Interim Measures for the Administration over Registration of State Property Rights of Financial Enterprises

金融类企业国有资产产权登记管理暂行办法

 

Promulgating Institution: Ministry of Finance

Document Number: Cai Jin [2006] No. 82

Promulgating Date: 10/12/2006

Effective Date: 01/01/2007

 

颁布机关: 财政部

文      号: 财金[2006]82号

颁布时间: 10/12/2006

实施时间: 01/01/2007

 

Chapter 1: General Provisions

第一章  总则

  Article 1   In accordance with the Administrative Measures for Registration of State Property Rights of Enterprises (Decree No. 192 of the State Council), these Measures are formulated with a view to effectively administering the registration of the State property rights of financial enterprises, strengthening the supervision and administration over State property of financial enterprises, having a full and clear knowledge of the information of possession and change of State property of financial enterprises as well as preventing the loss of State-owned financial assets.

       第一条  为了做好金融类企业国有资产产权登记管理工作，加强金融类企业国有资产监督管理，全面了解和掌握金融类企业国有资产占有与变动情况，防止国有金融资产流失，根据《企业国有资产产权登记管理办法》（国务院令第192号），制定本办法。

  Article 2   Any financial enterprise established inside or outside the People's Republic of China, whose paid-up capital includes State-owned capital and State-owned legal person capital, shall go through the State property rights registration procedures in accordance with these Measures. 

If a financial enterprise establishes a subsidiary or invests in any other financial enterprise or non-financial enterprise inside or outside the People's Republic of China with its State-owned legal person capital pursuant to the law, it shall go through the registration procedures for State property rights of its subsidiary in accordance with these Measures. A financial enterprise is not required to make property rights registration for any equity interests obtained by exercising its creditor's rights or security interests to the debtor, guarantor or third party; however, it shall register and process them properly according to relevant provisions in such case. 

       第二条  在中华人民共和国境内或境外设立的金融类企业，其实收资本包括国家资本和国有法人资本的，按本办法规定办理国有资产产权登记。 

    金融类企业以国有法人资本形式在中华人民共和国境内或境外设立子公司或依法投资其他金融类和非金融类企业的，由该金融类企业按本办法规定办理子公司国有资产产权登记工作。金融类企业依法行使债权或担保物权而受偿于债务人、担保人或第三人的股权资产，不属于产权登记的范围，但要按照相关规定做好登记和处置工作。

  Article 3   All enterprises with financial business licenses issued by the financial regulatory institutions shall be governed by these Measures, including but not limited to commercial banks, policy banks, postal savings banks, financial asset management companies, securities companies, insurance companies, trust and investment companies, financial leasing companies, futures companies, urban credit cooperatives, rural credit cooperatives, auto financing companies and legal-person financial companies under group companies.

The application of these Measures can be extended to the administration over registration of State property rights of Central Huijin Investment Ltd., the CITIC Group, China Everbright Group, China Everbright (Group) Co., Ltd., China Construction Bank Investment Co., Ltd., China Galaxy Financial Holding Co., Ltd., China Banknote Printing and Minting Corporation, China Gold Coin Incorporation, China UnionPay Co., Ltd., China Government Securities Depository Trust & Clearing Co. Ltd. and credit guarantee companies.

       第三条  本办法适用于所有获得金融监管机构颁发金融业务许可证的企业，包括但不限于商业银行、政策性银行、邮政储蓄银行、金融资产管理公司、证券公司、保险公司、信托投资公司、金融租赁公司、期货公司、城市信用社、农村信用社、汽车金融公司以及在集团公司内部具有独立法人资格的财务公司等金融企业。 

    中央汇金投资有限责任公司、中国中信集团公司、中国光大（集团）总公司、中国光大集团有限公司、中国建银投资有限责任公司、中国银河金融控股有限责任公司、中国印钞造币总公司、中国金币总公司、中国银联股份有限公司、中央国债登记结算公司、信用担保公司等的国有资产产权登记管理工作，比照本办法执行。

  Article 4   The State property rights of a financial enterprise shall be registered and administered by the financial authority at the same level. Financial authorities at or above the county level shall take charge of the implementation of administration over registration of State property rights of financial enterprises in accordance with the principle of hierarchical management under unified policy. 

(1) The Ministry of Finance shall take charge of the administration over registration of State property rights of central financial enterprises, their subsidiaries and invested entities.

(2) All financial supervision commissioners' offices (hereinafter, "Commissioners' Offices" or individually "Commissioners' Office") under the Ministry of Finance shall assist in the implementation of registration, supervision and administration of property rights of central financial enterprises as entrusted by the Ministry of Finance.

(3) Local financial authorities at or above the county level shall take charge of the administration over registration of State property rights of financial enterprises funded by local governments at the same level, the branches and subsidiaries thereof as well as the entities invested thereby.

The upper-level financial authorities should guide and supervise the administration over registration of State property rights of financial enterprises by the lower-level financial authorities.

       第四条  金融类企业国有资产产权登记和管理机关为同级财政部门。金融类企业国有资产产权登记管理工作按照统一政策、分级管理的原则，由县级以上（含县级，下同）主管财政部门组织实施。 

    （一）财政部负责中央金融企业及其子公司和投资实体的国有资产产权登记管理工作。 

    （二）财政部驻各地财政监察专员办事处（以下简称专员办）根据财政部的委托，协助办理中央金融企业产权登记和监督管理工作。 

    （三）县级以上地方财政部门负责同级地方政府出资的金融类企业及其分支机构、子公司和投资实体的国有资产产权登记管理工作。 

    上级财政部门指导和监督下级财政部门的金融类企业国有资产产权登记管理工作。

  Article 5   Financial authorities at all levels shall perform the following duties: 

(1) Recognizing the ownerships of State property rights of financial enterprises, clarifying the property rights relationships involved, verifying and issuing property rights registration certificates pursuant to the laws;

 (2) Making statistics, collecting and analyzing the information of possession, utilization and change of State property of financial enterprises;

 (3) Supervising the capital contribution of State-owned and State-controlled financial enterprises; 

 (4) Filing the contingent changes of property rights of financial enterprises such as judicial freezing; 

 (5) Checking the operation of State property of financial enterprises; and

(6) Submitting to the upper-level financial authorities reports on analysis of registration and change of State property rights.

The administrative measures for registration of State property rights of financial enterprises, property rights registration statement, State Property Rights Registration Certificate of Enterprises of the People's Republic of China (hereinafter, "Property Rights Registration Certificate") and relevant software shall be uniformly made, printed and circulated by the Ministry of Finance.

       第五条  各级主管财政部门履行以下职责： 

    （一）依法确认金融类企业国有产权归属、理顺产权关系，核发产权登记证； 

    （二）统计、汇总和分析金融类企业国有资产占有、使用和变动情况； 

    （三）监督国有及国有控股金融类企业的出资行为； 

    （四）对金融类企业产权被司法冻结等产权或有变动事项进行备案； 

    （五）检查金融类企业国有资产经营状况； 

    （六）向上级主管财政部门报送国有资产产权登记与产权变动状况分析报告。 

    金融类企业国有资产产权登记管理办法、产权登记报表、《中华人民共和国企业国有资产产权登记证》（以下简称产权登记证）以及相关软件由财政部统一制订、制作和印发。

  Article 6   The Property Rights Registration Certificate issued by a competent financial authority to a financial enterprise is a legal credential which confirms the ownership of State property rights of the enterprise, and also a certificate of the enterprise's financial standing.

When a financial enterprise assesses or transfers its State equity interests, it shall present the property rights registration certificate.

       第六条  各级主管财政部门核发的产权登记证是依法确认金融类企业国有产权归属关系的法律凭证，也是企业的资信证明文件。 

    金融类企业在进行国有股权类资产评估和国有产权转让时必须出具产权登记证。

  Article 7   Division of responsibilities for registration of State property rights of financial enterprises 

(1) The group companies or holding companies of financial enterprises shall take charge of applying for their own property rights registration and that of their subsidiaries, while supervising and administering the property rights registration situation of their subsidiaries level by level.

(2) As to a financial enterprise invested by two or more State-owned capital contributors, its competent financial authority shall be determined according to the affiliation relationship of property rights of the contributor with the largest amount of State-owned capital.

If the State-owned capital contributors of a financial enterprise have equal capital contributions, its competent financial authority shall be determined according to the affiliation relationship of property rights of the contributor selected thereby, and the remaining contributors shall issue an entrustment letter for property rights registration. 

(3) Competent financial authorities at all levels shall issue the Property Rights Registration Certificates to financial enterprises after completing all procedures of property rights registration for the same.

       第七条  金融类企业国有资产产权登记的职责划分 

    （一）金融类企业的集团公司或控股公司负责统一申请办理集团公司或控股公司本级及其子公司的产权登记，并逐级对子公司的产权登记情况进行监督管理。 

    （二）两个及两个以上国有资本出资人共同投资设立的金融类企业，按国有资本额最大的出资人的产权归属关系确定产权登记的主管财政部门。 

    若国有资本各出资人出资额相等，则按推举的出资人的产权归属关系确定产权登记的主管财政部门，其余出资人出具产权登记委托书。 

    （三）各级主管财政部门为金融类企业办理产权登记后，发放产权登记证。

  Article 8   The registration and administration of State property rights of financial enterprises shall include possession registration, alteration registration, cancellation registration as well as supervision and inspection.

       第八条  金融类企业国有资产产权登记管理工作包括国有资产产权占有登记、变更登记、注销登记以及监督检查。

Chapter 2 Possession Registration of Property Rights

第二章  产权占有登记

  Article 9   When a financial enterprise applies for possession registration of State property rights for the first time, it shall submit the following materials:

(1) Decisions of the shareholders' meeting (and/or resolutions of the board of directors) of capital contributors and approval of relevant competent authorities on the enterprise' establishment;

(2) Application for possession registration of State property rights of the enterprise;

(3) Capital verficationreport as audited by the accounting firm, in particular: bank pay-in slip if the capital contribution is made in cash, or verification or filing certificate of the assets appraisal report if the capital contribution is made in non-cash assets such as physical assets or intangible assets;  

(4) The most recent annual or quarterly financial statements; 

(5) Photocopies of the duplicates of the business licenses of legal-person enterprises for all capital contributors, and photocopy of the duplicate of the Property Rights Registration Certificate of each State-owned capital contributor;

(6) Articles of association of the enterprise;

(7) Photocopy of the duplicate of the Business License of Legal-Person Enterprise, or the Enterprise Name Pre-approval Notice if the enterprise is newly formed; and

(8) Other documents or materials required by the competent financial authorities.

       第九条  金融类企业首次申请办理国有资产产权占有登记的，须提交以下资料： 

    （一）出资人公司股东会（董事会）决议及有关部门批准设立的文件； 

    （二）企业国有资产产权占有登记申报表； 

    （三）经会计师事务所审核的验资报告，其中：以货币投资的应当附银行进账单，以实物、无形资产等非货币资产投资的应当提交资产评估报告的核准或备案证明； 

    （四）最近一期的年度或季度财务报告； 

    （五）各出资人的企业法人营业执照副本复印件，其中，国有资本出资人还应当提交产权登记证副本复印件； 

    （六）企业章程； 

    （七）《企业法人营业执照》副本复印件，新设企业须提交《企业名称预先核准通知书》； 

    （八）主管财政部门认定须提交的其他文件或资料。

  Article 10   A newly formed financial enterprise shall, in accordance with the provisions of Article 9, apply to the competent financial authority for property possession registration within 30 working days prior to going through the industrial and commercial registration procedure, and it shall apply to pick up the property rights registration certificate for newly established enterprise within 30 working days after obtaining its business license of legal-person enterprise while submitting the photocopy of the duplicate of its Business License of Legal-Person Enterprise simultaneously.

       第十条  新设金融类企业应当按照第九条规定，于办理工商注册登记前30个工作日内向主管财政部门申办产权占有登记，并在取得企业法人营业执照后30个工作日内申请领取新设企业产权登记证，同时提交新设企业的《企业法人营业执照》副本复印件。

  Article 11   The competent financial authority shall promptly examine the materials submitted by the enterprise. If the materials are complete and meeting the relevant requirements for property rights registration, it shall approve the possession registration of State property rights of the enterprise within 30 working days and promptly issue a Property Rights Registration Certificate thereto.

       第十一条  主管财政部门应及时审核企业申报的相关材料是否符合产权登记的要求，对材料齐备，符合要求的，应在30个工作日内核准企业国有资产产权占有登记，并及时向企业发放产权登记证。

  Article 12   If the State property rights of an enterprise which has not gone through possession registration of property rights changes, it shall go through the possession registration in accordance with Article 8 of these Measures before applying for alteration or cancellation registration. No enterprise which has failed to go through possession registration of property rights may transfer its State property rights. 

       第十二条  未办理产权占有登记的企业发生国有资产产权变动时，应当按本办法第八条的规定补办产权占有登记后，再申办变动或注销产权登记。未办理产权占有登记的企业不得进行国有资产产权转让。

Chapter 3 Alteration Registration of Property Rights

第三章  产权变动登记

  Article 13   If a financial enterprise is under any of the following circumstances, it shall apply for alteration registration of property rights:

(1) Its name, domicile or corporate representative changes;

(2) Its organizational structure or management hierarchy changes;

(3) Its State-owned capital contributor changes;

(4) Its State-owned capital amount changes;

(5) Due to change of capital contribution amount of other investors, the shareholding percentage of State-owned capital has a change of 5% or more; or

(6) Other changes confirmed by the competent financial authority.

       第十三条  金融类企业发生下列情形之一的，须申办产权变动登记： 

    （一）名称、住所或法定代表人改变； 

    （二）组织形式、管理级次发生变动； 

    （三）国有资本出资人发生变动； 

    （四）国有资本额发生增减变动； 

    （五）因其他出资人出资额发生变动，造成国有资本持股比例发生5%以上（含5%）变化的； 

    （六）主管财政部门认定的其他变动情形。

  Article 14   If a financial enterprise needs to apply for alteration registration of property rights due to any change as specified under Item (1) of Article 13, it shall apply to the competent financial authority for alteration registration by presenting the documents and materials relating to the change of its name, domicile or legal representative within 30 working days after the administrative department for industry and commerce approves such alteration registration.

       第十四条  金融类企业申办产权变动登记属于第十三条第（一）项情形的，应当于工商行政管理部门核准变动登记后30个工作日内，向主管财政部门申办产权变动登记，并提交企业名称、住所或法定代表人依法变更的相关文件和资料。

  Article 15  If a financial enterprise needs to apply for alteration registration of property rights due to any circumstance as specified under Items (2), (3), (4), (5), (6) of Article 13, it shall apply to the competent financial authority for alteration registration of property rights within 30 working days since the date of relevant decision of its contributors or the date of approval of relevant authority and before applying to the administrative department for industry and commerce for alteration registration. The financial enterprise shall present the following documents and materials:

(1) State property rights registration certificate of the enterprise;

(2) Application for alteration registration of State property rights of the enterprise;

(3) Approvals by relevant departments on property rights change; 

(4) Decisions of the shareholders' meeting (and/or resolutions of the board of directors) of contributors and approval of relevant department on change of State-owned capital;  

(5) Articles of association of the enterprise and the photocopy of the duplicate of its Business License of Legal-Person Enterprise;

(6) Capital verification report by the time of property rights change as audited by the accounting firm, in particular: bank pay-in slip if the capital contribution is made in cash, or verification or filing certificate of the assets appraisal report if the capital contribution is made in non-cash assets such as physical assets or intangible assets;

(7) Photocopy of the duplicate of the business license of legal-person enterprise of the new contributor if the enterprise's State-owned capital contributor changes, and photocopy of the Property Rights Registration Certificate of each State-owned capital contributor;

(8) State property rights transfer document issued by the property rights transfer agency if the transfer is made through such agency;

(9) The most recent financial statements after the change; and

(10) Other documents, materials, etc. as required by the competent financial authority.

       第十五条  金融类企业申办产权变动登记属于第十三条第（二）、（三）、（四）、（五）、（六）项情形的，应当自企业出资人作出决定或者有关部门批准之日起30个工作日内，向工商行政管理部门申请变更登记前，向主管财政部门申办产权变动登记。金融类企业应提交下列文件和资料： 

    （一）企业国有资产产权登记证； 

    （二）企业国有资产产权变动登记申报表； 

    （三）相关部门批准产权变动行为的文件； 

    （四）由出资人公司股东会（董事会）决议及有关部门批准国有资本额增减变动的文件； 

    （五）企业章程和《企业法人营业执照》副本复印件； 

    （六）经会计师事务所审计的产权变动时的验资报告，其中：以货币投资的应当附银行进账单，以实物、无形资产等非货币资产投资的应当提交资产评估报告的核准文件或备案证明； 

    （七）企业国有资本出资人发生变动的，提交新加入的出资人的企业法人营业执照副本复印件，其中，国有资本出资人还应当提交产权登记证复印件； 

    （八）通过产权交易机构转让国有资产产权的，提交产权交易机构出具的转让国有资产产权的交易凭证； 

    （九）发生变动事项后最近一期的财务报告； 

    （十）主管财政部门认定须提交的其他有关文件、资料等。

Chapter 4 Cancellation Registration of Property Rights

第四章  产权注销登记

  Article 16   If a financial enterprise is under any of the following circumstances, it shall apply to the competent financial authority for cancellation registration of property rights:

(1) It is dissolved, discontinued or declared bankrupt pursuant to the laws; 

(2) It transfers all its State property rights or is restructured into an entity without State equity interests;

(3) It is converted into a non-financial State-owned enterprise from a financial State-owned enterprise; or

(4) Other circumstances where cancellation of State property rights is needed as determined by the competent financial authority.

       第十六条  金融类企业发生下列情形之一的，须向主管财政部门申办产权注销登记： 

    （一）解散、被依法撤销或被依法宣告破产； 

    （二）转让全部国有产权或改制后不再设置国有股权； 

    （三）由金融类国有企业转变为非金融类国有企业； 

    （四）主管财政部门认定的其他需要注销国有资产产权的情形。

  Article 17    If a financial enterprise is to be dissolved, its group company or holding company or the liquidation agency shall apply to the competent financial authority for cancellation registration of property rights within 30 working days since the date of approval of its contributors or superior organs.

 If an enterprise is discontinued pursuant to the law, it shall apply to the competent financial authority for cancellation registration of property rights within 30 working days since the relevant governmental department makes such decision.

If an enterprise is declared bankrupt pursuant to the law, it shall apply to the competent financial authority for cancellation registration of property rights within 60 working days since the court issues such decree. 

If an enterprise transfers all its State property rights (equity interests) or is restructured into an entity without State equity interests, or is converted into a non-financial State-owned enterprise from a financial State-owned enterprise, it shall apply to the competent financial authority for cancellation registration of property rights within 30 working days since the date of decision of its contributors or the date of approval of relevant departments.

       第十七条  金融类企业解散的，应当自出资人或上级单位批准之日起30个工作日内，由集团（或控股）公司或清算机构向主管财政部门申请办理产权注销登记。 

    企业被依法撤消的，应当自政府有关部门决定之日起30个工作日内，向主管财政部门申请办理产权注销登记。 

    企业被依法宣告破产的，应当自法院裁定之日起60个工作日内，向主管财政部门申请办理产权注销登记。 

    企业转让全部国有资产产权（股权）或改制后不再设置国有股权的，或由金融类国有企业转变为非金融类国有企业的，应当自企业出资人作出决定或有关部门批准之日起30个工作日内，向主管财政部门申请办理产权注销登记。

  Article 18   A financial enterprise applying for cancellation registration of property rights shall submit to the competent financial authority the following documents and materials:

(1) Application for cancellation registration of State property rights of the enterprise;

(2) Decisions of the shareholders' meeting (and/or resolutions of the board of directors) of contributors and approval of relevant competent authority, or documents of relevant governmental departments indicating that the enterprise is ordered to close down, or bankruptcy decree issued by the court;

(3) A report on verification and liquidation of property as well as the verification or filing certificate of the State property appraisal report;

(4) Agreement or plan on compensable transfer or overall restructuring of the State property rights (equity interests); 

(5) Original and duplicate of the enterprise's Property Rights Registration Certificate as well as the photocopy of the duplicate of its Business License of Legal-Person Enterprise;

(6) Duplicate of the Business License of Legal-Person Enterprise of the transferee; and

(7) Other documents or materials required by the competent financial authority.

       第十八条  金融类企业申办产权注销登记的，应当向主管财政部门提交下列文件和资料： 

    （一）企业国有资产产权注销登记申报表； 

    （二）出资人公司股东会（董事会）和有关主管部门的决议及批准文件，或政府有关部门责令关闭的文件，或法院宣告企业破产的裁定书； 

    （三）财产清查、清算报告以及国有资产评估报告核准文件或备案证明； 

    （四）国有产权（股权）有偿转让或整体改制的协议、方案； 

    （五）本企业的产权登记证正、副本和《企业法人营业执照》副本复印件； 

    （六）受让企业的《企业法人营业执照》副本； 

    （七）主管财政部门认定须提交的其他文件或资料。

  Article 19   After the competent financial authority approves the cancellation registration of property rights of a financial enterprise, it shall take back and nullify the property rights registration certificate.

       第十九条  主管财政部门核准企业产权注销登记后，应收回产权登记证并注销。

Chapter 5 Supervision and Inspection

第五章  监督检查

  Article 20   A financial enterprise shall complete its supervision and inspection work over the property rights registration of itself and all its subsidiaries for the previous year before May 31 of each year, and shall submit to the competent financial authority the following materials: 

(1) Financial statements for the previous year; 

(2) Duplicates of the Property Rights Registration Certificates and duplicates of the Business License of Legal-Person Enterprise;

(3) Report on change of State property rights for the previous year; and

(4) Other documents or materials required by the competent financial authority.

       第二十条  金融类企业应当于每年5月31日前，完成对上一年度企业本级及其各级子公司产权登记情况的监督检查工作，并向主管财政部门提交以下资料： 

    （一）上一年度财务报告； 

    （二）产权登记证副本和《企业法人营业执照》副本； 

    （三）上一年度国有资产产权变动报告书； 

    （四）主管财政部门认定须提交的其他文件或资料。

  Article 21   The report reflecting the change of State property rights for the previous year submitted by a financial enterprise shall include the following contents:

(1) Information on whether the State-owned capital is in place and its increase, decrease or other change;

(2) Change to the allocation and structure of the State-owned capital, including external investment of the enterprise and investment return;

(3) Property rights change information of the enterprise and its subsidiaries as well as relevant registration thereof;

(4) Contingent changes of property rights of the enterprise and its subsidiaries such as provision of guarantee and asset being frozen by a judicial organ; and

(5) Other issues that require explanation as considered by the competent financial authority.

       第二十一条  金融类企业提交的反映上一年度国有资产产权变动情况的报告书应包括以下内容： 

    （一）国有资本金实际到位和增减变动情况； 

    （二）国有资本的分布及结构变化，包括企业对外投资和投资收益情况； 

    （三）企业本级及子公司发生产权变动以及办理相应产权变动登记情况； 

    （四）企业本级及子公司提供担保及资产被司法机关冻结等产权或有变动事项； 

    （五）主管财政部门认定须说明的其他问题。

  Article 22   Each lower-level financial authority shall, before May 31 of each year, prepare an annual summary on State property rights registration of all financial enterprises within its jurisdiction and a report on analysis of change in property rights for the previous year and then submit them to the upper-level financial authority.

       第二十二条  下级主管财政部门应当于每年5月31日前，编制并向上级主管财政部门报送上一年度本级金融类企业国有资产产权登记年度汇总表与产权变动状况的分析报告。

Chapter 6 Administration over Property Rights Registration

第六章  产权登记管理

  Article 23   No entity or individual may forge, alter, lend, lease or sell the State property rights registration certificate of a financial enterprise issued by the property rights registration organ; if the certificate is lost or destroyed, the certificate holder shall reapply to the original State property rights registration organ for a new one.

       第二十三条  任何单位和个人不得伪造、涂改、出借、出租或出售产权登记机关审核颁发的金融类企业国有资产产权登记证，若有遗失或毁坏的，应向原核发产权登记证的产权登记机关申请补发。

  Article 24   A financial enterprise shall ensure that its application materials are complete, true and effective, fill out the relevant application for property rights registration as stipulated, and honestly file the documents and materials relating to the registration, change and cancellation of State property rights to the competent financial authority within the prescribed time limit. 

If a document or material has only one original, the applying enterprise may submit its photocopy instead of the original as required under these Measures. The photocopy shall be signed by the handler and affixed with the seal of the applying enterprise. It shall not be submitted as a legitimate and effective material for property rights registration unless verified by the financial authority as identical to the original without any error.

       第二十四条  金融类企业应保证申报材料的全面真实有效，按规定填写相应的产权登记报表，并在规定期限内向主管财政部门如实申报国有资产产权登记、变更和注销的有关文件资料。 

    如本办法要求申办企业提交的原件材料为孤本的，可以以复印件代替。复印件必须经申办企业经办人签字，加盖单位公章，财政部门经与原件核准无误后，方可作为产权登记的合法有效材料提交。

  Article 25   The competent financial authorities and the financial enterprises shall properly keep the documents and materials relating to application of State property rights registration and establish property rights registration archives. 

If the financial authority in charge of property rights registration of a financial enterprise changes, the original property rights registration organ shall sort out the enterprise's materials of property rights registration and then hand them over to the new property rights registration organ.

       第二十五条  主管财政部门和金融类企业应当妥善保管企业申办国有资产产权登记的文件和资料，并建立产权登记档案。 

    金融类企业的产权登记主管财政部门发生变更的，原产权登记管辖机关须将该企业产权登记档案材料整理、归并后移交新的产权登记管辖机关。

  Article 26   Provincial financial authorities may formulate their respective procedures for administration over registration of State property rights in accordance with these Measures, which shall be submitted to the Ministry of Finance for filing.

       第二十六条  省级主管财政部门可依据本办法制定本级国有资产产权登记管理的工作程序，并报财政部备案。

Chapter 7 Legal Responsibilities

第七章  法律责任

  Article 27   Where a financial enterprise is under any of the following circumstances in the process of going through property rights registration, its competent financial authority shall order it to make corrections. If the circumstance is serious, the enterprise shall be publicly rebuked and may be fined as much as RMB100,000, and the competent financial authority may request relevant governmental departments to impose disciplinary penalties on leaders of the enterprise and relevant persons subject to direct liability according to relevant provisions:   

(1) Failure to go through property rights registration within the prescribed time limit;

(2).Concealing facts and making a false property rights registration;

(3) Failure to submit an annual summary on property rights registration or a report on analysis of change in property rights as stipulated; or

(4) Forging, altering, selling or lending the Property Rights Registration Certificate .

       第二十七条  金融类企业在办理产权登记过程中，有下列行为之一的，由主管财政部门责令其改正。情节严重的，对单位给予通报批评，可以处以10万元以下的罚款，并提请政府有关部门对企业领导人员和直接责任人员按照规定给予纪律处分： 

    （一）在规定期限内不办理产权登记的； 

    （二）隐瞒真实情况未如实办理产权登记的； 

    （三）不按规定提交产权登记年度汇总表和产权变动状况分析报告的； 

    （四）伪造、涂改、出卖或者出借产权登记证的。

  Article 28    When handling property rights registration, the staff of the financial authorities at all levels and the Commissioners' Offices shall strictly implement these Measures and shall not neglect their duties or abuse their powers. Personnel subject to liability in the case of serious violation of these Measures shall be imposed of disciplinary penalties.

       第二十八条  各级财政部门及专员办工作人员在办理产权登记中应严格执行本办法，不得玩忽职守、滥用职权。对严重违反本办法的相关责任人应给予纪律处分。

Chapter 8 Supplementary Provisions

第八章  附则

  Article 29   Any of the financial asset management companies that succeeds to the assets of an entity or equity interests spun off from other State-owned financial enterprise shall go through procedures for State property rights registration promptly according to these Measures. 

For the purpose of these Measures, the "financial asset management companies" shall refer only to China Huarong Asset Management Corporation, China Great Wall Asset Management Corporation, China Orient Asset Management Corporation and China Cinda Asset Management Corporation.

       第二十九条  金融资产管理公司接受其他国有金融类企业剥离自办实体和股权资产的，应按本办法及时办理国有资产产权登记手续。 

    本办法所指金融资产管理公司仅指中国华融资产管理公司、中国长城资产管理公司、中国东方资产管理公司和中国信达资产管理公司。

  Article 30   These Measures shall be implemented as of January 1, 2007.

       第三十条  本办法自2007年1月1日起施行。