證券基金翻譯_基金翻譯_證券投資英文翻譯
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【證券基金翻譯特點】
基金是機(jī)構(gòu)投資者的統(tǒng)稱，包括信托投資基金、單位信托基金、公積金、保險基金、退休基金，各種基金會的基金。譯聲翻譯公司是一家高端專業(yè)翻譯服務(wù)機(jī)構(gòu)，我們專注于基金翻譯，對于基金翻譯我們不僅要求翻譯語言精準(zhǔn)，還要在專業(yè)術(shù)語上達(dá)到法律級別上的專業(yè)水準(zhǔn)，我們的譯員都是經(jīng)驗豐富的法律類譯員并長期從事基金翻譯，翻譯后由我們的項目經(jīng)理或資深的審譯員進(jìn)行多次的審查和校對，以確保用詞嚴(yán)謹(jǐn)，表達(dá)清楚，邏輯性強(qiáng)，務(wù)必使得基金不會產(chǎn)生歧義。
【證券基金翻譯服務(wù)項目】
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具體包括：
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開放式基金翻譯 封閉式基金翻譯 股票基金翻譯 債券基金翻譯
【證券基金翻譯主要語種】
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勞動和社會保障部、中國證券監(jiān)督管理委員會關(guān)于企業(yè)年金基金證券投資有關(guān)問題的通知
勞社部發(fā)[2004]第25號
各省、自治區(qū)、直轄市勞動和社會保障廳(局)，中國證監(jiān)會各省、自治區(qū)、直轄市、計劃單列市監(jiān)管局，上海、深圳證券交易所，中國證券登記結(jié)算有限責(zé)任公司，中國證券業(yè)協(xié)會：
為貫徹落實《國務(wù)院關(guān)于推進(jìn)資本市場改革開放和穩(wěn)定發(fā)展的若干意見》，保障企業(yè)年金基金財產(chǎn)安全，維護(hù)企業(yè)年金管理當(dāng)事人合法權(quán)益，促進(jìn)企業(yè)年金健康發(fā)展，現(xiàn)就企業(yè)年金基金證券投資有關(guān)問題通知如下：
一、受托人、托管人、投資管理人要依據(jù)《企業(yè)年金基金管理試行辦法》及相關(guān)法律法規(guī)，管理企業(yè)年金基金財產(chǎn)，從事證券投資活動。
二、托管人要根據(jù)受托人委托，為企業(yè)年金基金申請代理開立證券賬戶。證券賬戶按企業(yè)年金基金投資管理人管理的每個組合開立，賬戶名稱為企業(yè)年金計劃和托管人的聯(lián)名。
三、托管人負(fù)責(zé)所托管企業(yè)年金基金的資金清算和交收。投資管理人要確保企業(yè)年金基金證券交易的正常運作，并承擔(dān)其投資過程中產(chǎn)生的超買、賣空行為的交收責(zé)任。
四、托管人以其名義在中國證券登記結(jié)算有限責(zé)任公司(以下簡稱中國結(jié)算公司)申請開立結(jié)算備付金賬戶，用于其所托管全部基金(含企業(yè)年金基金)的資金清算與交收。
五、投資管理人要按不同托管人，為企業(yè)年金基金證券交易租用或安排專用席位。
六、托管人和投資管理人要及時從證券交易所和中國結(jié)算公司獲得企業(yè)年金基金證券交易結(jié)算數(shù)據(jù)，發(fā)現(xiàn)數(shù)據(jù)錯誤應(yīng)及時與證券交易所和中國結(jié)算公司核對。
七、托管人作為證券交易所的信息披露聯(lián)系人，要根據(jù)交易所業(yè)務(wù)規(guī)則要求，報告相應(yīng)資料，及時提醒受托人履行信息披露義務(wù)。
八、受托人、托管人、投資管理人要按照中國結(jié)算公司制定的《企業(yè)年金基金證券投資登記結(jié)算業(yè)務(wù)指南》(見附件)，開展企業(yè)年金基金投資涉及的證券賬戶管理及相關(guān)的證券登記、托管、結(jié)算等業(yè)務(wù)。
九、勞動保障部定期不定期對受托人、托管人和投資管理人執(zhí)行上述規(guī)定的情況進(jìn)行監(jiān)督檢查。
十、本通知發(fā)布之日起，其他按規(guī)定可以進(jìn)行證券投資的社會保障基金參照本通知執(zhí)行。
附件：企業(yè)年金基金證券投資登記結(jié)算業(yè)務(wù)指南
勞動和社會保障部
中國證券監(jiān)督管理委員會
二○○四年九月二十九日
附件：
企業(yè)年金基金證券投資登記結(jié)算業(yè)務(wù)指南
第一條為方便企業(yè)年金基金參與證券市場投資活動，保障基金資產(chǎn)安全，保護(hù)職工合法權(quán)益，根據(jù)國家法律法規(guī)和《企業(yè)年金試行辦法》、《企業(yè)年金基金管理試行辦法》，按照中國證券監(jiān)督管理委員會(以下簡稱中國證監(jiān)會)有關(guān)規(guī)定和中國證券登記結(jié)算有限責(zé)任公司(以下簡稱中國結(jié)算公司)有關(guān)業(yè)務(wù)規(guī)則，制定本指南。
第二條本指南適用企業(yè)年金基金投資涉及的證券賬戶管理及相關(guān)的證券登記、托管、結(jié)算等業(yè)務(wù)。
第三條企業(yè)年金基金證券賬戶由企業(yè)年金計劃托管人(以下簡稱托管人)直接到中國結(jié)算公司上海、深圳分公司(以下統(tǒng)稱中國結(jié)算公司)辦理。
第四條托管人開立企業(yè)年金基金證券賬戶須提供以下材料：
(一)《機(jī)構(gòu)證券賬戶注冊申請表》;
(二)勞動保障部門企業(yè)年金基金監(jiān)管機(jī)構(gòu)出具的企業(yè)年金計劃確認(rèn)函(含登記號)原件及復(fù)印件;
(三)企業(yè)年金計劃受托人(以下簡稱受托人)對托管人的委托授權(quán)書;
(四)托管人法定代表人證明書及法定代表人的有效身份證明文件復(fù)印件;
(五)法定代表人委托授權(quán)書或總行對分行開辦企業(yè)年金基金托管業(yè)務(wù)資格的批準(zhǔn)文件;
(六)加蓋托管人授權(quán)印章的托管人營業(yè)執(zhí)照復(fù)印件;
(七)受托人與托管人簽訂的托管協(xié)議原件;
(八)經(jīng)辦人有效身份證明文件原件及復(fù)印件;
(九)中國結(jié)算公司要求提供的其他材料。
第五條托管人在填寫《機(jī)構(gòu)證券賬戶注冊申請表》時，持有人名稱一項應(yīng)為**企業(yè)年金計劃+托管人;身份證明文件號碼一項應(yīng)為勞動保障部門企業(yè)年金基金監(jiān)管機(jī)構(gòu)出具的企業(yè)年金計劃確認(rèn)函中的登記號。企業(yè)年金計劃名稱和登記號根據(jù)本指南第四條第(二)項填寫。單個企業(yè)年金計劃可在不同市場最多分別開立十個證券賬戶，中國證監(jiān)會和勞動保障部批準(zhǔn)的除外。
第六條中國結(jié)算公司審核本指南第四條規(guī)定材料無誤后予以開戶，并留存規(guī)定的文件原件或復(fù)印件。
第七條托管人申請證券賬戶注冊資料查詢與變更、賬戶卡掛失補(bǔ)辦、賬戶注銷等業(yè)務(wù)，參照《中國證券登記結(jié)算有限責(zé)任公司證券賬戶管理規(guī)則》的相關(guān)規(guī)定辦理。企業(yè)年金計劃變更托管人按照本指南第八條和第九條辦理。
第八條企業(yè)年金計劃變更托管人后，應(yīng)當(dāng)委托新的托管人申請辦理證券賬戶注冊資料變更。申請人應(yīng)提交以下資料：
(一)《證券賬戶注冊資料變更申請表》;
(二)受托人對托管人的委托授權(quán)書;
(三)托管人法定代表人證明書及法定代表人的有效身份證明文件復(fù)印件;
(四)托管人法定代表人委托授權(quán)書或總行對分行開辦企業(yè)年金基金托管業(yè)務(wù)資格的批準(zhǔn)文件;
(五)加蓋托管人授權(quán)印章的托管人營業(yè)執(zhí)照復(fù)印件;
(六)受托人與新托管人簽訂的托管協(xié)議原件;
(七)證券賬戶卡;
(八)原托管人出具的解除托管關(guān)系確認(rèn)書;
(九)經(jīng)辦人有效身份證明文件原件及復(fù)印件;
(十)中國結(jié)算公司要求提供的其他材料。
第九條變更企業(yè)年金計劃托管人的，中國結(jié)算公司在審核本指南第八條規(guī)定材料無誤后，可予變更證券賬戶注冊資料，并留存規(guī)定的文件原件或復(fù)印件。
第十條托管人申請辦理相關(guān)賬戶業(yè)務(wù)時，應(yīng)按中國結(jié)算公司有關(guān)機(jī)構(gòu)?嘶У氖輾馴曜冀荒上嚶Ψ延謾?span class="br">第十一條托管人作為中國結(jié)算公司的結(jié)算參與人(以下簡稱結(jié)算參與人)，應(yīng)以一個凈額完成其所托管包括企業(yè)年金基金的全部基金等證券交易的資金清算與交收。對于企業(yè)年金基金投資運作過程中出現(xiàn)證券超買、賣空等行為，托管人應(yīng)負(fù)責(zé)向相關(guān)責(zé)任人追究相應(yīng)的交收責(zé)任，并報告相關(guān)監(jiān)管部門。
第十二條結(jié)算參與人辦理結(jié)算業(yè)務(wù)前，應(yīng)與中國結(jié)算公司簽訂結(jié)算協(xié)議，明確各方的權(quán)利和義務(wù)。
第十三條結(jié)算參與人應(yīng)以自身名義在中國結(jié)算公司開立唯一一個結(jié)算備付金賬戶，通過該賬戶并按一個凈額完成其所托管全部基金等(不含qfii)的資金結(jié)算業(yè)務(wù)。企業(yè)年金基金作為托管基金的一部分，應(yīng)納入結(jié)算參與人結(jié)算備付金賬戶的單一凈額結(jié)算。
第十四條結(jié)算參與人應(yīng)當(dāng)在中國結(jié)算公司預(yù)留指定收款賬戶，通過該賬戶接收其從結(jié)算備付金賬戶匯劃的資金。指定收款賬戶名稱應(yīng)與結(jié)算參與人名稱一致。
第十五條結(jié)算參與人名稱、指定收款賬戶、托管企業(yè)年金基金等信息發(fā)生變更時，結(jié)算參與人應(yīng)及時向中國結(jié)算公司提供相應(yīng)資料，辦理結(jié)算賬戶變更手續(xù)。
第十六條已開立結(jié)算備付金賬戶的結(jié)算參與人，新增托管企業(yè)年金基金時，應(yīng)向中國結(jié)算公司提交受托人的委托授權(quán)書。托管人新增的企業(yè)年金基金與其所托管的其他基金，共同參與該結(jié)算參與人結(jié)算備付金賬戶的單一凈額結(jié)算。
第十七條受托人變更托管人后，新任托管人應(yīng)按本指南第十一條、第十二條、第十三條規(guī)定在中國結(jié)算公司開立結(jié)算備付金賬戶，或按本指南第十六條規(guī)定執(zhí)行。
第十八條對于結(jié)算參與人所托管的企業(yè)年金基金，中國結(jié)算公司按結(jié)算備付金管理的相關(guān)規(guī)定核定相應(yīng)的最低結(jié)算備付金。結(jié)算參與人結(jié)算備付金賬戶的日末余額不得低于中國結(jié)算公司核定的最低結(jié)算備付金限額。
第十九條企業(yè)年金基金應(yīng)通過專用交易席位進(jìn)行證券交易。每個交易日(t日)閉市后，中國結(jié)算公司根據(jù)證
Circular of the Ministry of Labor and Social Security and China Securities Regulatory Commission on the Relevant Issues concerning Securities Investment of Enterprise Annuity Fund
Lao She Bu Fa [2004] No. 25The labor and social security offices or bureaus of all the provinces, autonomous regions, and municipalities directly under the Central Government, and the regulatory bureaus under China Securities Regulatory Commission of all the provinces, autonomous regions, municipalities directly under the Central Government, and cities specifically designated in the state plan, the Shanghai and Shenzhen Stock exchanges, the China Securities Depository and Clearing Corporation Limited, and the Securities Association of China,
For the purpose of implementing the Several Opinions of the State Council on Pushing forward the Reform and Opening and Stable Development of Capital Market, ensuring the safety of enterprise annuity fund, maintaining the legitimate rights and interests of the parties of the enterprise annuity fund management, and promoting the healthy development of enterprise annuity fund, The Circular on the relevant issues concerning the securities investment of enterprise annuity fund is hereby issued as follows:
I.The fiduciaries, trustees, and investment custodians shall, in accordance with the Trial Measures for Enterprise Annuity Fund Management, manage the enterprise annuity fund and engage in securities investment activities.
II.A trustee shall apply for opening securities account for enterprise annuity fund upon the entrustment of a fiduciary. In light of each portfolio that is managed by the investment custodian of enterprise annuity fund, the securities account shall be opened in the joint name of the enterprise annuity plan and the trustee.
III.A trustee shall be responsible for the clearing and settlement of the capital of enterprise annuity fund entrusted to it. An investment custodian shall ensure the ordinary operation of the securities transaction of enterprise annuity fund, and assume the settlement responsibilities for its acts of overbuying and short selling in the course of investment.
IV.A trustee shall apply for opening a settlement reserve account in its own name in the China Securities Depository and Clearing Corporation Limited (hereinafter referred to as the China Clearing Corporation) for clearing and settling the capital of all the funds (including enterprise annuity fund) entrusted to it.
V.An investment custodian shall lease or arrange special seats for securities transaction of enterprise annuity fund for different trustees.
VI.A trustee and an investment custodian shall timely obtain the settlement data of securities transaction of enterprise annuity fund from the stock exchange and the China Clearing Corporation, and shall check with the stock exchange and the China Clearing Corporation in time if any mistake is discovered in the data.
VII.As a contact person for information disclosure of a stock exchange, a trustee shall, in accordance with the requirements of the business rules of a stock exchange, report the relevant materials and remind the fiduciary of fulfilling the obligation of information disclosure in time.
VIII.A fiduciary, trustee, and investment custodian shall, in accordance with the Business Guide for the Depository and Clearing of Securities Investment of Enterprise Annuity Fund (See the Annex), carry out management on securities account concerning enterprise annuity fund and the relevant businesses of securities depository, custody and settlement, etc.
IX.The Ministry of Labor and Social Security shall regularly or irregularly conduct supervision over and inspection on fiduciaries, trustees and investment custodians for their implementation of the aforesaid provisions.
X.The present Circular shall be applicable to other social securities funds that may be used for securities investment as prescribed in other regulations as of the date of its promulgation.
Annex: Business Guide for the Depository and Clearing of Securities Investment of Enterprise Annuity Fund
Ministry of Labor and Social Security and China Securities Regulatory Commission
September 29, 2004
Annex:
Business Guide for the Depository and Clearing of Securities Investment of Enterprise Annuity Fund
Article 1For the purpose of facilitating the participation of enterprise annuity fund in the investment activities in the securities market, ensuring the safety of fund assets, and protecting the legal rights and interests of employees, the present Business Guide is formulated in accordance with the state laws and regulations, the Trial Measures on Enterprise Annuity, the Trial Measures on Enterprise Annuity Fund Management, and in light of the relevant provisions of China Securities Regulatory Commission (hereinafter referred to as the CSRC) and the relevant business rules of the China Securities Depository and Clearing Corporation Limited (hereinafter referred to as the China Clearing Corporation).
Article 2The present Business Guide shall be applicable to the management on securities accounts concerning the investment of enterprise annuity fund and the relevant securities depository, custody and clearing, and other businesses.
Article 3The securities account of enterprise annuity fund shall be opened by the trustee of enterprise annuity plan (hereinafter referred to as the "trustee") directly at the Shanghai and Shenzhen branches of the China Clearing Corporation (hereinafter referred to as the China Clearing Corporation uniformly).
Article 4When opening a securities account of enterprise annuity fund, a trustee shall provide the following materials:
1.The application Form for Registration of Securities Account of an Institution;
2.The original copy and photocopy of the letter of confirmation (including registration number) on enterprise annuity plan as issued by the regulatory institutions of enterprise annuity fund under the labor security department;
3.The power of attorney from the fiduciary of the enterprise annuity plan to the trustee (hereinafter referred to as the "fiduciary");
4.The photocopies of the certificate of the legal representative of the trustee and the valid identification document of the legal representative;
5.The power of attorney of the legal representative or the documents of approval of the parent bank on the qualification of its branch bank for their launching enterprise annuity fund custody business;
6.The photocopy of the business license of the trustee with his/its seal of authorization;
7.The original copy of the trusteeship agreement concluded between the fiduciary and the trustee;
8.The original copy and photocopy of the valid identification documents of the handling agent; and
9.Other materials as required by the China Clearing Corporation.
Article 5A trustee shall, when filling in the Application Form for Registration of Securities Account of an Institution, fill in the item of "name of the holder" with "**enterprise annuity plan plus the name of the trustee and the item of "number of identification documents" with "registration number in the letter of confirmation of enterprise annuity plan as issued by the regulatory institution of enterprise annuity fund under the labor security department". The name of enterprise annuity plan and the registration number shall be filled in according to item (2) of Article 4 of the present Business Guide. Ten securities accounts may be opened separately in different markets for a single enterprise annuity fund, except the case that any more securities account is approved by the CSRC and the Ministry of Labor and Social Security.
Article 6The China Clearing Corporation may open an account after examining the materials as prescribed in Article 4 of the present Business Guide and if there is no mistake in them, and shall keep the original copy or photocopy of the prescribed documents.
Article 7In case a trustee applies for inquiring about the registration materials of a securities account, alteration, reporting the loss of account card and its makeup, writing off the account or for other businesses, it shall handle it with reference to the relevant provisions of the Rules of the China Securities Depository and Clearing Corporation Limited for Securities Account Management. Articles 8 and 9 of the present Business Guide shall be followed for the alteration of the trustee of enterprise annuity plan.
Article 8After a trustee of an enterprise annuity plan is altered, a new trustee shall be entrusted to apply for handling the alteration of registration materials of securities account. An applicant shall submit the following materials:
1.The application Form for Alteration of Registration Materials of Securities Accounts;
2.The power of attorney from a fiduciary to a trustee;
3.The photocopy of the certificate of legal representative of a trustee and the valid identification document of the legal representative;
4.The power of attorney of the legal representative of a trustee or documents of approval of the parent bank for the qualification of its branch bank for its launching enterprise annuity fund trusteeship business;
5.The photocopy of the business license of a trustee with its seal of authorization;
6.The original copy of the trusteeship agreement concluded by a fiduciary and a new trustee;
7.The securities account card;
8.The letter of confirmation for rescinding trusteeship relations as issued by the former trustee;
9.The original copy and photocopy of the valid identification documents of the handling agent; and
10.Other materials as required by the China Clearing Corporation.
Article 9In case the trustee for enterprise annuity plan is altered, the China Clearing Corporation may alter the registration materials of the securities account after examining the materials as prescribed in Article 8 of the present Business guide and if there is no mistake in them, and shall keep the original copy or photocopy of the prescribed documents.
Article 10When applying for handling the relevant account business, a trustee shall pay the corresponding fees according to the charging standard for the account of relevant institutions of the China Clearing Corporation.
Article 11As a participant in the clearing of the China Clearing Corporation (hereinafter referred to as the "clearing participant"), a trustee shall complete capital clearing and settlement with a net amount of such securities transactions under its trusteeship as the total enterprise annuity funds. For acts of overbuying and short selling occurred during the investment operation of enterprise annuity fund, a trustee shall be responsible for prosecuting the relevant responsible person for the corresponding settlement liabilities, and report to the relevant regulatory departments.
Article 12Before handling the clearing business, a clearing participant shall conclude a clearing agreement with the China Clearing Corporation, specifying the rights and obligations of each party.
Article 13A clearing participant shall open a sole settlement reserve account in its own name at the China Clearing Corporation, and through the account complete the capital clearing business of all the funds under its trusteeship (excluding QFII) with a net amount. As one part of the trust fund, the enterprise annuity fund shall be brought into the settlement reserve account of the clearing participant for clearing with a single net amount.
Article 14A clearing participant shall preserve the designated fee-collection account at the China Clearing Corporation and receive the fund transferred from the settlement reserve account through the account. The name of the designated fee-collection account shall be in conformity with that of the clearing participant.
Article 15In case there is any alteration on the name of the clearing participant, the designated gathering account, the entrusted enterprise annuity fund and other information, the clearing participant shall provide the corresponding materials to the China Clearing Corporation in time and handle formalities for alteration of clearing account.
Article 16In case any clearing participant who has opened the settlement reserve account newly increases entrusted enterprise annuity fund, it shall submit to the China Clearing Corporation the power of attorney from a fiduciary. The newly increased enterprise annuity fund of a trustee and other fund under his/its trusteeship shall participate in the clearing of single net amount of the settlement reserve account of the clearing participant together.
Article 17After a fiduciary alters a trustee, the newly appointed trustee shall open a settlement reserve account in the China Clearing Corporation in accordance with the provisions of Articles 11, 12, 13 of the present Business guide, or implement according to Article 16 of the present Business guide.
Article 18For the enterprise annuity fund under the trusteeship of a clearing participant, the China Clearing Corporation shall check and ratify the corresponding minimum clearing reserve in accordance with the relevant provisions on the management of clearing reserve. The balance at the end of a day in the clearing reserve account of a clearing participant shall not be lower than the minimum amount of clearing reserve as checked and ratified by the China Clearing Corporation.
Article 19The securities transactions on enterprise annuity fund shall be carried out through special transaction seats. After the market is closed in each transaction day (T day), the China Clearing Corporation shall compute the amount of securities receivable and payable in the securities account of enterprise annuity fund, and produce the securities clearing data on the basis of the amount of transactions and other data of the securities account of special transaction seat of enterprise annuity fund of stock exchange in the T day; and compute the net amount of capital receivable or payable by the clearing participant on the basis of the transaction amount and other data of all the funds under the trusteeship of the clearing participant in the T day to determine the relevant settlement liabilities.
Article 20After completing the clearing in T day, the China Clearing Corporation shall store the securities and capital clearing data in the current day into the clearing system as the basis and instructions for settlement of securities and capital of the clearing participant, and the clearing participant shall obtain such data from the system of the China Clearing Corporation timely.
The China Clearing Corporation shall be regarded as having notified the clearing participant of the settlement instruction unless when a clearing participant is unable to obtain the relevant data due to the reason of the system of the China Clearing Corporation.
Article 21A clearing participant shall perform the settlement obligations in a timely manner in light of the instruction of the China Clearing Corporation for settlement of securities and capital. If a clearing participant has any objection to the clearing data provided by the China Clearing Corporation, it shall represent it to the China Clearing Corporation in a timely manner. If there is a real clearing error after being checked by the China Clearing Corporation, the China Clearing Corporation shall correct it, but the clearing participant may not refuse to perform or delay the performance of the settlement obligations of the current day because of this.
Article 22The China Clearing Corporation shall, in light of the current business regulations and on the basis of the clearing data at the T day, complete the settlement of securities and capital that are finally irrevocable with the clearing participant on the T+1 day.
Article 23A clearing participant shall pay clearing mutual insurance fund as required in light of the principle of bearing risk together in order to prevent the clearing risk. The provisions of the China Clearing Corporation shall be followed for the payment and deposit, adjustment, management and use of the clearing mutual insurance fund.
Article 24The China Clearing Corporation shall collect securities clearing risk fund from the clearing participants as an agent in accordance with the provisions of the Interim Measures for the Management of Securities Clearing Risk Fund as promulgated by the CSRC and the Ministry of Finance.
Article 25Any overdraft occurred in the settlement reserve account of a clearing participant shall be deemed as breach of contract in capital settlement. The China Clearing Corporation may take the following measures against its breach of contract in capital settlement:
1.According to the amount of overdraft of the clearing participant, computing the interests on the overdraft and the fine for breach of contract in light of the relevant provisions of the China Clearing Corporation.
2.The clearing participant may, before 15:00 o'clock of the transaction date (T+1 day), file an application with the China Clearing Corporation for detaining the securities for overdraft, and specify the overdraft fund securities account entrusted by it and the amount of overdraft. The China Clearing Corporation shall detain the securities by turn from the back to the front according to the order of buying the securities as designated by it in the overdraft fund securities account, until the market value of the securities detained has reached 120% of the amount of overdraft (the market value of the securities shall be computed at the closing price of the day, the same hereinafter). In case the value of all the securities in the fund securities account is less than 120% of the amount of overdraft, all the securities in the fund securities account shall be detained.
In case the clearing participant fails to designate the overdraft fund, the China Clearing Corporation shall have be entitled to determine by itself not to deliver the securities that are equal to 120% market value of the amount of overdraft.
3.Any overdraft of capital settlement caused by the clearing participant shall be registered as the bad business record of the clearing participant by the China Clearing Corporation;
4.Reporting the overdraft of capital settlement to the CSRC in a timely manner. And
5.Asking the stock exchange to restrict or suspend the buying of securities in the overdraft fund securities account as designated by the clearing participant.
Article 26In case any short selling occurs in the fund securities account entrusted by a clearing participant, it shall be deemed as breach of contract by the clearing participant in securities settlement. The China Clearing Corporation may not pay the capital equivalent to the short selling price temporarily on the T+ 1 day, and shall compute and collect the fine for breach of contract on the basis of the short selling price in accordance with the relevant provisions of the China Clearing Corporation. If the short selling securities have been made up within two transaction days, the China Clearing Corporation may rescind the temporary detainment on the short selling price. Or else, the China Clearing Corporation shall buy securities equal to the amount of short selling with the capital detained temporarily, and the gains and losses occurred thereby shall be traced back by the clearing participant to the party liable or returned by the clearing participant.
Article 27The China Clearing Corporation shall have the right to make special monitoring on the clearing participants with higher clearing risks, and may take measures to raise the amount of payment of clearing mutual insurance fund, if necessary, and adjust the proportion and time of payment and deposit of minimum clearing reserve, so as to prevent the relevant risks effectively.
Article 28In case a clearing participant applies for writing off its settlement reserve account, he/it may, after settling the creditor's rights and debts related to securities depository and clearing with the China Clearing Corporation, apply to the China Clearing Corporation for transferring and paying the balance of clearing reserve and the balance of clearing mutual insurance fund.
Article 29The power to interpret the present Business Guide shall remain with the China Clearing Corporation.
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