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关于发布实施《中国结算协助托管银行冻结、解冻、划转、划回违约客户证券的业务流程》的通知

(中国结算发字[2013]52 号)

各托管银行:

为协助托管银行落实对多边净额结算业务的最终交收责任,明确我公司协助托管银行进行客户交收违约处理的业务办理流程,我公司制定了《中国结算协助托管银行冻结、解冻、划转、划回违约客户证券的业务流程》(见附件),现发布实施。具体操作事宜根据我公司沪、深分公司相关业务指南办理。

特此通知。

附件:中国结算协助托管银行冻结、解冻、划转、划回违约客户证券的业务流程

附件:

中国结算协助托管银行冻结、解冻、划转、划回违约客户证券的业务流程

第一条为规范中国证券登记结算有限责任公司(以下简称“本公司”)协助托管银行进行客户交收违约处理的业务办理,落实本公司与托管银行之间的结算协议相关规定,制定本业务流程。

第二条本公司沪、深分公司根据本业务流程制定相关业务指南,协助托管银行办理冻结和解冻违约客户证券、划转和划回违约客户的质押式回购质押券的具体事宜。

第三条可用于冻结的客户证券应是违约客户证券账户内的在沪、深证券交易所上市且权利未受限制的证券。

第四条托管银行的客户未能按照约定时点向托管银行交付交收资金的,托管银行在征求客户意见后,可于任一交易日规定时点前向本公司申报冻结违约客户的证券,并按规定提交申请材料。

Notice on Issuing and Implementing the Business Process for SD&C to Assist Custodian Banks in Freezing, Unfreezing, Transferring and Transferring Back Securities of Default Clients

No. 52 [2013] of China Securities Depository and Clearing Corporation Limited

All custodian Banks,

In order to assist custodian banks in performing their ultimate settlement responsibilities in multilateral netting settlement business and to specify the business process for the Company to assist custodian banks in settling default penalties imposed on clients, the Company has formulated and promulgated the Business Process for SD&C to Assist Custodian Banks in Freezing, Unfreezing, Transferring and Transferring Back Securities of Default Clients (refer to the Annex). The specific operation shall be subject to relevant business guidance set out by the Company’s branches in Shanghai and Shenzhen.

It is hereby noticed.

Annex: Business Process for SD&C to Assist Custodian Banks in Freezing, Unfreezing, Transferring and Transferring Back Securities of Default Clients

Annex:

Business Process for SD&C to Assist Custodian Banks in Freezing, Unfreezing, Transferring and Transferring Back Securities of Default Clients

Article 1 The Business Process is formulated for purposes of regulating the business process for China Securities Depository and Clearing Corporation Limited (hereinafter referred to as the “Company”) to assist custodian banks in settling default penalties imposed on clients and implementing relevant provisions of the settlement agreement between the Company and custodian banks.

Article 2 The Company’s branches in Shanghai and Shenzhen will assist custodian banks in dealing with specific matters concerning freezing and unfreezing securities of default clients, transferring and transferring back pledge-style repo bonds of default clients.

Article 3 Only unrestricted securities in securities accounts of default clients that are listed in Shanghai or Shenzhen stock exchange can be frozen.

Article 4 If any client of certain custodian bank fails to pay the custodian bank settlement funds within prescribed time limit, after seeking for opinions of the client, the custodian bank may apply for freezing the securities of the default client to the Company before the prescribed time limit in any trading day and shall submit application materials as stipulated.

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