融企业的除外。
第二十七条 外资金融机构、中外合资金融机构的总资产不得超过其实收资本加储备金总额的二十倍。
第二十八条 外资银行分行的营运资金的30%应当以中国人民银行指定的生息资产形式存在,包括在中国人民银行指定的银行存款等。
第二十九条 外资金融机构、中外合资金融机构的房地产不得超过其实收资本加储备金总额的25%,其他固定资产不得超过其实收资本加储备金总额的15%。
第三十条 外资金融机构、中外合资金融机构应当确保其资产的流动性。
第三十一条 外资金融机构、中外合资金融机构从中国境内吸收的存款不得超过该机构在中国境内的总资产的40%。
第三十二条 外资金融机构、中外合资金融机构应当按规定保留适当的呆帐准备金。
第三十三条 外资金融机构、中外合资金融机构的外币存、放款利率及各种手续费率,通过同业公会协商确定或者参照国际市场行情制定,报中国人民银行上海市分行核准。
第三十四条 外资金融机构、中外合资金融机构依法纳税后的利润,应当按照规定提取储备基金、职工奖励基金、福利基金和企业发展基金。
第三十五条 外资金融机构、中外合资金融机构应当至少聘用一名中国公民为高层管理人员。
外资金融机构、中外合资金融机构的高层管理人员不得兼任其他经济组织的重要职务。
第三十六条 外资金融机构、中外合资金融机构应当固定聘用中国注册会计师,并经中国人民银行上海市分行认可。
第六章 监督检查
第三十七条 外资金融机构、中外合资金融机构应当建立完善的内部稽核制度,增强自我约束的能力。
第三十八条 外资金融机构、中外合资金融机构须按规定向中国人民银行报送财务和业务报表。
第三十九条 中国人民银行及其上海市分行有权检查、稽核外资金融机构、中外合资金融机构的业务和财务状况。
第七章 解散与清算
第四十条 外资金融机构、中外合资金融机构自行终止业务活动,须在终止前三十天以书面形式向中国人民银行提出申请,经中国人民银行批准后予以解散并进行清算。
第四十一条 外资金融机构、中外合资金融机构无力偿付其债务的,中国人民银行可令其停业,限期清理。在清理期限内,已恢复偿付能力的机构,需要复业的,须向中国人民银行提出申请。
第四十二条 自行终止业务活动和依法被停业的外资金融机构、中外合资金融机构,其解散和清算事项,须按照中华人民共和国有关规定办理。
第四十三条 外资金融机构、中外合资金融机构进行清理,须在依法缴清税款和清偿全部债务后,方可退还股本、分配股利。
第四十四条 外资金融机构、中外合资金融机构清算完毕,应当在规定期限内向原登记机关办理注销登记。
第八章 罚则
第四十五条 违反本办法第二章规定,擅自设立外资金融机构、中外合资金融机构的,中国人民银行有权责令其停业,没收其非法所得,处以五万元以上、十万元以下人民币等值外汇的罚款。
第四十六条 外资金融机构、中外合资金融机构违反本办法第四章规定,超越批准业务范围从事经营的,中国人民银行及其上海市分行有权责令其停止所超越部分的经营活动,依法没收其超越部分的非法所得,处以一万元以上、五万元以下人民币等值外汇的罚款。
第四十七条 外资金融机构、中外合资金融机构违反本办法第五章规定,中国人民银行及其上海市分行有权责令其纠正、调整或者补足,并根据情节处以五千元以上、三万元以下人民币等值外汇的罚款。
第四十八条 外资金融机构、中外合资金融机构违反本办法第六章规定,未按期报送报表或者抗拒监督检查的,中国人民银行及其上海市分行可视其情节给予警告、通报或者处以三千元以上、一万元以下人民币等值外汇的罚款。
第四十九条 外资金融机构、中外合资金融机构违反本办法,情节严重的,中国人民银行可责令其停业直至撤销机构。
外资金融机构、中外合资金融机构违反其他法律、法规的,由有关主管机关依法予以处罚。
第九章 附则
第五十条 本办法对华侨资本和香港、澳门、台湾地区资本的金融机构,比照适用。
第五十一条 本办法发布施行前,已在上海市的外资银行分行,应当依照本办法的规定补办设立和登记手续;不符合本办法有关规定的,由中国人民银行上海市分行指定期限令其调整。
第五十二条 本办法由中国人民银行负责解释。中国人民银行可以根据本办法制定具体规定。
第五十三条 本办法自发布之日起施行。(附英文)
MEASURES FOR THE ADMINISTRATION OF FOREIGN-CAPITAL FINANCIALINSTITUTIONS AND CHINESE-FOREIGN EQUITY JOINT FINANCIAL INSTITUTIONS INTHE SHANGHAI MUNICIPALITY
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
MEASURES FOR THE ADMINISTRATION OF FOREIGN-CAPITAL FINANCIAL
INSTITUTIONS AND CHINESE-FOREIGN EQUITY JOINT FINANCIAL INSTITUTIONS IN
THE SHANGHAI MUNICIPALITY
(Approved by the State Council on September 7, 1990 and promul-
gated by Decree No. 2 of the People's Bank of China on September 8, 1990)
Chapter I General Provisions
Article 1
These Measures are formulated for the purpose of meeting the needs of
opening to the outside world and the economic development of the Shanghai
Municipality, strengthening and perfecting the administration of foreign-
capital financial institutions and Chinese-foreign equity joint financial
institutions.
Article 2
The term "foreign-capital financial institutions and Chinese-foreign
equity joint financial institutions", referred to in these Measures,
denotes the following institutions which are established with approval and
registered to engage in business operations in accordance with these
Measures and with the pertinent provisions of other laws and regulations
of the People's Republic of China:
1) foreign-capital banks with their head offices established in the
Shanghai Municipality (hereinafter referred to as "foreign bank");
2) branches of foreign banks established in the Shanghai Municipality
(hereinafter referred to as "foreign branch bank");
3) banks established in the Shanghai Municipality with joint capital and
operation by foreign financial institutions and Chinese financial
institutions (hereinafter referred to as "joint bank"); and
4) financial companies established in the Shanghai Municipality with joint
capital and operation by foreign financial institutions and Chinese
financial institutions (hereinafter referred to as "joint financial
company").
Article 3
Foreign-capital financial institutions and Chinese-foreign equity joint
financial institutions shall abide by the laws and regulations of the
People's Republic of China and their legitimate business activities and
lawful rights and interests shall be protected by Chinese laws.
Article 4
The People's Bank of China is the competent authority in charge of
examining and approving, administering, and supervising foreign-capital
financial institutions and Chinese-foreign equity joint financial
institutions. The People's Bank of China authorizes its Shanghai Branch to
exercise day-to-day administration and supervision of foreign-capital
financial institutions and Chinese-foreign equity joint financial
institutions.
Chapter II Establishment and Registration
Article 5
Any party applying for the approval to set up a foreign bank shall satisfy
the following requirements:
1) the investor is a financial institution;
2) the applicant has a representative office of more than three years'
standing inside China; and
3) the applicant possesses total assets of more than US$ 10 billion at the
end of the year prior to the submission of such an application.
Article 6
Any party applying for the approval to set up a foreign branch bank shall
satisfy the following requirements:
1) the applicant has a representative office of more than three years'
standing inside China;
2) the applicant possesses total assets of more than US$ 20 billion at the
end of the year prior to the submission of such an application; and
3) in the home country or region of the applicant, there is a sound system
for financial administration and supervision.
Article 7
Parties applying for the approval to set up a joint bank or a joint
financial company shall satisfy the following requirements:
1) each investing party to a joint bank or joint financial company is a
financial institution; and
2) the foreign investor has a representative office inside China.
Article 8
For a foreign bank to be set up, the foreign investor shall apply to the
People's Bank of China and submit the following documents and data:
1) an application for the establishment thereof, which shall include the
name of the intended bank, the registered capital and the amount of the
paid-in capital, and the types of business operations the bank intends to
engage in;
2) a feasibility study report;
3) the statements of assets and liabilities of the investor during the
three successive years prior to the submission of such an application,
together with the relevant certifying documents;
4) the draft articles of association of the intended bank;
5) a copy of the business licence of the investor approved and issued by
the competent authority concerned in the home country or region of the
investor; and
6) other documents and data as required by the People's Bank of China.
Article 9
For a foreign branch bank to be set up, the head office of the foreign
bank concerned shall apply to the People's Bank of China and submit the
following documents and data: 1) an application duly signed by the
chairman of the board of directors or the general manager of the bank,
which shall include the name of the intended branch bank, the amount of
operating funds approved and allocated by the head office, and the types
of business operations the branch bank intends to engage in;
2) annual reports for the three successive years prior to the submission
of such an application;
3) a copy of the business licence of the applying bank approved and issued
by the competent authorities of the home country or region of the applying
bank; and 4) other documents and data as required by the People's Bank of
China.
Article 10
For a joint bank or a joint financial company to be set up, all the
parties thereto shall jointly apply to the People's Bank of China and
submit the following documents and data:
1) an application for the establishment thereof, which shall include the
name of the intended joint financial institution, the name of each
investing party thereto, the registered capital and the amount of the
paid-in capital, the respective percentage of contributions by the
parties, and the types of business operations the joint financial
institution intends to engage in;
2) a feasibility study report jointly prepared by the parties thereto;
3) the agreement, the contract and the draft articles of association of
the joint financial institution initialled by the authorized
representative of each of the parties thereto;
4) the statements of assets and liabilities of each of the parties thereto
during the three successive years prior to the submission of such an
application, together with relevant supporting documents;
5) copies of the respective business licences of all the parties thereto
approved and issued by the competent authorities concerned of the home
country or region of each of the parties; and
6) other documents and data as required by the People's Bank of China.
Article 11
Any of the documents and data prescribed in Articles 8, 9 and 10 of these
Measures, with the exception of the annual reports, if written in a
foreign language, shall be submitted together with a Chinese translation
thereof.
Article 12
After the application for the approval of such establishment has been
examined and approved by the People's Bank of China, an official
application form shall be issued to the applicant(s).
The applicant(s) shall, after filling in the official application form,
formally apply to the People's Bank of China and shall submit the
following documents for the application:
1) the official application form duly signed by the legal
representative(s) of the applicant(s) or the representative(s) authorized
by the applicant(s) (which shall be submitted in triplicate);
2) a list of the principal persons in charge of the institution to be set
up and their respective curriculum vitae;
3) power(s) of attorney for the principal persons in charge of the
institution; 4) where a foreign branch bank is to be set up, letters of
undertaking issued by the head office assuming for its branch office the
obligations for tax payment and debt repayment; and
5) other relevant data.
Article 13
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall, within 30 days of receipt of the certificate
of approval issued by the People's Bank of China, undertake the procedures
of registration for the issuance of business licence with the
administrative department for industry and commerce in accordance with the
pertinent laws and regulations of the People's Republic of China and
shall, within 30 days of commencement of business operations, undertake
the procedures for tax registration with the tax authorities in accordance
with the law.
Article 14
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution whose establishment has been approved shall, after
obtaining the business licence, apply to the State Administration of
Foreign Exchange Control for the approval and issuance of a Licence for
Business Operations in Foreign Exchange.
Article 15
In the event that a foreign-capital financial institution or a Chinese-
foreign equity joint financial institution should fail to commence its
business operations within 12 months of receipt of the certificate of
approval issued by the People's Bank of China, the certificate of approval
shall automatically become null and void.
Article 16
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall apply to the People's Bank of China for
verification and approval in respect of any one of the following items:
1) adjustment and transfer of the investment capital stock;
2) change of the business site;
3) change of the chairman (or the vice-chairman) of the board of
directors, or the president (or the vice-president), the general manager
(or the deputy general manager), or the president (or vice-president) of a
branch office; and
4) establishment of a branch office outside China.
Chapter III Registered Capital and Operating Funds
Article 17
The minimum amount of the registered capital of a foreign bank or a joint
bank shall be freely convertible currencies equivalent to US$ 30 million.
The minimum amount of the registered capital of a joint financial company
shall be freely convertible currencies equivalent to US$ 20 million. Their
respective paid-in capital shall be no less than 50 percent of their
respective registered capital.
A foreign branch bank shall be allocated as its operating funds by its
head office a sum of freely convertible currencies equivalent to not less
than US$ 10 million.
Article 18
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall, within 30 days of receipt of the certificate
of approval issued by the People's Bank of China, raise in full the paid-
in capital operating funds, which shall be verified by a Chinese
registered accountant, who shall, upon verification, issue a certificate
to that effect.
Article 19
Each year, a foreign bank, a joint bank, or a joint financial company
shall allocate 25 percent of its after-tax net profit as supplementary
capital until the total amount of the paid-in capital and reserve funds is
twice that of the registered capital. Each year, a foreign branch bank
shall keep 25 percent of its after-tax net profit inside China to
supplement its operating funds until the kept profit is equal to its
operating funds.
Chapter IV Business Scope
Article 20
The People's Bank of China shall, based on the application submitted to
it, grant permission to a foreign bank, a joint bank, or a foreign branch
bank to engage in part or all of the following business operations:
1) deposits in foreign currencies;
2) loans in foreign currencies;
3) discounts of negotiable instruments in foreign currencies;
4) investments in foreign currencies;
5) remittances in foreign currencies;
6) guarantees of foreign exchange;
7) import and export settlement;
8) buying and selling of foreign exchange on its own account or on
customers' account; 9) buying and selling of securities in foreign
currencies;
10) acting as an agent for the exchange of foreign currencies and for the
cashing of negotiable instruments in foreign currencies;
11) acting as an agent for payments against credit cards in foreign
currencies; 12) custody and safe deposit box services;
13) credit and financial standing investigation and consultancy services;
and 14) other services approved.
Article 21
The People's Bank of China shall, based on the application submitted to
it, grant permission to a joint financial company to engage in part or all
of the following business operations:
1) loans in foreign currencies;
2) discounts of negotiable instruments in foreign currencies;
3) investments in foreign currencies;
4) guarantees of foreign exchange;
5) buying and selling of securities in foreign currencies;
6) credit and financial standing investigations and consultancy services;
7) trust in foreign currencies;
8) deposits in foreign currencies with each deposit amounting to not less
than US$ 100,000 for period of no less than three months; and
9) other services approved.
Article 22
The terms "deposits in foreign currencies" referred to in this Chapter
denotes the following deposits denominated in foreign currencies:
1) interbank deposits inside and outside China;
2) non-interbank deposits outside China;
3) deposits by foreigners inside China;
4) deposits by overseas Chinese and by compatriots from Hong Kong, Macao
and Taiwan; 5) deposits by enterprises with foreign investment;
6) deposits of loans granted by foreign-capital financial institutions or
Chinese-foreign equity joint financial institutions to enterprises other
than those with foreign investment; and
7) other kinds of deposits approved.
Article 23
In handling import and export settlement, foreign banks, joint banks or
foreign branch banks shall offer services only to enterprises with foreign
investment and those enterprises other than those with foreign investment
which are authorized to engage in import and export operations. But with
respect to import settlement with enterprises other than those with
foreign investment, the funds needed for the import in question shall have
come from the loans of the bank which is handling the settlement.
Chapter V Management of Business
Article 24
A foreign-capital institution or a Chinese-foreign equity joint financial
institution which engages in deposit business operations shall place
deposit reserves with the Shanghai Branch of the People's Bank of China.
The ratios of the reserves as against various deposits shall be determined
by the People's Bank of China and shall be adjusted in accordance with the
actual needs. Such deposit reserves shall be interest-free.
Article 25
The total amount of loans which a foreign-capital financial institution or
a Chinese-foreign equity joint financial institution grants to any one
enterprise and its associated enterprises may not exceed 30 percent of the
sum total of its paid-in capital and its total reserves, with the
exception of loans specially approved by the People's Bank of China.
Article 26
The total amount of investments by a foreign-capital financial institution
or by a Chinese-foreign equity joint financial institution may not exceed
30 percent of the sum total of its paid-in capital and its total reserves,
with the exception of investments in financial enterprises approved by the
People's Bank of China.
Article 27
The total assets of a foreign-capital financial institution or of a
Chinese-foreign equity joint financial institution may not exceed 20 times
the sum total of its paid-in capital and its total reserves.
Article 28
30 percent of the operating funds of a foreign branch bank shall be put by
in the form of interest-bearing assets as prescribed by the People's Bank
of China, which shall include depositing the said funds in a bank or banks
designated by the People's Republic of China.
Article 29
Real estate owned by a foreign-capital financial institution or by a
Chinese-foreign equity joint financial institution may not exceed 25
percent of the sum total of its paid-in capital and its total reserves;
its other assets may not exceed 15 percent thereof.
Article 30
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall ensure the mobility of its assets.
Article 31
The total amount of deposits by sources inside China in a foreign-capital
financial institution or in a Chinese-foreign equity joint financial
institution may not exceed 40 percent of its total assets inside China.
Article 32
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall maintain proper reserves for bad debts in
accordance with the relevant provisions.
Article 33
The interest rates of deposits and loans of a foreign-capital financial
institution or of a Chinese-foreign equity joint financial institution and
the various service charges shall be determined by the Bankers'
Association through consultation or be fixed in the light of the
international market and shall be submitted to the Shanghai Branch of the
People's Bank of China for approval.
Article 34
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall, in accordance with the relevant provisions,
draw the reserve fund, the staff bonus fund, the welfare fund and the
enterprise development fund from the profit after tax paid in accordance
with the law.
Article 35
A foreign-capital financial institution or a Chinese-foreign equity joint
financial institution shall engage at least one Chinese citizen as member
of its senior managerial body. The senior managerial personnel of a
foreign-capital financial institution or of a Chinese-foreign equity joint
financial institution may not concurrently hold important positions in any
other economic organizations.
Article 36
A foreign-capital financial institution or a Chinese-foreign equity joint
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