中国法律法规中“监管要求”的英文翻译总汇

 

保税区与中华人民共和国境内的其他地区（以下简称非保税区）之间，应当设置符合海关监管要求的隔离设施。

Separation facilities that meet the requirements for Customs supervision and control shall be erected between bonded zones and other areas of the People's Republic of China ("Non-bonded Areas").

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

保险公司合规管理部门应当及时向中国保监会咨询，准确理解和把握监管要求，并反馈公司的意见和建议。

The compliance department of an insurance company shall seek advice from the CIRC to accurately apprehend the supervisory requirements, and feedback the opinions and suggestions of its company.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

(六)根据中国保监会的监管要求，向中国保监会报送股票资产的相关数据，定期和不定期地提供股票资产的风险评估、绩效评估等报告；

(6) submit relevant data regarding stock assets, and provide regular and ad hoc reports on such matters as risk evaluation and performance appraisal regarding stock assets to the CIRC in accordance with the regulatory requirements of the CIRC;

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（四）自营业务资产状况和流动性良好，符合有关监管要求；

(4) the position and liquidity of assets of the business that it operates for its own account are good and comply with relevant regulatory requirements;

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第一条 为指导保险公司和保险资产管理公司加强保险资金运用管理，防范保险资金运用风险，保护被保险人的利益，依据《中华人民共和国保险法》、《保险公司管理规定》等法律、 法规、行政规章和中国保险监督管理委员会（以下简称“中国保监会”）的审慎监管要求，制定本指引。

Article 1: These Guidelines are formulated in order to provide guidance for insurance companies and insurance asset management companies to strengthen management over insurance funds utilizations, take precautions against insurance funds utilization risks, and protect the interests of the insured, in accordance with the PRC Insurance Law, Administration of Insurance Companies Provisions and other laws, regulations and administrative rules, and the requirements of prudence regulation by the China Insurance Regulatory Commission (hereafter, the CIRC).

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(四)   对电子银行业务风险管理情况和业务运营设施与系统等，进行了符合监管要求的安全评估；

(4) it has carried out a security assessment, complying with regulatory requirements, of the management of the risks associated with the electronic banking business and its business operation facilities and systems;

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人民银行现有对传统银行业务的风险监管要求对网上银行业务仍然适用，但应充分认识网上银行业务监管工作的复杂性和艰巨性，突出对技术性风险的监管，督促银行机构加强对网上银行业务运行安全的检查，并加强对网上银行业务监管人员的培训，建立网上银行业务专业监管力量。

Existing PBOC requirements on risk oversight governing traditional banking services shall also apply to online banking services. However, the complexity and formidability of the task of overseeing online banking services need to be fully realized, the oversight of technology related risks needs to be stressed, banking institutions shall be urged to strengthen examinations of the security of their online banking service operations and the training of the personnel overseeing online banking services shall be improved, so as to establish professional capabilities to oversee such services.

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△法律和监管要求变化

△ Change in legal requirements and regulatory requirements

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三、公司还应根据中国证监会审慎监管要求，提交其他相关材料。

3. A Company shall additionally provide other relevant materials in accordance with the CSRC’s prudent regulation requirements.

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第四条　保税港区实行封闭式管理。保税港区与中华人民共和国关境内的其他地区（以下称区外）之间，应当设置符合海关监管要求的卡口、围网、视频监控系统以及海关监管所需的其他设施。

Article 4 The close management shall be implemented to bonded port areas. There shall be checkpoints, fences, video surveillance systems and other facilities meeting the requirements for customs supervision set up between a bonded port area and any other area within the customs territory of the People's Republic of China (hereinafter referred to as the "outer area").

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

区内企业应当应用符合海关监管要求的计算机管理系统，提供供海关查阅数据的终端设备和计算机应用的软件接口，按照海关规定的认证方式和数据标准与海关进行联网，并确保数据真实、准确、有效。

An enterprise within the area shall apply the computer management system meeting the requirements for customs supervision, provide the terminal equipment and computer application software interface for the customs house to consult the data, connect to the network of the customs house according to the authentication methods and data standards prescribed by the customs house, and ensure the truthfulness, accuracy and validity of the data.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第十一条　区内企业应当依照《中华人民共和国会计法》及有关法律、行政法规的规定，规范财务管理，设置符合海关监管要求的账册和报表，记录本企业的财务状况和有关进出保税港区货物、物品的库存、转让、转移、销售、加工和使用等情况，如实填写有关单证、账册，凭合法、有效的凭证记账和核算。

Article 11 An enterprise within the area shall, according to the Accounting Law of the People's Republic of China as well as other relevant laws and administrative regulations, regulate its financial management, set up account books and statements meeting the requirements for customs supervision, record its financial conditions and relevant information on storage, assignment, transfer, sale, processing and use, etc. of the goods and articles entering and exiting the bonded port area, truthfully fill out relevant documents and account books, keep accounts and make accounting upon the strength of lawful and valid vouchers.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

有关储罐、装置、设备等设施应当符合海关的监管要求。通过管道进出保税港区的货物，应当配备计量检测装置和其他便于海关监管的设施、设备。

The relevant storage tanks, devices, equipment and other facilities shall comply with the requirements for customs supervision. Goods that are transported into and out of the bonded port area through pipelines shall be equipped with measuring and testing devices, and other facilities and equipment for the convenience of customs supervision.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

承运保税港区与其他海关特殊监管区域或者保税监管场所之间往来货物的运输工具，应当符合海关监管要求。

The means of transport for carrying the goods circulated between a bonded port area and any other area under special customs supervision or bonded supervision shall conform to the requirements for customs supervision.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

（二）海关保税监管场所内被核查人是否应用符合海关监管要求的计算机管理系统，并与海关实行计算机联网；

(2) Whether the Entity under Verification within the bonded supervision areas of the Customs uses the computer administration system which meets the supervisory requirements of the Customs and conducts computer networking with the Customs; and

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（三）海关保税监管场所经营企业是否设置符合海关监管要求的账簿、报表等。

(3) Whether the enterprises operating the bonded supervision areas of the Customs have established the account books and report forms, etc. which meet the supervisory requirements of the Customs.

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第二十六条海关实施保税核查，发现被核查人存在不符合海关监管要求的，可以采取以下处理方式，并填制《保税核查处理通知书》（见附件2）书面告知被核查人：

Article 26 In the course of implementation of the bonded verification, where the Customs discovers that the Entity under Verification has committed the circumstances which fail to meet the supervisory requirements of the Customs, the Customs may take the following disposal measures and inform the Entity under Verification thereof in writing by filling in the “Notice of Disposal after Bonded Verification” (refer to Annex 2):

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第四条　园区与中华人民共和国境内的其他地区（以下简称区外）之间，应当设置符合海关监管要求的卡口、围网隔离设施、视频监控系统及其他海关监管所需的设施。

Article 4: Checkpoints, fencing facilities and video monitoring systems which meet the requirements of and other facilities necessary for customs supervision shall be set up between the Park and other areas within the territory of the People's Republic of China (hereinafter, the "Out-of-Park Area").

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

园区企业应当建立符合海关监管要求的计算机管理系统，提供供海关查阅数据的终端设备，按照海关规定的认证方式和数据标准与海关进行联网。

An enterprise in the Park shall set up a computerized management system in conformity with the requirements of customs supervision, provide terminal equipment to customs to enable data access by customs, and connect its system with the system of customs in accordance with the authentication method and data standard specified by customs.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第十六条　园区企业应当依照《中华人民共和国会计法》及有关法律、行政法规的规定，规范财务管理，设置符合海关监管要求的账簿、报表，记录本企业的财务状况和有关进出园区货物、物品的库存、转让、转移、销售、简单加工、使用等情况，如实填写有关单证、账册，凭合法、有效的凭证记账和核算。

Article 16: An enterprise in the Park shall, pursuant to the PRC, Accounting Law and the relevant laws and administrative regulations, standardize its financial management, prepare account books and statements in conformity with the requirements of customs supervision, keep records of the financial conditions of the enterprise and the warehousing, assignment, transfer, sale, simple processing and use of the goods and articles that enter or leave the Park, truthfully complete the relevant manifests and account books, and conduct bookkeeping and accounting on the basis of legal and valid documentary proofs.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第四十三条　园区企业需要开展危险化工品和易燃易爆物品存储业务的，应当取得安全生产管理、消防、环保等相关部门的行政许可，并报园区主管海关备案。有关储罐、装置、设备等设施应当符合海关的监管要求。

Article 43: If an enterprise in the Park requires to carry out storage of hazardous chemicals and inflammable and explosive items, it shall obtain administrative licensing from the relevant authorities such as the safe production administration, fire prevention and environmental protection authorities and shall file a record with the Park's competent customs. The related tanks, devices and equipment shall meet the supervision requirements of customs.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第四条  加工区与中华人民共和国境内的其他地区(以下简称区外)之间,须设置符合海关监管要求的隔离设施及闭路电视监控系统。经海关总署对加工区的隔离设施验收合格后,方可开展加工区有关业务。

Article 4    Separation facilities and close circuit television supervision and control systems that meet the requirements of Customs supervision and control shall be installed between processing areas and other areas of the territory of the People's Republic of China (hereinafter referred to as outside areas). Only after the General Administration of Customs has tested and accepted the separation facilities of processing areas, may business operations related to processing areas be engaged in.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第八条  区内企业应当依据《中华人民共和国会计法》及国家有关法律、法规的规定,设置符合海关监管要求的账簿、报表。凭合法、有效凭证记账并进行核算,记录本企业有关进、出加工区货物和物品的库存、转让、转移、销售、加工、使用和损耗等情况。

Article 8    Enterprises within the areas shall, in accordance with the provisions of the Accounting Law of the People's Republic of China and the relevant laws and regulations of the State, set up account books and statements that meet the requirements of Customs supervision and control. They shall make entries and conduct accounting on the basis of legitimate and valid vouchers and make a record of such items as inventory, assignment, transfer, sale, processing, use and consumption of the enterprises' goods and articles entering or leaving the processing areas.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

区内企业应建立符合海关监管要求的电子计算机管理数据库,并与海关实行电子计算机联网,进行电子数据交换。

Enterprises within the areas shall establish computerized databases that conform to the requirements of Customs supervision and control, connect them to Customs through computer networks and exchange electronic data each other.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第四条 加工区与中华人民共和国境内的其他地区（以下简称"区外"）之间，须设置符合海关监管要求的隔离设施及闭路电视监控系统。经海关总署对加工区的隔离设施验收合格後，方可开展加工区有关业务。

Article 4: Isolation facilities and closed circuit television monitoring and control systems that satisfy Customs oversight requirements must be set up between Processing Zones and the rest of the People's Republic of China ("Elsewhere in the PRC"). Processing Zone business may be engaged in only after the isolation facilities have passed the inspection of and been accepted by the General Administration of Customs.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第八条 区内企业应当依据《中华人民共和国会计法》及国家有关法律、法规的规定，设置符合海关监管要求的账簿、报表。凭合法、有效凭证记账并进行核算，记录本企业有关进、出加工区货物和物品的库存、转让、转移、销售、加工、使用和损耗等情况。

Article 8: Zone Enterprises shall prepare accounts books and statements in accordance with the PRC, Accounting Law and related laws and regulations of the State and in compliance with Customs oversight requirements. Zone Enterprises shall carry on bookkeeping and accounting on the strength of lawful and valid vouchers and record details of the inventories, assignments, transfers, sales, processing, use and wastage, etc. of their goods and articles entering and leaving the Processing Zone.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

区内企业应建立符合海关监管要求的电子计算机管理数据库，并与海关实行电子计算机联网，进行电子数据交换。

Zone Enterprises shall set up computer control databases that satisfy Customs oversight requirements and establish online computer connections with Customs for purposes of electronic data exchange.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第九条 加工贸易企业应当根据《中华人民共和国会计法》及国家有关法律、行政法规、规章的规定，设置符合海关监管要求的账簿、报表及其他有关单证，记录与本企业加工贸易货物有关的进口、存储、转让、转移、销售、加工、使用、损耗和出口等情况，凭合法、有效凭证记账并进行核算。

Article 9: A processing trade enterprise shall keep and prepare account books, statements and other relevant documents satisfying the requirements of customs supervision, keep records relating to the import, storage, transfer, moving, sale, processing, use, consumption and export of its processing trade goods, and record in its accounts and do its accounting based on lawful and valid vouchers in accordance with the PRC Accounting Law and relevant state laws, administrative regulations, and rules.

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（二）经营企业或者承揽企业生产经营管理不符合海关监管要求的。

(2) the production, operation or management of the business operator or contractor does not satisfy the supervision requirements of customs.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第九条 加工贸易企业应当根据《中华人民共和国会计法》及国家有关法律、行政法规、规章的规定，设置符合海关监管要求的账簿、报表及其他有关单证，记录与本企业加工贸易货物有关的进口、存储、转让、转移、销售、加工、使用、损耗和出口等情况，凭合法、有效凭证记账并进行核算。

Article 9: Processing trade enterprises shall, in accordance with the provisions of the PRC, Accounting Law and the relevant State laws, administrative regulations and rules, prepare account books, statements and other relevant documents that comply with the supervision and administration requirements of customs. They shall record the details of import, storage, assignment, transfer, sale, processing, use, wastage and export, etc. related to the processing trade goods of the enterprise, and shall carry out accounting on the strength of legal and valid vouchers.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

（三） 经营企业或者承揽企业生产经营管理不符合海关监管要求的。

the production and business administration of the operating enterprise or contracted enterprise does not comply with the supervision and administration requirements of customs.

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进出境运输工具从一个设立海关的地点驶往另一个设立海关的地点的，应当符合海关监管要求，办理海关手续，未办结海关手续的，不得改驶境外。

Entering and departing means of transport moving from one established Customs point to another established Customs point shall comply with supervision requirements of Customs and complete customs formalities. Where customs formalities are not completed, [means of transport] may not cross the border.

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第二十条 进出境船舶和航空器兼营境内客、货运输，需经海关同意，并应当符合海关监管要求。

Article 20: Entering and departing vessels and aircraft which also serve domestic passengers and transport [domestic] goods must [obtain] the assent of Customs and shall conform with supervision requirements of Customs.

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第三十二条 经营保税货物的储存、加工、装配、展示、运输、寄售业务和经营免税商店，应当符合海关监管要求，经海关批准，并办理注册手续。

Article 32: Storage, processing, assembly, exhibition, transportation or consignment business that deal with bonded goods, and in the operation of duty-free shops shall comply with the requirements of customs supervision, be approved by Customs, and complete registration procedures.

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经收发货人申请，海关同意，进口货物的收货人可以在设有海关的指运地、出口货物的发货人可以在设有海关的启运地办理海关手续。上述货物的转关运输，应当符合海关监管要求；必要时，海关可以派员押运。

Pursuant to the application of the consignor or consignee and the assent of Customs, the consignee of imported goods may complete customs formalities where there is an established Customs delivery point, and the consignor of exported goods may complete customs formalities where there is established a Customs dispatch point. The transportation which brings the above mentioned goods to Customs must comply with the requirements and assent to the supervision of Customs. Where necessary, Customs may dispatch an official escort.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第十条　在交易市场与专用码头之间运输台湾商品的运输工具，应当符合海关监管要求，并且办理有关手续。

Article 10 The transport vehicles transporting Taiwan commodities between the Trading Market and the wharf exclusively used shall meet the regulatory requirements of the customs, and go through the relevant formalities.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第十一条  进出口货物的贸易方式,按照海关监管要求分类统计。

Article 11    The customs regime for import and export goods shall, according to the requirements of customs supervision and control, be classified and recorded.

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第二十三条　汽车金融公司应遵守以下监管要求：

Article 23: An auto finance company shall comply with the following regulatory requirements:

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第二十七条　中国银监会及其派出机构必要时可指定会计师事务所对汽车金融公司的经营状况、财务状况、风险状况、内部控制制度及执行情况等进行审计。中国银监会及其派出机构可要求汽车金融公司更换专业技能和独立性达不到监管要求的会计师事务所。

Article 27: The CBRC or its agency may, as required, designate an accounting firm to carry out an audit of an auto finance company’s business position, financial position, risk position, internal control systems and the implementation thereof, etc. The CBRC or its agency may require an auto finance company to replace an accounting firm whose professional skills or independence fails to satisfy regulatory requirements.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第一条　为促进商业银行建立和健全内部控制，防范金融风险，保障银行体系安全稳健运行，依据《中华人民共和国银行业监督管理法》、《中华人民共和国商业银行法》等法律规定和银行审慎监管要求，制定本指引。

Article 1 The present Guidelines are formulated in accordance with the "Banking Supervision Law of the People's Republic of China", the "Law of the People's Republic of China on Commercial Banks" and other laws, as well as the banking prudent supervision requirements for the purpose of promoting commercial banks to establish and improve internal control mechanisms, preventing financial risks, and guaranteeing the safe and steady operation of the bank system.

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鼓励本市商业银行根据中国人民银行的监管要求，积极为跨国公司地区总部提供所需要的结算、汇兑等金融服务。地区总部、被控股企业与商业银行可签定三方协议，通过在该银行及其分支机构的基本结算帐户操作。

Commercial banks in Shanghai are encouraged to actively provide such financial services as settlement, remittance, exchange, etc. to the regional headquarters of multinational corporations in accordance with the regulatory requirements of the People's Bank of China. The regional headquarters, the controlled enterprise and the commercial bank may execute a tripartite agreement for the handling of such operations through the basic settlement accounts with the said bank and its (sub-)branches and offices.

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行使投资管理的地区总部可以建立统一的内部资金管理体制，对自有资金实行统一管理。鼓励本市商业银行根据中国人民银行和中国银监会的监管要求，积极为跨国公司地区总部提供所需要的结算、汇兑等金融服务。地区总部、被控股企业与商业银行可签订三方协议，通过在该银行及其分支机构的银行结算帐户操作。商业银行应根据中国人民银行发布的《商业银行中间业务暂行规定》，积极探索适应地区总部资金管理要求的中间业务，并加强对该业务的管理与控制，建立与该中间业务相适应的监控和报告的信息管理系统，及时、准确、全面反映业务的开展情况与风险状况。

A regional headquarters that exercises the function of investment management may establish a unified internal fund management system to carry out centralised management of its own funds. Commercial banks in Shanghai are encouraged to actively provide settlement, exchange and other such financial services required by the regional headquarters of multinational corporations in accordance with the regulatory requirements of the People’s Bank of China and the China Banking Regulatory Commission. A regional headquarters, the enterprises under its control and a commercial bank may execute a tripartite agreement to conduct transactions through the bank settlement accounts opened with the commercial bank and its (sub-)branches. Commercial banks shall, in accordance with the Tentative Provisions on Commercial Bank Intermediary Services promulgated by the People’s Bank of China, actively explore intermediary services that satisfy the fund management requirements of regional headquarters, strengthen the management and control of such business and establish information management systems for monitoring and reporting that are suited to such intermediary services, and that accurately and comprehensively reflect the carrying on and the risk position of such business in a timely manner.

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第二十八条  本所要求有关客户提交合规交易承诺书的，会员及其营业部应当及时向客户告知本所的监管要求，并采取有效措施，督促客户提交合规交易承诺书。

Article 28 Where the Stock Exchange requires the relevant client to submit a letter of commitment for compliance transaction, the members and the business departments thereof shall timely notify the client of the supervisory requirements of the Stock Exchange and take effective measures to supervise and urge the client to submit the letter of commitment for regulation-compliance transaction.

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（四）在对上市公司并购重组活动及申报文件的真实性、准确性、完整性进行充分核查和验证的基础上，依据中国证监会的规定和监管要求，客观、公正地发表专业意见；

(4) on the basis of a full review and verification of the merger, acquisition or reorganisation activities of the listed company and the truthfulness, accuracy and completeness of the application documents, issuing an objective and impartial professional opinion in line with CSRC provisions and regulatory requirements;

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（一） 在有关主管当局出具证明之日的上一个会计年度，该申请人的偿付能力符合该国家或者地区的监管要求；

in the fiscal year prior to the date on which certification is issued by the relevant authority, the solvency level of such applicant fulfils the regulatory requirements of such country or region; or

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第一百零二条 中国银监会及其派出机构可以要求外资银行营业性机构更换专业技能和独立性达不到监管要求的会计师事务所。

Article 102: CBRC and its local offices may require a foreign-funded bank operational institution to replace an accounting firm which fails to meet the regulatory requirements in respect of professional expertise and independence.

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第一百零二条 中国银监会及其派出机构可以要求外资银行营业性机构更换专业技能和独立性达不到监管要求的会计师事务所。

Article 102: The CBRC or its office may require a foreign-invested banking institution of a business nature to replace an accounting firm whose professional skills or independence do not satisfy regulatory requirements.

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（四） 固有资产状况和流动性良好，符合监管要求；

(4) the status of its own assets and its liquidity being good and complying with regulatory requirements; and

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第十三条　银行业监督管理机构有权根据母银行股权结构变动、风险类别及风险状况确定和调整并表监管范围并提出监管要求。

Article 13: The banking regulatory authority shall have the right to determine and revise the scope of consolidated supervision and put forward regulatory requirements based on changes in a parent bank’s equity structure, its risk types and risk position.

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第二十二条　对没有达到并表资本监管标准的银行集团，银行业监督管理机构应当提出相应的监管要求。包括要求银行集团制订具体的资本充足率改善计划，限制银行集团的风险资产增长速度和对外资本投资。必要时，银行业监督管理机构可以提高对母银行资本充足比例要求，以保证整个银行集团的稳健性。

Article 22: The banking regulatory authority shall set forth appropriate regulatory requirements for Banking Groups that do not satisfy consolidated capital supervision criteria, including requiring such Banking Group to formulate a concrete capital adequacy ratio improvement plan, and place restrictions on the speed at which its risk capital increases and on its capital investments in third parties. Where necessary, the banking regulatory authority may increase the requirements in respect of the parent bank’s capital adequacy ratio so as to ensure the soundness of the entire Banking Group.

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第二十一条 询价对象应当在年度结束后一个月内对上年度参与询价的情况进行总结，并就其是否持续符合本办法规定的条件以及是否遵守本办法对询价对象的监管要求进行说明。总结报告应当报中国证券业协会备案。

Article 21: Within one month after the end of a year, an Inquiry Recipient shall draw a conclusion from the inquiries in which it participated during the year and give an explanation as to whether it continues to satisfy the conditions specified herein and whether it complies with the regulatory requirements hereof in respect of Inquiry Recipients. The concluding report shall be submitted to the Securities Association of China for the record.

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（二）最近12个月内因违反相关监管要求被监管谈话三次以上；

(2) it has been subjected to regulatory discussion three or more times in the most recent 12 months for violations of relevant regulatory requirements; or

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第十条 分公司的业务活动、负责人应当接受分公司所在地证监局的监管。分公司应当按照监管要求向其所在地证监局报送业务、财务、负责人等经营管理信息和资料。分公司所在地证监局负责将对分公司的监管信息录入机构监管综合信息系统。

Article 10: The business activities and the person in charge of a branch shall be subject to the regulation of the securities regulatory bureau of the place where the branch is located. A branch shall submit operation and management information and data, such as that on its business, finances and person in charge to the securities regulatory bureau of the place where it is located in accordance with regulatory requirements. The securities regulatory bureau of the place where the branch is located shall be responsible for entering the regulatory information on the branch into the comprehensive information system for the regulation of establishments.

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第十三条 证券公司的主要办事机构应当依法设在经公司登记机关登记的公司住所，并至少符合以下监管要求：

Article 13: The main office of a securities company shall be established in accordance with the law in its corporate domicile registered by the company registration authority and shall, at minimum, satisfy the following regulatory requirements:

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合规总监应当及时处理证券监管机构和自律组织要求调查的事项，配合证券监管机构和自律组织对公司的检查和调查，跟踪和评估监管意见和监管要求的落实情况。

The chief compliance officer shall timely handle matters which have been requested for investigation by securities regulatory institutions and self-discipline organizations, coordinate checking and investigation of the company with securities regulatory institutions and self-discipline organizations, follow-up and evaluate the implementation of putting monitoring opinion and request into practice.

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第四条  加工区与中华人民共和国境内的其他地区（以下简称“区外”）之间，须设置符合海关监管要求的隔离设施及闭路电视监控系统。经海关总署对加工区的隔离设施验收合格後，方可开展加工区有关业务。

Article 4: Isolation facilities and closed circuit television monitoring and control systems that satisfy Customs oversight requirements must be set up between Processing Zones and the rest of the People's Republic of China ("Elsewhere in the PRC"). Processing Zone business may be engaged in only after the isolation facilities have passed the inspection of and been accepted by the General Administration of Customs.

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第八条  区内企业应当依据《中华人民共和国会计法》及国家有关法律、法规的规定，设置符合海关监管要求的账簿、报表。凭合法、有效凭证记账并进行核算，记录本企业有关进、出加工区货物和物品的库存、转让、转移、销售、加工、使用和损耗等情况。

Article 8: Zone Enterprises shall prepare accounts books and statements in accordance with the PRC, Accounting Law and related laws and regulations of the State and in compliance with Customs oversight requirements. Zone Enterprises shall carry on bookkeeping and accounting on the strength of lawful and valid vouchers and record details of the inventories, assignments, transfers, sales, processing, use and wastage, etc. of their goods and articles entering and leaving the Processing Zone.

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区内企业应建立符合海关监管要求的电子计算机管理数据库，并与海关实行电子计算机联网，进行电子数据交换。

Zone Enterprises shall set up computer control databases that satisfy Customs oversight requirements and establish online computer connections with Customs for purposes of electronic data exchange.

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（二）满足有关监管要求和指标，且该项投资符合相关法律、法规及监管规定；

2. It meets the relevant supervisory requirements and indicators, and the investment conforms to the relevant laws, regulations and supervisory provisions;

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（三）自营业务资产状况和流动性良好，符合有关监管要求；

3. The financial situation and liquidity of its self-operated business is good, and conforms to relevant supervisory requirements;

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为进一步明确对期货公司股东的监管要求，理顺期货公司股权关系，促进期货公司做优做强，防止控股股东与期货公司以及关联期货公司之间出现风险传递、不当利益输送等问题，根据《中华人民共和国公司法》、《期货交易管理条例》及《期货公司管理办法》（证监会令第43号）等有关规定，现就控股、参股期货公司的有关问题规定如下：

In order to further specify the supervisory requirements for shareholders of futures companies, rationalize the equity relationship of futures companies, promote the excellent and important status of futures companies, and prevent the transfer of risks and inappropriate benefits between controlling shareholders and futures companies and affiliated futures companies, the relevant issues concerning holding or equity participation companies of futures are hereby prescribed as follows in accordance with the “Company Law of the People’s Republic of China”, the “Regulations on Administration of Futures Trading”, the “Measures on Administration of Futures Companies” (Order No.43 of the China Securities Regulatory Commission) and other relevant provisions:

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二、现有期货公司的股权结构及相关投资主体控股、参股期货公司的行为不符合前条规定的，应当及时整改，并在本规定施行之日起2年内达到监管要求。

II. If the equity structure of an existing futures company and the holding or equity participation company of futures by the relevant investment subjects does not comply with the provisions of the preceding article, the company shall make the rectification promptly, and shall meet the supervisory requirements within 2 years as of the effective date of these Provisions.

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第十八条  经营企业应当依据海关监管要求设置相对独立的海关查验场地。

Article 18    A relatively independent site for Customs inspection shall be set up by an operation enterprise within the supervisory areas according to the Customs supervisory requirements.

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3．建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have verification facilities (electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic platform scale, etc.) satisfying the Customs supervisory requirements, and have such facilities networked with the Customs;

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3．建立出入通道卡口，配置符合海关监管要求的设备（电子栏杆、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have surveillance and verification facilities, such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervisory requirements, and have such facilities networked with the Customs;

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（三）建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and scales, etc., which satisfy the Customs supervisory requirements, and have such facilities networked with the Customs;

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（二）建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子监控设备、电子地磅等）并与海关联网；

(b) It shall have checkpoints on the passages, have check facilities, such as electronic control guard bar, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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3．建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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3．建立通道出入卡口，配置符合海关监管要求的设备（电子栏杆、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervisory requirements, and have such facilities networked with the Customs;

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3．建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、电子地磅等）并与海关联网；

(c) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervisory requirements, and have such facilities networked with the Customs;

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3．建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子监控设备等）并与海关联网；

(c) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic monitoring devices, etc., which satisfy the Customs supervisory requirements, and have such facilities networked with the Customs;

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（二）建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、电子地磅等）并与海关联网；

(2) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and electronic scale, etc., which satisfy the Customs supervision requirements, and shall have such facilities networked with the Customs;

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（二）建立通道出入卡口，配置符合海关监管要求的卡口设备（电子栏杆、电子监控设备等）并与海关联网；

(2) It shall have checkpoints for the passages, have check facilities such as electronic control guard bar and electronic monitoring device, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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（二）建立通道出入卡口，配置符合海关监管要求的设备（电子栏杆、电子读写设备、电子识别设备、电子监控设备、小型电子地磅等）并与海关联网；

(2) It shall have checkpoints for the passages, check facilities such as electronic control guard bar, electronic reading-writing equipment, electronic identification device, electronic monitoring device and small-sized electronic scale, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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（二）建立通道出入卡口。具备条件时应当配置符合海关监管要求的卡口设备（电子栏杆、电子地磅、电子监控设备等）并与海关联网；

(2) It shall have checkpoints for the passages, as the situation warrants, check facilities such as electronic control guard bar, electronic scale and electronic monitoring device, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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（三）建立通道出入卡口。具备条件时应当配置符合海关监管要求的卡口设备（电子栏杆、电子地磅、电子监控设备等）并与海关联网；

(3) It shall have checkpoints for the passages according to the situational requirements, check facilities such as electronic control guard bar, electronic scale and electronic monitoring device, etc., which satisfy the Customs supervision requirements, and have such facilities networked with the Customs;

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（三）各通道之间相互隔离，符合海关监管要求。各通道内应预留必要的电源、网络接口；

(3) It shall have mutually isolated channels satisfying the requirements of Customs supervision, and shall preserve necessary power, network interfaces in each channel;

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(七)支持房地产开发企业合理的融资需求。商业银行要根据信贷原则和监管要求,加大对中低价位、中小套型普通商品住房建设特别是在建项目的信贷支持力度;对有实力有信誉的房地产开发企业兼并重组有关企业或项目,提供融资支持和相关金融服务。支持资信条件较好的企业经批准发行企业债券,开展房地产投资信托基金试点,拓宽直接融资渠道。

(7) To support the real estate development enterprises' reasonable financing demands. Commercial banks shall, according to the principles and supervision requirements for credit, increase credit in the construction of small and medium-sized ordinary commodity houses at low or medium price, especially projects under construction. With regard to the enterprises or projects relating to merger or reorganization by competent and reputable real estate development enterprises, we shall provide financing support and relevant financial services. We shall support enterprises that have good credit in issuing enterprise bonds upon approval and making experiments on real estate investment trust funds so as to expand direct financing channels.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第十三条 本所对在创业板市场从事异常交易行为的投资者实施口头警示、书面警示等监管措施的，会员应当及时与客户取得联系，告知本所的相关监管要求和措施，规范和约束客户交易行为。

Article 13 Where the Stock Exchange gives a verbal warning or written warning or takes other regulatory measures against an investor who engages in abnormal trading on the growth enterprise market, the member shall promptly get in touch with the client, inform the client of the relevant regulatory requirements and measures of the Stock Exchange, and regulate and restrain the trading of the client.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第一条 为促进我国银行业保理业务的健康快速发展，培育规范经营、公平竞争的市场环境，根据国家有关法律、法规及有关监管要求，结合保理业务实际，制定本公约。

Article 1 In order to promote the healthy and rapid development of the factoring business in China’s banking industry and foster a market environment of regularized operation and fair competition, this Convention is hereby formulated according to the relevant laws, regulations and relevant supervisory requirements of the State and in combination with the practical conditions of the factoring business.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

(八)符合有关监管部门的监管要求；

(8) satisfying the regulatory requirements of relevant regulatory departments;

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

本规定所称省级分公司，是指保险公司根据中国保监会的监管要求，在各省、自治区、直辖市内负责许可申请、报告提交等相关事宜的分公司。保险公司在住所地以外的各省、自治区、直辖市已经设立分公司的，应当指定其中一家分公司作为省级分公司。

For the purposes of these Provisions, the term “provincial-level branch” means the branch of an insurance company that, pursuant to CIRC regulatory requirements, is responsible for permit application, submission of reports and other such matters in a province, autonomous region or municipality directly under the central government. If an insurance company has established branches in a province, autonomous region or municipality directly under the central government other than the one in which it is domiciled, it shall designate one of them as its provincial-level branch.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

保险公司在计划单列市设立分支机构的，应当指定一家分支机构，根据中国保监会的监管要求，在计划单列市负责许可申请、报告提交等相关事宜。

If an insurance company has set up establishments in a city with independent development plans, it shall designate one of them that, pursuant to CIRC regulatory requirements, will be responsible for permit application, submission of reports and other such matters in the city with independent development plans.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

四、各证监局应当根据现场检查、非现场检查及其他日常监管工作，对辖区内申请融资融券业务试点证券公司的客户资产安全、技术系统建设、账户规范、内部管理、风险控制制度以及合规情况出具监管意见，说明其是否符合审慎监管要求。

IV. Each securities regulatory bureau shall, based on its on-site inspection, off-site inspection and other daily supervision, give its opinions on the security of customers’ assets, technical system construction, account standardization, internal management, risk control system and compliance of the securities companies within its territorial jurisdiction which apply to join the pilot programme for margin trading and securities lending business, and explain whether such securities companies meet the requirements for prudential supervision.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

试点证券公司应当按照《试点办法》及内部控制指引的要求，制定本公司的各项业务管理规定，审慎确定本公司融资融券业务试点的各项风险控制指标和业务指标，审慎开展融资融券业务，遵守交易规则，符合监管要求，防范业务风险。试点期间，开展融资融券业务的证券公司在按规定扣减净资本的同时，还应按照不低于融资融券业务规模50%的比例计算业务风险资本准备；应当严格遵守使用自有资金和自有证券从事融资融券业务的要求，用于融券业务的自有证券必须是金融资产科目内“可供出售金融资产”项目下的标的证券；应当在证券交易所规定的范围内，审慎确定本公司的标的证券和可充抵保证金证券名单；应当维护行业有序竞争，合理规定本公司融资融券业务客户授信额度、期限、融资利率和融券费率；应当建立完备的融资融券业务风险识别、评估与控制体系，设置好各项风险控制预警指标，明确规定与平仓相关的各项风险控制措施，确保风险可测、可控、可承受；应当严格履行信息报告制度和信息披露制度，保证各项业务信息的公开、透明、及时。

A pilot securities company shall, in accordance with the requirements of the Measures and the internal control guidelines, formulate the administrative provisions in connection with each of its businesses, determine deliberately each risk control target and business target for the pilot programme for margin trading and securities lending business, operate deliberately the margin trading and securities lending business, follow the trading rules, comply with the supervision requirements, and take precautions against business risks. If, in the course of operating margin trading and securities lending business, securities companies need to deduct the net capitals in accordance with the relevant provisions, they shall also calculate and reserve the capital for business risks at the amount not less than 50% of the scale of the margin trading and securities lending business; they shall strictly comply with the requirements for using their own funds and securities in margin trading and securities lending business, and their own securities used in securities lending business must be the underlying securities under the item of “saleable financial assets” in the financial assets category; they shall, within the scope provided by the stock exchanges, determine deliberately the list of their own underlying securities and securities that may offset the margins; they shall maintain the proper competition in the industry, reasonably determine the customers’ credit, term, interest rate for margin trading and rate for securities lending in their margin trading and securities lending business; they shall establish a complete risk identification, evaluation and control system for the margin trading and securities lending business, set forth criteria for issuing early warning for the purpose of risk control, expressly provide risk control measures in connection with the closing of position, and assure that such risks are measurable, controllable and bearable; they shall implement strictly the information report and disclosure system, ensure the openness, transparency and timeliness of business information.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第五条 商业银行拟入股的保险公司须具备良好的公司治理结构、健全有效的风险管理和良好的业务发展前景，各项经营及风险管理指标符合保险业的监管要求。

Article 5: The insurance company in which a commercial bank intends to take an equity interest must have a good corporate governance structure, sound and effective risk management and good business development prospects, and its business and risk management indicators shall satisfy regulatory requirements in respect of the insurance business.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

子公司为上市公司的，公司治理应当符合上市规则及上市公司监管要求。

If a subsidiary is a listed company, its corporate governance shall comply with the listing rules and regulatory requirements for listed companies.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第三十条 保险集团公司应当依据集团的发展战略、经营规划和相关外部因素，设定恰当的资本充足目标。确保保险子公司满足偿付能力监管要求，非保险类金融子公司的资本充足水平应当持续符合金融监管部门规定，并将非金融类子公司资产负债比率保持在合理水平，实现整个集团安全稳健运行。

Article 30:An insurance group company shall set an appropriate capital adequacy target that is in keeping with the group’s development strategy, business plans and relevant external factors. It shall ensure that its insurance subsidiaries satisfy regulatory requirements in respect of solvency, that the capital adequacy level of its non-insurance financial subsidiaries complies with the provisions of the financial regulator on an ongoing basis and that the asset to liability ratio of its non-financial subsidiaries is maintained at a reasonable level so as to effect safe and stable operation of the entire group.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第四十五条 保险集团公司下属的保险子公司未达到金融监管机构规定的审慎监管要求，发生业务或财务状况显著恶化的，中国保监会可以要求保险集团公司协助其恢复正常运营，或于一定期间内处分其持有的其他成员公司部分或全部股权，所得款项用于改善其所属保险子公司的财务状况。

Article 45:If an insurance subsidiary of an insurance group company fails to satisfy the prudential regulatory requirements of the financial regulator and its business or financial position deteriorates markedly, the CIRC may require the insurance group company to assist it in restoring its normal operations, or to dispose of, within a certain period, part or all of the equity the insurance group company holds in other members and use the proceeds therefrom to improve the financial position of its insurance subsidiary.

【来源】中国双语法律法规数据库 徐虎龙 翻译

 

第四十八条 中国保监会有权根据保险集团公司股权结构变动、风险类别及风险状况确定和调整并表监管范围并提出监管要求。

Article 48:The CIRC has the right to determine and adjust the scope of consolidated oversight based on changes in the equity structure of an insurance group company, the types of risks to which it is exposed and its risk position, and set regulatory requirements.

【来源】中国双语法律法规数据库 徐虎龙 翻译