实名制记账式企业债券上转托管操作规程

English Version for Reference Only

附件四

Annex IV

实名制记账式企业债券上市转托管操作规程

Procedures for Listing and Custodian Transfer of Book-entry Enterprise Bonds Registered in Real Name

第一条为规范实名制记账式企业债券上市转托管业务，保护投资人的合法权益，根据《实名制记账

式企业债券发行和托管业务规则》制定本规程。

Article 1 To standardize the listing and custodian transfer of book-entry enterprise bonds under real-name system and protect the legitimate rights and interests of investors, the Procedures for Listing and Custodian Transfer of Book-entry Enterprise Bonds Registered in Real Name (hereinafter referred to as the “Procedures”) are formulated according to the Rules for Issuance and Depository of Book-entry Enterprise Bonds Registered in Real Name.

第二条本规程所用的有关名称和《实名制记账式企业债券登记和托管业务规则》所用的同名名称具

有相同的含义。

Article 2 Terms used in the Procedures have the same meaning as those in the Rules for Registration and Depository of Book-entry Enterprise Bonds Registered in Real Name.

第三条本规程所称债券上市是指经中国证券监督管理委员会（以下简称中国证监会）批准在证券交

易所公开上市交易。

Article 3 Bond listing in the Procedures means the public trading of bonds on the stock exchange approved by China Securities Regulatory Commission (CSRC).

第四条为便于债券上市转托管过户的账务处理，中央结算公司为上市债券的证券交易所以该证券交

易所名义在簿记系统开立债券托管代理总账户。

Article 4 For the ease of accounting treatment regarding bond listing and custodian transfer, China Central Depository & Clearing Co., Ltd (CCDC) will open a general agent bond account for the stock exchange where the relevant bonds are publicly traded in the name of the exchange.

第五条上市债券的转托管流程：

Article 5 The custody transfer process of listed bonds:

一、在中央结算公司开立甲、乙类托管账户的投资人直接向中央结算公司申请办理转托管；对开立丙类托管账户和在承销商营业网点开立二级托管账户的投资人，向其结算代理人或代理开户的债券承销商和二级托管人营业网点申请转托管，由结算代理人或代理开户的债券承销商和二级托管人代为在中央结算

公司办理转托管。

I. Investors that open Type-A or Type-B bond accounts at CCDC shall directly apply to CCDC for custodian transfer; investors that open Type-C bond account and secondary bond account at the business branches of underwriters shall apply to its settlement agent, account-opening bond underwriter, or custodian’s business branches to handle custodian transfer at CCDC on behalf of the investor.

二、开立甲、乙类托管账户的投资人首先填写“中央债券簿记系统债券转托管申请书”（格式见附式一）一式两份，签章后一份留存，一份加密传真后原件快递至中央结算公司；开立丙类托管账户的投资人首先向其结算代理人或代理开户的债券承销商提出转托管申请，填写“中央债券簿记系统转托管申请书”一式三份，签章后交结算代理人或债券承销商，结算代理人或债券承销商核实无误签章后，一份留存，一份交回投资人留存，一份加密传真后原件快递至中央结算公司；柜台二级托管部分的债券，债券承销商在事先征得二级托管认购人的授权后，由债券承销商总部汇总各营业网点转托管数量并填写“中央债券簿记系

统转托管申请书”一式两份，签章后一份留存，一份加密传真后原件快递至中央结算公司。

II. Investors opening Type-A or Type-B bond accounts shall firstly prepare the "Central Bond Bookkeeping System Bond Custodian Transfer Application” (see Appendix I) in duplicate with signature and seal, retain one and send the other to CCDC by both fax with authentication information and by express mail. Investors opening Type-C bond account shall firstly apply to its settlement agent or account-opening bond underwriter for custodian transfer. They should prepare the "Central Bond Bookkeeping System Bond Custodian Transfer Application” in triplicate with signature and seal and then submit the documents to the settlement agent or bond underwriter. After checking the signature and seal and finding no error, the settlement agent or bond underwriter will retain one original copy, return one back to the investor for preservation and send one to CCDC by both fax with authentication information and by express mail. As for the bonds under secondary depository, the bond underwriter shall firstly seek authorization from OTC buyers, and then the headquarters of the bond underwriter shall collect the custodian transfer quantity of all business branches and prepare the "Central Bond Bookkeeping System Custodian Transfer Application”in duplicate with signature and seal, retain one and send the other to CCDC by both fax with authentication information and by express mail.

三、结算代理人或债券承销商通过簿记系统用户终端向簿记系统中心端发送转托管指令。录入转托管

指令时，“转出方托管账户”填写转出方申请人在簿记系统的账户账号，属二级托管的填写该承销商的代理总账户账号；“转入方托管账号”填写上市交易场所在簿记系统的托管账号（上交所账号为：Z0697000000深交所账号为：Z0696000000），“转托管申请人在转入方的托管账号”填写需要转入的券商席位号。指令发

送成功后，电话通知中央结算公司为其确认该笔转托管指令。

III. The settlement agent or bond underwriter shall send custodian transfer instructions to the bookkeeping system center terminal through the bookkeeping system user terminal. When entering custodian transfer instructions, the account number of the transferor shall be put into the "Transferor Bond Account Number" column in the bookkeeping system, or the general agent bond account number of the underwriter if to the relevant bonds are under secondary depository. The bond account number of the stock exchange shall be put into the "Transferee Bond Account Number”column in the bookkeeping system (Shanghai Stock Exchange account No.: Z0697000000, Shenzhen Stock Exchange account No.: Z0696000000). The seat number of securities trader to accept the transferred bonds shall be put into the “Bond Account Number of Custodian Transfer Applicant at Transferee”column. After sending the instructions successfully, the settlement agent or bond underwriter shall inform CCDC by telephone to confirm the custodian transfer instruction.

四、转托管完成后，结算代理人或债券承销商可通过簿记系统用户终端打印出转托管交割单，丙类

托管账户投资人可通过其结算代理人或代理开户的债券承销商打印转托管交割单。

IV. After the completion of custodian transfer, the settlement agent or bond underwriter prints the custodian transfer delivery order through the bookkeeping system user terminal, and the Type-C bond account holder can print the custodian transfer delivery order through its settlement agent or account-opening bond underwriter.

五、中央结算公司核对转托管申请书与簿记系统转托管交割单无误后，填制“债券转托管记账通知书”

（见附式二）一式两份，签章后一份留存，一份加密传真后原件快递至交易所登记结算机构。

V. After checking the custodian transfer application and delivery order of bookkeeping system custodian transfer and finding no error, CCDC shall prepare the “Bond Custodian Transfer Accounting Notice” (see Appendix II) in duplicate with signature and seal, retain one and send the other to the registration and settlement institution of stock exchange both by fax with authentication information and by express mail.

六、交易所登记结算机构收到中央结算公司传真的“债券转托管记账通知书”核验密押无误后，进行相

应的存管登记。

VI. After receiving the “Bond Custodian Transfer Accounting Notice” faxed by CCDC and finding no error in the authentication information, the registration and settlement institution of stock exchange have the bonds registered accordingly.

第六条责任

Article 6 Responsibilities