【中英文对照版】受益所有人信息管理办法.docx

中国人民银行、国家市场监督管理总局令(2024)第3号)受益所有人信息管理办法巳经中国人民银行行务会议审议通过和国家市场监督管理总局审签，并经国务院批准，现予发布，自2024年11月1日起施行。中国人民银行行长潘功胜国家市场监督管理总局局长罗文受益所有人信息管理办法AdministrativeMeasuresforBeneficialOwnerInformation制定机关：中国人民推行国东市埼笺督管院总处发文字号：中国人民很行、国案市场益督包理总局令(2024)第3号公布日期:2024.04.29施行日期：2024.11.01效力0阶：部门规章法规美别：公民权利与义务IssuingAulhorilyPeople'sBankofChinaStaleAdministrationforMarkelRegulationDocumentNumberOrderNo,32024of(hePeople'sBankofChinaand(heStateAdministrationforMarketRegulationDateIssued：04-29-2024EffectiveDate：11-0)-20241.eveIofAulhorityDepartmenlalRulesAreaof1.awRightsandObligationsofCitizensOrderofthePeople'sBankofChinaandtheStateAdministrationforMarketRegulation(No.32024)TheAdministrativeMeasuresforBeneficialOwnerInformation,asdeliberatedandadoptedattheexecutivemeetingofthePeople'sBankofChina,examinedandsignedbytheStateAdministrationforMarketRegulation,andapprovedbytheStateCouncil,areherebyissued,andshallcomeintoforceonNovember1,2024.PanGongsheng,GovernorofthePeople'sBankofChina1.uoWen,DirectoroftheStateAdministrationforMarketRegulationApril29,20242024年4月29日AdministrativeMeasuresforBeneficialOwnerInformation受益所有人信息管理办法Article1TheseMeasuresaredevelopedinaccordancewiththerelevantlawsandadministrativeregulationsonanti-moneylaunderingandadministrationofenterpriseregistrationforthepurposesofenhancingmarkettransparency,maintainingthemarketorderandfinancialorder,andpreventingandcurbingmoneylaunderingandfinancingofterrorism.笫一条为提高市场透明度，维护市场秩序、金融秩序，预防和遏制洗钱、恐怖主义融资活动，根据反洗钱和企业登记管理有关法律、行政法规，制定本办法。Article2Thefollowingentities(hereinafterllectivelyreferredtoasttrecordationentities")shallfilebeneficialownerinformationthroughtherelevantregistrationsystemsinaccordancewiththeprovisionsoftheseMeasures:笫二条下列主体（以下统称备案主体）应当根据本办法规定通过相关登记注册系统备案受益所有人信息：(1) Companies.(2) Partnerships.(3) Branchesofforeigncompanies.（一）公司；（二）合伙企业；（三）外国公司分支机构;(4)OtherentitiesprescribedbythePeople'sBankofChina(PBC)andtheStateAdministrationforMarketRegulation(SAMR).（四）中国人民银行、国家市场监督管理总局规定的其他主体。Individualindustrialandcommercialhouseholdsarenotrequiredtofilebeneficialownerinformation.个体工商户无需备案受益所有人信息。Article3Forarecordationentitywitharegistered第三条注册资本（出资额）不超过1000万元人民币（或者等值外币）且股东、合伙人全部为自然人的备案主体，如果不存在股东、合伙人以外的自然人对其实际控制或者从其获取收益，也不存在通过股权、合伙权益以外的方式对其实施控制或者从其获取收益的情形，承诺后免于备案受益所有人信息。capital(orcapitalcontribution)notexceeding10millionyuan(oranequivalentinaforeigncurrency)andwhoseshareholdersandpartnersareallnaturalpersons,ifnonaturalpersonotherthanitsshareholdersandpartnersactuallycontrolstherecordationentityorobtainsbenefitsfromit,andnoonecontrolstherecordationentityorobtainsbenefitsfromitthroughmethodsotherthanequityorpartnershipinterest,therecordationentityshallbeexemptedfromfilingbeneficialownerinformationaftergivingundertakings.第四条国家市场监督管理总局统筹指导相关登记注册系统建设，指导地方登记机关依法开展受益所有人信息备案工作，及时将归集的受益所有人信息推送至中国人民银行。县级以上地方市场监督管理部门督促备案主体及时备案受益所有人信息。Article4TheSAMRshallcoordinateandguidethedevelopmentoftherelevantregistrationsystem,directlocalregistrationauthoritiestofilebeneficialownerinformationinaccordancewiththelaw,andpromptlysendthecollectedbeneficialownerinformationtothePBC.1.ocalmarketregulatorydepartmentsatorabovethecountylevelshallurgerecordationentitiestopromptlyfilebeneficialownerinformation.中国人民银行建立受益所有人信息管理系统，及时接收、保存、处理受益所有人信息。中国人民银行及其分支机构督促备案主体准确备案受益所有人信息。ThePBCshallestablishabeneficialownerinformationmanagementsystemtopromptlyreceive,retain,andprocessbeneficialownerinformation.ThePBCanditsbranchofficesshallurgerecordationentitiestoaccuratelyfilebeneficialownerinformation.第五条中国人民银行及其分支机构为受益所有人信息备案工作提供指导，市场监督管理部门予以配合。Article 5 ThePBCanditsbranchofficesshallprovideguidancefortherecordationofbeneficialownerinformation,andmarketregulatorydepartmentsshallprovidecooperation.第六条符合下列条件之一的自然人为备案主体的受益所有人：Article 6 Anaturalpersonwhomeetsanyofthefollowingconditionsshallbethebeneficialownerofarecordationentity:（一）通过直接方式或者间接方式最终拥有备案主体25%以上股权、股份或者合伙权益；(1) Ultimatelyholding25%ormoreoftheequity,shares,orpartnershipinterestoftherecordationentity,directlyorindirectly.（二）虽未满足第一项标准，但最终享有备案主体25%以上收益权、表决权；(2) Ultimatelyholding25%ormoreoftherighttoearningsorvotingrightsoftherecordationentityalthoughfailingtosatisfythecriteriaspecifiedinsubparagraph(1).（三）虽未满足第一项标准，但单独或者联合对备案主体进行实际控制。(3) Exercisingactualcontrolovertherecordationentityseparatelyorjointlyalthoughfailingtosatisfythecriteriaspecifiedinsubparagraph(1).前款第三项所称实际控制包括但不限于通过协议约定、关系密切的人等方式实施控制，例如决定法定代表人、圭事、监事、高级管理人员或者执行事务合伙人的任免，决定重大经营、管理决策的制定或者执行，决定财务收支，长期实际支配使用重要资产或者主要资金等。Forthepurposeofsubparagraph(3)oftheprecedingparagraph,"actualcontrol"shallincludebutnotbelimitedtoexercisingcontrolthroughagreements,closelyrelatedpersons,andothermethods,suchasdecidingontheappointmentandremovalofthelegalrepresentative,directors,supervisors,seniorexecutives,orexecutivepartners,decidingontheformulationorexecutionofmajoroperationandmanagementdecisions,decidingonfinancialrevenuesandexpenditures,andactuallydominatingtheuseofimportantassetsormajorfundsforalongperiod.不存在第一款规定三种情形的，应当将备案主体中负责日常经营管理的人员视为受益所有人进行备案。Ifnopersonfallsunderanyofthethreecircumstancesspecifiedinparagraph1,thepersoninchargeofdailybusinessmanagementoftherecordationentityshallbedeemedasthebeneficialownerforrecordationpurposes.第七条国有独资公司、国有控股公司应当将法定代表人视为受益所有人进行备案。Article 7 Awhollystate-ownedcompanyorstate-controlledcompanyshallfileitslegalrepresentativeasthebeneficialowner.第八条外国公司分支机构的受益所有人为外国公司按照本办法第六条规定认定的受益所有人，以及该分支机构的高级管理人员。外国公司在其本国享受的受益所有人申报豁免标准不适用于中国。第九条备案主体在设立登记时，应当通过相关登记注册系统备案受益所有人信息。无法通过相关登记注册系统办理设立登记的，可以现场办理，并在设立登记之日起30日内，通过相关登记注册系统备案受益所有人信息。笫十条备案主体受益所有人信息发生变化，或者不再符合本办法第三条规定的承诺免报条件的，应当自发生变化或者不符合承诺免报条件之日起30日内，通过相关登记注册系统备案受益所有人信息。第十一条备案主体备案受益所有人信息时，应当填报下列信息：Article 8 ThebeneficialownerofabranchofaforeigncompanyisthebeneficialownerdeterminedbytheforeigncompanyinaccordancewithArticle6oftheseMeasuresandisaseniorexecutiveofthebranch.ThestandardsforexemptionfromthedeclarationofbeneficialownerenjoyedbyaforeigncompanyinitshomecountryshallnotapplytoChina.Article 9 Arecordationentityshall,atthetimeofformationregistration,filethebeneficialownerinformationthroughtherelevantregistrationsystem.Ifformationregistrationcannotbemadethroughtherelevantregistrationsystem,registrationmaybemadeonsite,andbeneficialownerinformationshallbefiledthroughtherelevantregistrationsystemwithin30daysfromthedateofformationregistration.Article 10 Wherethereisanychangeinthebeneficialownerinformationofarecordationentity,orifarecordationentitynolongermeetstheconditionsforundertaking-basedfilingexemptionspecifiedinArticle3oftheseMeasures,thebeneficialownerinformationshallbefiledthroughtherelevantregistrationsystemwithin30daysfromthedateofsuchchangeorthedatewhenitnolongermeetstheconditionsforundertakingbasedfilingexemption.Article 11 Whenfilingbeneficialownerinformation,arecordationentityshallenterthe:name;(一)姓名；(2) gender;(二)性别；(3) nationality;(三)国籍；dateofbirth;(四)出生日期；心ky1仙，小1(五)经常居住地或者工作单(5) habitualresidenceoraddressoftheemployer;位地(6) contactinformation;(7) type,number,andvalidityperiodoftheidentitycertificateorotheridentifications;and(8) typeofthebeneficialownership,anddateofformationandterminationoftheownership(ifany).Ifanaturalpersonfallsunderthecircumstancespecifiedinsubparagraph(1),paragraph1ofArticle6oftheseMeasures,therat100fequity,shares,orpartnershipinterestheldbyhimorhershallalsobeentered;ifthenaturalpersonfallsunderthecircumstancespecifiedinsubparagraph(2),paragraph1ofArticle6oftheseMeasures,therat100frighttoearningsorvotingrightshallalsobeentered;andifthenaturalpersonfallsunderthecircumstancespecifiedinsubparagraph(3),paragraph1ofArticle6oftheseMeasures,themethodofactualcontrolshallalsobeentered.（六）联系方式;（七）身份证件或者身份证明文件种类、号码、有效期限；（八）受益所有权关系类型以及形成日期、终止日期（如有）。存在本办法第六条笫一款第一项规定情形的，还应当填报持有股权、股份或者合伙权益的比例；存在本办法第六条第一款笫二项规定情形的，还应当填报收益权、表决权的比例：存在本办法第六条第一款第三项规定情形的，还应当填报实际控制的方式。Article 12 Relevantauthoritiesofthestatemay,as笫十二条国家有关机关requiredfortheperformanceofduties,obtain为履行职责需要，可以依法向beneficialownerinformationfromthePBCinaccordancewiththelaw.Financialinstitutionsandspecificnon-financialinstitutionsmayinquireaboutbeneficialownerinformationthroughthePBCwhenperformingtheobligationsofcombatingmoneylaunderingandfinancingofterrorism.Therelevantauthoritiesofthestate,financialinstitutions,andspecificnon-financialinstitutionsshallkeepconfidentialthebeneficialownerinformationobtainedinaccordancewiththelaw.Article 13 Whereanyrelevantauthorityofthestate,financialinstitution,orspecificnon-financialinstitutiondiscoversanyerror,inconsistency,orincompletenessofthebeneficialownerinformationofarecordationentityinthebeneficialownerinformationmanagementsystem,itshallpromptlyprovidefeedbacktothePBC.ThePBCmaylegallytakemeasurestoverifytherelevantinformationasthecasemaybe,andtherecordationentityshallcooperate.Forarecordationentitythathasasignificantimpactonmarkettransparencyorfinancialtransparency,thePBCoranyotherappropriateauthoritymayrequireittoprovidesupplementarymaterialsrequiredfordeterminingthebeneficialownersuchasthoseonequity,partnershipinterest,righttoearnings,votingrights,andcontrolrelationship.中国人民银行获取受益所有人信息。金融机构、特定非金融机构履行反洗钱和反恐怖主义融资义务时，可以通过中国人民银行查询受益所有人信息。国家有关机关以及金融机构、特定非金融机构对依法获得的受益所有人信息应当予以保密。第十三条国家有关机关以及金融机构、特定非金融机构发现受益所有人信息管理系统中的备案主体受益所有人信息存在错误、不一致或者不完整的，应当及时向中国人民银行反馈。中国人民银行可以根据情形依法采取措施进行核实，备案主体应当配合。对市场透明度、金融透明度有显著影响的备案主体，中国人民银行等主管部门可以要求其补充提供确定受益所有人所需要的股权、合伙权益、收益权、表决权、控制关系等情况的材料。笫十四条备案主体未按照规定办理受益所有人信息备案的，依照企业登记管理有关行政法规处理。Article 14 Anyrecordationentitythatfailstofilethebeneficialownerinformationasrequiredshallbepunishedinaccordancewiththeadministrativeregulationsontheadministrationofenterpriseregistration.IfthePBCoritsbranchofficediscoversthatthebeneficialownerinformationfiledbytherecordationentityisinaccurate,itshallordertherecordationentitytotakecorrectiveactionwithinaprescribedtimelimit;andiftherecordationentityrefusestotakecorrectiveaction,shallimposeafineofnotmorethan50,000yuanonit.Article 15 ForthepurposeoftheseMeasures,"beneficialowner"meansanaturalpersonwhoultimatelyownsoractuallycontrolsarecordationentity,orwhoenjoystheultimatebenefitsofarecordationentity.Article 16 RecordationentitiesthathavebeenregisteredbeforetheseMeasurescomeintoforceshallfilebeneficialownerinformationinaccordancewiththeprovisionsoftheseMeasuresbeforeNovember1,2025.中国人民银行及其分支机构发现备案主体备案的受益所有人信息不准确的，应当责令备案主体限期改正；拒不改正的，处5万元以下的罚款。笫十五条本办法所称受益所有人，是指最终拥有或者实际控制备案主体，或者享有备案主体最终收益的自然人。第十六条在本办法实施前已经登记注图的备案主体，应当于2025年11月1日前，按照本办法规定备案受益所有人信息。第十七条本办法自2024年11月1日起施行。Article 17 TheseMeasuresshallcomeintoforceonNovember1,2024.