信达_债券发行通函.docx

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信达_债券发行通函.docx

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信达_债券发行通函

InvestmentbyEquityFundEquityInvestmentPursuanttotheProvisionalRegulatoryGuidelinesforSupervisionofFinancialAssetManagementCompaniesonaFinancialStatementsConsolidationBasis《(金融資產管理公司並表監管指引（試行）》),whenAMCsmakeuseoftheircapitalforequityinvestment,entitieswithlegalpersonstatusinvestedbyandunderactualcontrolofAMCsshallbeincludedinthescopeofconsolidatedsupervision.TheCBRCisauthorizedtodetermineandadjustthescopeofconsolidatedsupervisionaccordingtotheequitystructuralchangesandtheriskcategoryoftheAMCs.TheinvesteesshallalsobeincludedintheconsolidatedsupervisioniftheinvesteesarenotcontrolledbytheAMCsbutonthebasisofriskcorrelationtheirgeneralrisksmayhavematerialimpactsonthefinancialconditionandriskleveloftheAMCs,orthedamagesandlossincurredbytheircompliancerisksandreputationriskshavematerialimpactsonthereputationoftheAMCs.AMCsmayexcludethefollowingorganizationsfromtheconsolidatedsupervision,namelyorganizationswhichareclosedordeclaredbankruptcyorintheliquidationprocedureduetoclosure,investeeswhichareintendedtobesoldwithinthreeyearswithAMCsholdingtheirequityinterestof50%orabove,overseassubsidiarieswhicharesubjecttotheforeignexchangeregulationsoftheplaceswheretheyarelocated,othercontingenciesorrestrictionsoncapitalallocation,orDEScompanieswhichareheldbyAMCsinshorttermoronatransitionalbasis.TrustandWealthManagementProductInvestmentInaccordancewithCircularonStandardizationofTrustandFinancingProductInvestmentsofFinancialAssetManagementCompanies(YinJianFa[2011]No.92)《(關於規範金融資產管公司投資信託和理財產品的通知》（銀監發[2011]92號）)promulgatedbytheCBRCandtheMOFandeffectivefromSeptember28,2011,theAMCswhichhavecarriedoutshareholdingreformandareintendingtoengageintrustandfinancingproductinvestmentsshallperformcorrespondingcorporategovernanceprocedures,whilethecompaniesthathavenotcarriedoutshareholdingreformshallreporttotheMOFforapproval.AMCsshallpaycloseattentiontotherisktransmissionandtransferthatmaybecausedbytrustandfinancingproductinvestmentsconductedthroughtheiraffiliatessoastostrengthenriskisolationandpreventi