中华人民共和国民用航空器适航管理条例(附英文)
国务院
中华人民共和国民用航空器适航管理条例(附英文)
1987年5月4日,国务院
第一条 为保障民用航空安全,维护公众利益,促进民用航空事业的发展,特制定本条例。
第二条 在中华人民共和国境内从事民用航空器(含航空发动机和螺旋桨,下同)的设计、生产、使用和维修的单位或者个人,向中华人民共和国出口民用航空器的单位或者个人,以及在中华人民共和国境外维修在中华人民共和国注册登记的民用航空器的单位或者个人,均须遵守本条例。
第三条 民用航空器的适航管理,是根据国家的有关规定,对民用航空器的设计、生产、使用和维修,实施以确保飞行安全为目的的技术鉴定和监督。
第四条 民用航空器的适航管理由中国民用航空局(以下简称民航局)负责。
第五条 民用航空器的适航管理,必须执行规定的适航标准和程序。
第六条 任何单位或者个人设计民用航空器,应当持航空工业部对该设计项目的审核批准文件,向民航局申请型号合格证。民航局接受型号合格证申请后,应当按照规定进行型号合格审定;审定合格的,颁发型号合格证。
第七条 任何单位或者个人生产民用航空器,应当具有必要的生产能力,并应当持本条例第六条规定的型号合格证,经航空工业部同意后,向民航局申请生产许可证。民航局接受生产许可证申请后,应当按照规定进行生产许可审定;审定合格的,颁发生产许可证,并按照规定颁发适航证。
任何单位或者个人未按照前款规定取得生产许可证的,均不得生产民用航空器。但本条例第八条规定的除外。
第八条 任何单位或者个人未取得生产许可证,但因特殊需要,申请生产民用航空器的,须经民航局批准。
按照前款规定生产的民用航空器,须经民航局逐一审查合格后,颁发适航证。
第九条 民用航空器必须具有民航局颁发的适航证,方可飞行。
民航局颁发的适航证应当规定该民用航空器所适用的活动类别、证书的有效期限及安全所需的其他条件和限制。
第十条 持有民用航空器生产许可证的单位生产的民用航空器,经国务院有关主管部门批准需要出口时,由民航局签发出口适航证。
第十一条 在中华人民共和国境内飞行的民用航空器必须具有国籍登记证。在中华人民共和国注册登记的民用航空器,具有中华人民共和国国籍,国籍登记证由民航局颁发。民用航空器取得国籍登记证后,必须按照规定在该民用航空器的外表标明国籍登记识别标志。
第十二条 中华人民共和国的任何单位或者个人进口外国生产的任何型号的民用航空器,如系首次进口并用于民用航空活动时,出口民用航空器的单位或者个人必须向民航局申请型号审查。民航局接受申请后,应当按照规定对该型号民用航空器进行型号审查;审查合格的,颁发准予进口的型号认可证书。
第十三条 中华人民共和国的任何单位或者个人租用的外国民用航空器,必须经民航局对其原登记国颁发的适航证审查认可或者另行颁发适航证后,方可飞行。
第十四条 任何单位或者个人的民用航空器取得适航证以后,必须按照民航局的有关规定和适航指令,使用和维修民用航空器,保证其始终处于持续适航状态。
第十五条 加装或者改装已取得适航证的民用航空器,必须经民航局批准,涉及的重要部件、附件必须经民航局审定。
第十六条 中华人民共和国境内和境外任何维修单位或者个人,承担在中华人民共和国注册登记的民用航空器的维修业务的,必须向民航局申请维修许可证,经民航局对其维修设施、技术人员、质量管理系统审查合格,并颁发维修许可证后,方可从事批准范围内的维修业务活动。
第十七条 负责维修并放行在中华人民共和国注册登记的民用航空器的维修技术人员,必须向民航局提出申请,经民航局或者其授权单位考核合格并取得维修人员执照或者相应的证明文件后,方可从事民用航空器的维修并放行工作。
第十八条 民用航空器的适航审查应当收取费用。收费办法由民航局会同财政部制定。
第十九条 民航局有权对生产、使用、维修民用航空器的单位或者个人以及取得适航证的民用航空器进行定期检查或者抽查;经检查与抽查不合格的,民航局除按照本条例的有关规定对其处罚外,还可吊销其有关证件。
第二十条 使用民用航空器进行飞行活动的任何单位或者个人有下列情形之一的,民航局有权责令其停止飞行,并视情节轻重,处以罚款:
一、民用航空器未取得适航证的;
二、民用航空器适航证已经失效的;
三、使用民用航空器超越适航证规定范围的。
第二十一条 维修民用航空器的单位或者个人,有下列情形之一的,民航局有权责令其停止维修业务或者吊销其维修许可证,并视情节轻重,处以罚款:
一、未取得维修许可证,擅自承接维修业务的;
二、超过维修许可证规定的业务范围,承接维修业务的;
三、由未取得维修人员执照的人员负责民用航空器的维修并放行的。
第二十二条 任何单位或者个人违反本条例第七条规定,擅自生产民用航空器的,民航局有权责令其停止生产,并视情节轻重,处以罚款。
第二十三条 按照本条例受到处罚的单位的上级主管机关,应当根据民航局的建议对受罚单位的主要负责人或者直接责任人员给予行政处分;情节严重,构成犯罪的,由司法机关依法追究刑事责任。
第二十四条 民航局因适航管理工作的过失造成人身伤亡或者重大财产损失的,应当承担赔偿责任,并对直接责任人员给予行政处分;直接责任人员的行为构成犯罪的,由司法机关依追究刑事责任。
第二十五条 民航局从事适航管理的工作人员,利用职务之便营私舞弊的,应当给予行政处分;情节严重,构成犯罪的,由司法机关依法追究刑事责任。
第二十六条 任何单位或者个人对民航局作出的罚款决定不服的,可以在接到罚款通知书之日起十五日内向民航局提请复议,也可以直接向人民法院起诉;期满不提请复议也不起诉又不执行的,民航局可以申请人民法院强制执行。
第二十七条 民航局应当在广泛征求航空工业部及各有关部门意见的基础上,制定本条例的实施细则及有关技术标准。
第二十八条 本条例由民航局负责解释。
第二十九条 本条例自一九八七年六月一日起施行。
REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA FOR THE ADMINISTRA-TION OF THE AIRWORTHINESS OF CIVIL AIRCRAFT
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA FOR THE ADMINISTRA-
TION OF THE AIRWORTHINESS OF CIVIL AIRCRAFT
(Promulgated by the State Council on May 4, 1987)
Article 1
These Regulations are formulated for the purpose of ensuring safety in
civil aviation, protecting public interests and promoting the development
of civil aviation undertakings.
Article 2
All units or individuals that are engaged in the designing, manufacturing,
use and maintenance of civil aircraft (including aircraft engines and
propellers, and the same hereinafter) within the People's Republic of
China, all units or individuals that export civil aircraft to the People's
Republic of China, and all units or individuals that perform outside the
People's Republic of China maintenance services to aircraft registered in
the People's Republic of China shall abide by these Regulations.
Article 3
The administration of the airworthiness of civil aircraft denotes the
technical appraisal and supervision exercised in accordance with the
pertinent provisions of the State over the designing, manufacturing, use
and maintenance of civil aircraft for the purpose of ensuring safety in
flight.
Article 4
The Civil Aviation Administration of China (hereinafter referred to as the
"CAAC") shall be responsible for the administration of the airworthiness
of civil aircraft.
Article 5
The administration of the airworthiness of civil aircraft shall be
exercised in accordance with the prescribed airworthiness criteria and
procedures.
Article 6
Any units or individuals that intend to design civil aircraft shall, on
the strength of the document issued by the Ministry of Aeronautic Industry
for the examination and approval of the design project, apply to the CAAC
for a Certificate of Up-to-Standard Model. The CAAC shall, after receipt
of the application therefor, conduct the examination and appraisal, in
accordance with the relevant provisions, as to whether the model to be
designed is up to standard and, if the model is proved to be up to
standard, a Certificate of Up-to-Standard Model shall be issued.
Article 7
Any units or individuals that intend to manufacture civil aircraft shall
have the necessary manufacturing capacity and shall, on the strength of
the Certificate of Up-to-Standard Model as prescribed in Article 6 of
these Regulations and with the consent of the Ministry of Aeronautic
Industry, apply to the CAAC for a Manufacturing Permit. The CAAC shall,
after receipt of the application therefor, conduct examination and
appraisal, in accordance with the relevant provisions, as to whether the
applicants are qualified to obtain a Manufacturing Permit, if they are
proved to be qualified, a Manufacturing Permit shall be issued to them,
together with an Airworthiness Certificate to be issued in accordance with
the relevant provisions.
No units or individuals that have not obtained a Manufacturing Permit in
accordance with the provisions of the preceding paragraph may manufacture
civil aircraft, except as otherwise prescribed in the provisions of
Article 8 of these Regulations.
Article 8
Any units or individuals that have not obtained a Manufacturing Permit but
intend to manufacture civil aircraft as a result of special needs shall
apply to the CAAC for approval. Civil aircraft manufactured in accordance
with the provision in the preceding paragraph shall be examined one by one
and only after each of them is proved to be up to standard shall an
Airworthiness Certificate be issued.
Article 9
Civil aircraft may engage in flight operations only when they have
possessed an Airworthiness Certificate issued by the CAAC.
The Airworthiness Certificate issued by the CAAC shall specify the type(s)
of activities the aircraft is (are) good for, the period of validity of
the Certificate, and other conditions and restrictions required for
ensuring safety.
Article 10
If civil aircraft manufactured by units possessing a Civil Aircraft
Manufacturing Permit are to be exported as approved by the competent
authorities under the State Council, the Airworthiness Certificate for
Export shall be issued by the CAAC.
Article 11
Civil aircraft that are to fly within the People's Republic of China must
possess Nationality Registration Certificates. Civil aircraft that have
been registered in the People's Republic of China shall bear the
nationality of the People's Republic of China and shall be issued
Nationality Registration Certificate by the CAAC. Civil aircraft shall,
after obtaining a Nationality Registration Certificate, stencil on their
outer surface the identification marks of nationality registration in
accordance with the relevant provisions.
Article 12
Where any units or individuals of the People's Republic of China intend to
import any model of civil aircraft manufactured in foreign countries, and
if it is imported for the first time and to be used for civil aviation
activities, the units or individuals exporting that civil aircraft shall
apply to the CAAC for examination of the model. The CAAC shall, upon
receipt of the application, conduct the examination of the model of the
civil aircraft in accordance with the relevant provisions. If the model is
proved to be up to standard, a Certificate for Model Approval shall be
issued to permit the import.
Article 13
A foreign civil aircraft leased by any unit or individual of the People's
Republic of China may engage in flight operations only after the CAAC has
examined and approved the airworthiness certificate issued by the country
of registry of the said aircraft or only after the CAAC has issued a new
Airworthiness Certificate to the aircraft.
Article 14
Any units or individuals that have obtained Airworthiness Certificates for
their civil aircraft shall, in accordance with the relevant provisions of
the CAAC and its mandates of airworthiness, use and maintain the said
civil aircraft and ensure that they are in a state of permanent
airworthiness.
Article 15
The addition or modification of a civil aircraft for which an
Airworthiness Certificate has been obtained shall be subject to the
approval of the CAAC and the essential components and accessories involved
shall be subject to the examination and approval of the CAAC.
Article 16
Any maintenance units or individuals inside or outside the People's
Republic of China that intend to undertake maintenance services for civil
aircraft registered in the People's Republic of China shall apply to the
CAAC for a Maintenance Permit. Only after the CAAC has examined their
maintenance facilities, technical personnel and quality control system,
found them up to standard and issued a Maintenance Permit may they engage
in the maintenance business activities within the scope approved.
Article 17
Maintenance technical personnel in charge of maintaining and releasing
civil aircraft registered in the People's Republic of China shall apply to
the CAAC and only after the CAAC or a unit authorized by the CAAC has
examined them and found them qualified and they have thus obtained a
Maintenance Personnel Licence or a similar certificate may they engage in
the maintenance and release of civil aircraft.
Article 18
Fees shall be charged for the examination of the airworthiness of a civil
aircraft. The amounts to be charged and relevant procedures for charging
shall be set by the CAAC in conjunction with the Ministry of Finance.
Article 19
The CAAC shall have the right to examine regularly or selectively the
units or individuals that manufacture, use or maintain civil aircraft, as
well as the civil aircraft for which Airworthiness Certificates have been
obtained. If they fail to pass the examination or selective examination,
the CAAC shall impose penalties on them in accordance with the relevant
provisions of these Regulations and may, in addition to that, revoke their
relevant documents.
Article 20
If any units or individuals that use civil aircraft for flight activities
are found in any one of the following circumstances, the CAAC shall have
the right to order them to suspend flight and impose a fine on them in
accordance with the seriousness of the case:
1. no Airworthiness Certificate has been obtained for the civil aircraft;
2. the Airworthiness Certificate of the civil aircraft has expired; or
3. the civil aircraft has been used beyond the scope prescribed in the
Airworthiness Certificate.
Article 21
If any units or individuals that maintain civil aircraft are found in any
of the following circumstances, the CAAC shall have the right to order
them to suspend the maintenance business or revoke their Maintenance
Permit and impose a fine on them in accordance with the seriousness of
case:
1. no Maintenance Permit has been obtained and yet maintenance business
has been procured without authorization;
2. maintenance business has been undertaken beyond the business scope
prescribed in the Maintenance Permit; or
3. personnel who have not obtained a Maintenance Personnel Licence have
been put in charge of the maintenance and release of civil aircraft.
Article 22
If any units or individuals, in violation of the provisions in Article 7
of these Regulations, manufacture civil aircraft without authorization,
the CAAC shall have the right to order them to suspend the manufacturing
and impose a fine on them in accordance with the seriousness of the case.
Article 23
The superior competent authorities in charge of the penalized units in
accordance with these Regulations shall, based on the proposal of the
CAAC, subject the principal persons in charge of the penalized units or
other persons directly responsible to administrative sanctions. If the
case is so serious as to constitute a crime, criminal liabilities shall be
investigated by the judicial organs in accordance with the law.
Article 24
If accidental death or bodily injury or heavy losses in property have
occurred as a result of negligence in the work of airworthiness
administration, the CAAC shall assume the liability for damages and
subject the persons directly responsible to administrative sanctions. If
the act of the persons directly responsible constitutes a crime, the
judicial organs shall investigate their criminal liabilities in accordance
with the law.
Article 25
The CAAC personnel engaged in airworthiness administration who take
advantage of their positions and powers to seek personal gains and graft
and corruption shall be subjected to administrative sanctions. If the case
is so serious as to constitute a crime, criminal liabilities shall be
investigated by the judicial organs in accordance with the law.
Article 26
Any units or individuals that do not accept the decision of the CAAC
concerning the imposition of a fine may, within 15 days of receipt of the
notice of the fine, apply to the CAAC for reconsideration or directly file
a suit with a people's court. If no application for reconsideration is
submitted or no suit is filed and yet the decision has not been executed
at the expiry of the prescribed period of time, the CAAC may apply to the
people's court for the enforcement of the decision.
Article 27
The CAAC shall, on the basis of the opinions widely solicited from the
Ministry of Aeronautic Industry and the various departments concerned,
formulate the rules for the implementation of these Regulations and the
relevant technical standards.
Article 28
The CAAC shall be responsible for the interpretation of these Regulations.
Article 29
These Regulations shall become effective as of June 1, 1987.
中国人民银行关于印发《全国银行间债券市场债券买断式回购主协议》的通知
中国人民银行
中国人民银行关于印发《全国银行间债券市场债券买断式回购主协议》的通知
银发[2004]107号
全国银行间同业拆借中心、中央国债登记结算有限责任公司:
为加强银行间债券市场行业自律行为,明确债券买断式回购交易双方的权利和义务,中国人民银行组织银行间债券市场参与者拟订了《全国银行间债券市场债券买断式回购主协议》。现授权全国银行间同业拆借中心会同中央国债登记结算有限责任公司向银行间债券市场参与者公布并组织签署,请你们将签署信息通过中国货币网和中国债券信息网向市场参与者公告。
中国人民银行货币政策司于2000年7月28日公告的“全国银行间债券市场债券回购主协议”更名为“全国银行间债券市场债券质押式回购主协议”,协议内容不变。
特此通知。
附件:全国银行间债券市场债券买断式回购主协议
中国人民银行
二00四年五月十八日
附件: 全国银行间债券市场债券买断式回购主协议
第一条 为维护全国银行间债券市场债券买断式回购业务参与者(以下简称市场参与者)的合法权益,明确买断式回购交易双方的权利与义务,市场参与者在平等、自愿的基础上,签订本协议。
第二条 下列名词在本协议中具有以下含义:
(一)债券买断式回购(以下简称买断式回购):债券持有人(正回购方)将债券卖给债券购买方(逆回购方)的同时,交易双方约定在未来某一日期,正回购方再以约定价格从逆回购方买回相等数量同种债券的交易行为。
(二)成交日期:交易双方订立成交合同的日期。
(三)正回购方名称:首期结算时卖出债券机构的全称。
(四)逆回购方名称:首期结算时买入债券机构的全称。
(五)回购债券:买断式回购的标的债券,在成交合同中以债券代码和债券简称标识。
(六)回购债券数量:回购债券面值的总量,单位为万元。
(七)首期结算日:正回购方将回购债券过户到逆回购方而逆回购方将资金划付至正回购方的日期。
(八)到期结算日:正回购方将资金划付至逆回购方而逆回购方将回购债券过户到正回购方的日期。
(九)回购期限:首期结算日至到期结算日的实际天数,含首期结算日,不含到期结算日。
(十)首期交易净价:首期结算时逆回购方对回购债券支付的净价,单位为元/百元面值。
(十一)到期交易净价:到期结算时正回购方对回购债券支付的净价,单位为元/百元面值。
(十二)首期结算日应计利息:上次付息日(或起息日)至首期结算日为止(不含首期结算日)累计的按百元面值计算的债券发行人应付给债券持有人的利息,单位为元/百元面值。
(十三)到期结算日应计利息:上次付息日(或起息日)至到期结算日为止(不含到期结算日)累计的按百元面值计算的债券发行人应付给债券持有人的利息,单位为元/百元面值。
(十四)首期资金支付额:首期结算时逆回购方向正回购方支付的资金额。首期资金支付额=(首期交易净价+首期结算日应计利息)×回购债券数量/100,单位为元。
(十五)到期资金支付额:到期结算时正回购方向逆回购方支付的资金额。到期资金支付额=(到期交易净价+到期结算日应计利息)×回购债券数量/100,单位为元。
(十六)回购利率:根据首期资金支付额、到期资金支付额以及回购期限等要素计算的参考利率。
回购期间如未发生回购债券付息,则回购利率可以通过如下公式计算:
FP D
R=(--1)÷--
IP 365
回购期间如发生回购债券付息,则回购利率可以通过如下公式计算:
FP-IP+7℃
R=(---------)
D d
IP×---7℃×--
365 365
上述式中 为回购利率, 为到期资金支付额,为首期资金支付额, 为回购期内回购债券发行人支付的利息额, 为回购期限, 为回购期间回购债券利息支付日至到期结算日的实际天数。
(十七)结算方式:交易双方约定采用的资金支付和债券交割方式,包括首期结算方式和到期结算方式,具体分为券款对付、见券付款和见款付券三种。
券款对付是指在交易双方有足额债券和资金的情况下,同步进行债券交割和资金支付的结算方式。
见券付款是指交易双方中的一方在确认收到对方应付的债券后再向对方划付资金的结算方式。
见款付券是指交易双方中的一方在确认收到对方的应付款项后再向对方划付债券的结算方式。
(十八)债券账户:交易双方在中央国债登记结算有限责任公司(以下简称中央结算公司)开立的用于托管和交割债券的账户。
(十九)资金账户:交易双方指定的用于资金支付的账户,包括开户行名称、账户名称和账号。
第三条 本协议与交易双方订立的成交合同共同构成完整的买断式回购合同。买断式回购合同在成交合同订立后立即生效。
第四条 成交合同是交易双方就每笔买断式回购交易所达成的协议。成交合同应采用书面形式(参考文本附后)。
成交合同应该包括以下条款:成交日期、正回购方名称、逆回购方名称、回购债券、回购债券数量、回购期限、首期交易净价、到期交易净价、首期结算日、到期结算日、首期资金支付额、到期资金支付额、债券账户、资金账户、结算方式、业务公章、法定代表人(或授权人)签字等;以全国银行间同业拆借中心(以下简称同业中心)交易系统生成的成交单作为成交合同,业务公章和法定代表人(或授权人)签字可不作为必备条款。交易双方认为必要时,还可就保证金或保证券的内容做出约定。
第五条 为保证成交合同的履行,交易双方可按照交易对手的信用状况协商设定保证金或保证券。
提供保证金或保证券的交易一方为出质人,取得保证金或保证券的交易一方为质权人,双方的权利、义务根据《担保法》的规定确定。
设定保证券时,交易双方应就保证券的种类和数量等内容做出约定,由中央结算公司在提供方的债券账户上将约定的保证券冻结。
设定保证金时,交易双方应依法将该保证金予以特定化,并可协商设定保证金的数量以及保管方式。
第六条 正回购方的权利和义务:
正回购方的权利:
(一)在首期结算日,按合同约定取得首期资金支付额;
(二)在到期结算日,按合同约定价格购回相同数量的同种债券;
(三)合同约定的其它权利。
正回购方的义务:
(一)按约定及时发送内容完整的回购结算指令和辅助指令;
(二)在首期结算日,按合同约定出售债券;
(三)在到期结算日,按合同约定支付到期资金支付额;
(四)合同约定的其它义务。
第七条 逆回购方的权利和义务
逆回购方的权利:
(一)在首期结算日,按合同约定买入债券;
(二)在到期结算日,按合同约定取得到期资金支付额;
(三)合同约定的其它权利。
逆回购方的义务:
(一)按约定及时发送内容完整的回购结算指令和辅助指令;
(二)在首期结算日,按合同约定支付首期资金支付额;
(三)在到期结算日,按合同约定返售债券;
(四)合同约定的其它义务。
第八条 交易双方中任何一方没有履行买断式回购合同所约定的义务,即构成违约,违约方须向守约方承担违约责任。本协议所称违约包括以下情形:
(一)首期结算日,正(逆)回购方未按合同约定发送结算指令或相关辅助指令,或没有足额回购债券(资金)用于结算;
(二)到期结算日,正(逆)回购方未按合同约定发送结算指令或相关辅助指令,或没有足额资金(回购债券)用于结算;
(三)其他违约情形。
第九条 因不可抗力造成债券和资金结算的延误或中断,根据不可抗力的影响程度,部分或全部免除赔偿责任,但法律另有规定的除外。当事人迟延履行后发生不可抗力的,不能免除责任。
本协议所称不可抗力,是指不能预见、不能避免并不能克服的客观情况。
第十条 进行买断式回购发生违约,交易双方应首先协商解决。若交易双方在违约事实和责任明确后的两个工作日内对违约处理不能达成协议,须执行以下相应的违约处理条款。
(一)正回购方发生第八条第(一)项违约行为的,逆回购方有权要求正回购方继续履行回购合同,也有权书面通知正回购方终止回购合同,同时,逆回购方有权要求补息,并在补息基础上向正回购方加收罚息。
如果逆回购方已书面通知正回购方终止回购合同,且逆回购方已将首期资金支付额划付至正回购方,则有权要求正回购方不迟于合同终止日的次一工作日全额返还所付金额及其利息。
(二)逆回购方发生第八条第(一)项违约行为的,正回购方有权要求逆回购方继续履行回购合同,也有权书面通知逆回购方终止回购合同,同时,正回购方有权要求补息,并在补息基础上向逆回购方加收罚息。
如果正回购方已书面通知逆回购方终止回购合同,且正回购方已将债券过户到逆回购方,则有权要求逆回购方不迟于合同终止日的次一工作日全额返还回购债券。
(三)正回购方发生第八条第(二)项违约行为的,逆回购方有权要求正回购方继续履行回购合同义务,同时,逆回购方有权要求补息,并在补息基础上向正回购方加收罚息。
如果逆回购方已将回购债券过户到正回购方,则有权要求正回购方最迟在接到逆回购方通知后的次一工作日全额返还所付债券。
(四)逆回购方发生第八条第(二)项违约行为的,正回购方有权要求逆回购方继续履行回购合同义务,同时,正回购方有权要求补息,并在补息基础上向逆回购方加收罚息。
如果正回购方已将到期资金支付额划付至逆回购方,则有权要求逆回购方最迟在接到正回购方通知后的次一工作日全额返还所付款项及其利息。
(五)本条第(一)、(二)项中,补息按合同约定的首期资金支付额、回购利率、资金(债券)延迟到账天数计算。罚息以合同约定的首期资金支付额为基数。罚息利率按交易双方约定的利率计算,但最高不得超过中国人民银行规定的金融机构欠交准备金处罚利率;交易双方没有约定的,罚息利率按中国人民银行规定的金融机构欠交准备金处罚利率计算。
(六)本条第(三)、(四)项中,补息按合同约定的到期资金支付额、回购利率、资金(债券)延迟到账天数计算。罚息以合同约定的到期资金支付额为基数。罚息利率按交易双方约定的利率计算,但最高不得超过中国人民银行规定的金融机构欠交准备金处罚利率;交易双方没有约定的,罚息利率按中国人民银行规定的金融机构欠交准备金处罚利率计算。
(七)违约事实和责任明确后的第四个工作日起,违约的正回购方不执行本条第(三)项违约处理条款的,守约的逆回购方有权终止合同。回购债券价值和保证金(券)价值一起,按有关合理费用、补息、罚息和到期资金支付额顺序依次抵扣后,剩余部分返还给正回购方,不足部分向正回购方追索。
(八)违约事实和责任明确后的第四个工作日起,违约的逆回购方不执行本条第(四)项违约处理条款的,守约的正回购方有权终止合同。到期资金支付额和保证金(券)的价值一起,按有关合理费用、补息、罚息和回购债券价值顺序依次抵扣后,剩余部分返还给逆回购方,不足部分向逆回购方追索。
(九)本条第(七)、(八)项中回购债券价值可以由交易双方协商确定,也可以由守约方委托同业中心或中央结算公司通过招标出售/购入确定。保证券价值首先由交易双方协商确定,协商不一致时,可以由守约方委托同业中心或中央结算公司通过招标出售确定。
(十)本条所规定的各项违约赔偿可单独或合并适用违约方。如果违约方已按本协议要求承担违约责任,守约方不得再向违约方追索违约事项导致的任何其它损失或者损害。
第十一条 交易双方对违约事实和责任认定或违约处理条款不能达成协议的,或未按违约处理条款执行的,可以根据仲裁协议向仲裁机构申请仲裁。双方没有订立仲裁协议或者仲裁协议无效的,可以向人民法院提起诉讼。
第十二条 回购交易中的任何一方被终止或暂停全国银行间债券市场债券交易资格,须继续履行已达成的回购合同,并执行本协议的各项条款。
第十三条 本协议为开放式协议,由市场参与者签署后生效。
本协议一式N+1份,市场参与者各执一份,送同业中心备案一份。
签署单位:
法定代表人或授权人姓名:
法定代表人或授权人签字(盖章):
签字时间:
签署地:
单位公章:
联系电话:
单位地址:
附件: 债券买断式回购成交合同(参考文本)
成交日期: 年 月 日
正回购方名称:—————— 逆回购方名称:——————
回购债券简称: —————— 回购债券代码:——————
回购债券数量:——————万元 回购期限:——————天
首期交易净价:——————元/百元面值 到期交易净价:——————元/百元面值
首期结算日应计利息:—————— 元/百元面值 到期结算日应计利息:—————— 元/百元面值
首期资金支付额:—————— 元 到期资金支付额:—————— 元
回购利率:—————— (%)
首期结算日: 年 月 日 到期结算日: 年 月 日
首期结算方式:—————— 到期结算方式:——————
正回购方债券账户:—————— 逆回购方债券账户:——————
正回购方资金账户开户行:—————— 逆回购方资金账户开户行:——————
正回购方资金账户名称:—————— 逆回购方资金账户名称:——————
正回购方资金账户账号:—————— 逆回购方资金账户账号: ——————
保证券: 无□ 有□
提供方:□正回购方 □逆回购方 提供方:□正回购方 □逆回购方
债券简称:———— 债券代码:———— 债券简称:———— 债券代码:———
债券总量:————万元 债券总量:————万元
保证金: 无□ 有□
提供方:□正回购方 □逆回购方 提供方:□正回购方 □逆回购方
保管方:—————— 保管方:————————
金额:——————万元 金额:——————万元
正回购方经办人: 逆回购方经办人:
签章: 签章:
联系电话: 联系电话:
业务公章: 业务公章:
法定代表人或授权人: 法定代表人或授权人: