国务院批转国家进出口委、国家计委关于部分物资计划外出口实行许可证办法请示报告的通知(附英文)
国务院
国务院批转国家进出口委、国家计委关于部分物资计划外出口实行许可证办法请示报告的通知(附英文)
1981年12月28日,国务院
通知
国务院同意国家进出口委、国家计委《关于部分物资计划外出口实行许可证办法的请示报告》,现转发给你们,希按规定的品类,研究贯彻执行。
关于部分物资计划外出口实行许可证办法的请示报告
随着国民经济调整方针的进一步贯彻,外贸体制的改革和经营权的逐步下放,我国的对外贸易,将会有一个新的发展。为了适应形势的发展,各地区、各部门还相继成立了一些出口机构,直接经营出口业务。在执行过程中,由于通报情况的工作没有跟上,致使某些国内短线产品或若干耗能高、出口不划算的物资,一方面国家大量进口,另一方面某些地区或部门却在计划外组织出口。同样一种商品,出口的价格低,进口的价格高,使国家外汇蒙受损失,也影响国家建设的需要。这样继续下去,对国家十分不利。为此,我们同有关部门商量,对国内紧缺物资的出口,提出以下建议:
一、拟划出十一类紧缺物资,对计划外出口实行许可证办法(具体目录附后)。这里所说的短线物资,也是相对而言,在执行中情况可能发生变化,拟由国家进出口委和国家计委在编制年度国民经济计划时,根据供需情况,商有关主管部门及时进行修订。
二、凡是实行许可证办法的出口物资,除国家计划安排的出口和国外来料加工、外贸部门进料加工,以及经批准已经签订合同的补偿贸易、外贸部门同地方已签有协议扶持出口的商品等以外,各地区、各部门如需计划外组织出口,或组织有利于我们的品种串换(即有进有出),要征得主管分配部门的同意,并报国家进出口委、国家计委批准。
三、各地海关要加强对计划外出口物资的管理。为了便于海关掌握,各地区、各部门凡经营目录中规定的十一类出口物资,不论是计划内的或是计划外的出口,均应向外贸部门申请出口许可证,海关凭证验放,否则一律不予放行。
四、计划外出口的目录所列物资,只要质量符合国家标准,运输上也有可能,主管分配部门应按国家价格予以收购,或协助找用户在国内销售。
以上意见如可行,请批转各部门和各省、市、自治区,自一九八二年二月一日起实行。
计划外出口实行许可证办法的物资目录
一、原油、重油、成品油。
二、煤炭。
三、钢材:薄板(包括镀锌板、镀锡板)、带钢、中
厚钢板(包括造船板)、焊管(包括镀锌焊管)、方坯。
四、生铁、焦炭、铁合金、铬矿。
五、平板玻璃。
六、有色金属:铜、铝、铅、锌、锡、钴、铋、钼精
矿及制品、碲;国家统配的铜材、铝材、铅材。
七、木材:原木、锯材、胶合板。
八、大中型厂生产的水泥。
九、天然橡胶。
十、纯碱、烧碱、聚乙烯、聚丙烯、磷矿石、硫铁矿、
硫磺、苯酐、液态烃。
十一、大米、大豆、玉米、食糖、棉花、松香、桐
油、烤烟。
CIRCULAR OF THE STATE COUNCIL CONCERNING THE APPROVAL AND TRANS-MISSION OF A REPORT SUBMITTED BY THE STATE IMPORT AND EXPORT COMMISSIONAND THE STATE PLANNING COMMISSION REQUESTING INSTRUCTIONS ON THE IMPOSI-TION OF EXPORT LICENCE PR
OCEDURES FOR THE EXPORT OF SOME GOODS ANDMATERIALS BE
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 "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)
CIRCULAR OF THE STATE COUNCIL CONCERNING THE APPROVAL AND TRANS-
MISSION OF A REPORT SUBMITTED BY THE STATE IMPORT AND EXPORT COMMISSION
AND THE STATE PLANNING COMMISSION REQUESTING INSTRUCTIONS ON THE IMPOSI-
TION OF EXPORT LICENCE PROCEDURES FOR THE EXPORT OF SOME GOODS AND
MATERIALS BEYOND THE STATE PLAN
(December 28, 1981)
The State Council agrees with the "Report Requesting Instructions on the
Imposition of Export Licence Procedures for the Export of Some Goods and
Materials Beyond the State Plan" submitted by the State Import and Export
Commission and the State Planning Commission, and the Report is hereby
transmitted to you; it is required you consider carefully the ways to
implement this Report in accordance with the prescribed categories of
goods and materials.
A REPORT REQUESTING INSTRUCTIONS ON THE IMPOSITION OF EXPORT LICENCE
PROCEDURES FOR THE EXPORT OF SOME GOODS AND MATERIALS BEYOND THE STATE
PLAN
With the further implementation of the policy for the readjustment of the
national economy, and with the structural reform of foreign trade and the
gradual decentralization of power of management, the foreign trade of our
country will have a new development. With a view to meeting the needs of
the development, various localities and departments have established some
export institutions to engage directly in export business. In the course
of these developments, owing to poor communication among different
localities and departments, the State, on the one hand, imports in large
quantities some finished products in short supply at home and other goods
and materials that are of the high energy consumption and are not suitable
for export, while some localities or departments, on the other hand, are
organizing the export of the aforesaid goods and materials beyond the
state plan. For the same kind of commodity, the price is low when it is
exported, and the price is high when it is imported, and consequently, the
State suffers losses in terms of foreign exchange, and is also affected
unfavourably with respect to the needs for construction. If this situation
is allowed to continue, the country will suffer serious losses. We have,
therefore, consulted with the relevant departments, and hereby put forward
the following proposals with respect to the export of the goods and
materials that are in short supply in China:
1. We hereby propose to designate eleven categories of badly-needed goods
and materials, on the export of which, if beyond the state plan, the
export licence procedures shall be imposed (the specific catalogue is
attached below as appendix). The products in short supply as mentioned
above are relatively in short supply, for, in the course of the
implementation, circumstances might change. It is proposed here that the
State Import and Export Commission and the State Planning Commission,
while working out the annual plan for the national economy, and through
consultation with the competent authorities concerned, set about revising,
in good time, the aforesaid catalogue in the light of the supply-and-
demand situation.
2. With respect to export goods and materials subject to the export
licence procedures with the exception of those export commodities that are
included in the State plan, materials imported to execute processing
contracts, or imported by foreign trade departments for processing into
finished goods, or contained in the approved and signed contracts for
compensation trade, or commodities on which agreements have been signed
between foreign trade departments and local units for supporting the
production for export, if any locality or department is to make
arrangements, beyond the State plan, for the export of the said goods and
materials, or to organize exchange of categories and types that are
favorable to us, the case shall obtain the consent of the competent
allocating departments, and be submitted to the State Import and Export
Commission and the State Planning Commission for approval.
3. Customs offices at various localities should improve their control over
the goods and materials that are exported beyond the State plan. In order
to facilitate the administration of the Customs offices over the aforesaid
export goods and materials, all localities and departments that deal in
the eleven categories of export goods and materials stipulated in the said
catalogue, either within or beyond the State plan, shall all apply to the
foreign trade departments for export licences and the Customs offices
shall examine the export according to the licences; otherwise, no
clearance shall be given to these goods and materials.
4. All the goods and materials listed in the catalogue for export beyond
the State plan, so long as their quality meets the state standards and no
problem arises in transportation, shall be purchased at the prices set by
the state, by the competent allocating departments, or the competent
allocating departments shall assist in locating users for domestic sale.
If the above proposals are feasible, we request that they be approved and
transmitted to all departments and all provinces, autonomous regions, and
municipalities directly under the Central Government for implementation as
of February 1, 1982.
CATALOGUE OF GOODS AND MATERIALS SUBJECT TO THE EXPORT LICENCE PROCEDURES
FOR THE EXPORT BEYOND THE STATE PLAN
1. crude oil, heavy oil, refined oil.
2. coal.
3. steel products: sheet steel (including zinc-plating steel, tin-plating
steel), strip steel, medium and heavy steel plate (including steel plate
for ship-building), welded pipe (including zinc-plating welded pipe),
square billet.
4. pig iron, coke, iron alloy, chromium ore.
5. plate glass.
6. nonferrous metals: copper, aluminium, lead, zinc, tin, cobalt, bismuth,
concentrate molybdenum ore and its products, tellurium; copper products,
aluminium products, and lead products placed under the state's unified
allocation.
7. timber: log, sawn wood products, plywood.
8. cement produced by large, medium-sized and small cement mills.
9. natural rubber.
10. sodium carbonate, polyethylene, polypropylene, phosphorus ore,
mawsonite, sulphur, benzene anhydride, liquid hydrocarbon.
11. rice, soybean, corn, sugar, cotton, rosin, tung oil, flue-cured
tobacco.
国家国有资产管理局、中国证券监督管理委员会关于印发《关于从事证券业务的资产评估机构资格确认的规定》的通知(已废止)
国有资产管理局 等
国家国有资产管理局、中国证券监督管理委员会关于印发《关于从事证券业务的资产评估机构资格确认的规定》的通知
1993年3月20日,国家国有资产管理局、中国证券监督管理委员会
各省、自治区、直辖市人民政府,深圳市人民政府,国务院各部委、各直属机构:
根据国务院91号令《国有资产评估管理办法》及国务院《关于进一步加强证券市场宏观管理的通知》(国发〔1992〕68号)的规定,促进统一、高效、公平、公开的证券市场的建立,对证券市场进行集中统一的规范化管理,保护投资者的合法权益,保护社会公众的基本利益,我们制定了《关于从事证券业务的资产评估机构资格确认的规定》,现印发给你们,请遵照执行。
附件1:关于从事证券业务的资产评估机构资格确认的规定
第一条 为了适应证券市场发展的需要,加强对从事证券业务的资产评估机构的管理,根据国务院第91号令《国有资产评估管理办法》及国务院《关于进一步加强证券市场宏观管理的通知》(国发〔1992〕68号)的规定,特制定本办法。
第二条 本办法所说的证券业务,是指对股票公开发行、上市交易的企业资产进行评估和开展与证券业务有关的资产评估业务。
第三条 申请从事证券业务资产评估的机构必须具备以下基本条件:
1.必须是已取得省级以上国有资产管理部门(或受托的计划单列市国有资产管理部门)授予正式资产评估资格的评估机构。兼营评估业务的机构必须设有独立的资产评估业务部门。
2.在具有正式资格的资产评估机构中,必须是业务水平高、职业道德好、社会信誉高并拥有丰富评估经验的机构,以往没有发生过明显的工作失误或违反职业道德的行为。
3.评估机构中的专职人员不得少于10人,其中职龄人员(非离退休人员)不得少于5人。专职人员超过17人的评估机构,其中职龄人员所占比例不少于1/3。
4.评估机构中的专职人员必须具有较高的资产评估水平、经验和技能,并具有较丰富的证券业务及相关金融、法律、经济方面的知识,其中骨干人员参加过股份制改造的资产评估工作。
5.评估机构的实有资本金不得少于30万元人民币,风险准备金不得少于5万元人民币,自取得从事证券业务资格之年起,每年从业务收入中计提不少于4%的风险准备金。
第四条 申请从事证券业务的资产评估机构,需呈报以下资料:
1.资产评估机构从事证券业务许可证申请表;
2.资产评估机构从事证券业务专业人员持有股票情况呈报表;
3.能够代表该机构水平的资产评估报告书2份;
4.实有资本金和风险准备金情况证明文件;
5.资产评估机构从事证券业务遵守职业道德和工作纪律的保证书;
6.国家国有资产管理局与中国证券监督管理委员会认为需要了解的其他有关材料。
第五条 申请从事证券业务的资产评估机构持本办法第四条所列资料一式2份;首先向所在省、自治区、直辖市(或受托的计划单列市)的国有资产管理部门提出申请,经审查同意并签章后,上报国家国有资产管理局进行审核。中央所属欲从事证券业务资产评估的机构直接向国家国有资产管理局申请,并由国家国有资产管理局进行审核。审核工作按照公平、公开的原则进行。
国家国有资产管理局审核同意后会同证监会对申请机构的证券评估资格进行联合确认。并由国家国有资产管理局和证监会联合颁发证券业务资产评估许可证,同时向社会公告。
第六条 境外及外国的资产评估机构,欲在中国境内从事证券业务资产评估或为协助境内企业到境外发行、交易证券而对境内企业进行资产评估的,需先向国家国有资产管理局提出申请,提交该评估机构主要情况的资料,由国家国有资产管理局进行审核,同意后会同证监会确认。经确认后,方可接受委托,从事证券业项目的资产评估。
第七条 获得证券业务资产评估许可证的国内资产评估机构(包括中外合资评估机构),每个会计年度结束后90日内,需向国家国有资产管理局和证监会报送其上个年度从事证券业务情况、专业人员培训情况、国有资产管理部门年检结论以及资产评估机构变化的其他有关资料,由国家国有资产管理局会同证监会重新确认其证券业评估资格。
第八条 股票公开发行与上市交易的企业,有权自行选择已取得证券业务资产评估许可证的机构进行评估,任何部门不得进行干预。
没有取得证券业务资产评估许可证的专业资产评估机构和兼营资产评估业务的其他机构,不得从事证券业资产评估业务。
对同一股票公开发行、上市交易的企业,其财务审计与资产评估工作不得由同一机构承担,以利于股票发行的公正性。
第九条 取得证券业务资产评估许可证的评估机构,必须严格执行有关证券和证券市场、资产评估方面的法律、法规、业务准则。在该机构执业的专业人员每年必须接受不少于一周的专业培训。
第十条 资产评估机构在从事证券业务时,必须接受国家国有资产管理局和证监会的监督。资产评估机构及其人员在执行上述业务时出现重大疏漏、严重误导、弄虚作假及其他违反职业道德、工作纪律和证券市场有关法规的行为时,证监会可建议国家国有资产管理局予以处罚,情节严重的可由审定方吊销其资产评估资格许可证,直至追究经济和法律责任。
第十一条 本办法由国家国有资产管理局和证监会负责解释。
第十二条 本规定自发布之日起执行。
附件2:资产评估机构执行证券业务许可证申请表
----------省(自治区、直辖市)
资产评估
----------会计师 事务所(公司)
审 计
国家国有资产管理局印制
年 月 日
----------------------------------------------------------------------------
| 机构名称 | | 曾用名称 | | 法人代表 | |
|------------|--------------|------------|------|------------|------|
| 批准机关 | | 批准文号 | | 批准时间 | |
|------------|--------------|------------|------|------------|------|
|工商登记机关| |工商登记证号| |工商登记日期| |
|------------|--------------|------------|------|------------|------|
| 挂靠单位 | | 注册资金 | |当年纯收入 | |
|------------|----------------------------------------------------------|
|资产评估资格|批准机关| |批准文号| |批准时间| |
|------------|----------------------------------------------------------|
| |姓 名| | 性 别 | | 出生年 | |
| | | | | | 月 日 | |
| |--------|--------------|------------|------|------------|------|
| |学 历| | 专业技 | | 是 否 | |
| | | | 术职务 | | 离退休 | |
|首|--------|----------------------------------------------------------|
|席| | |
|资| | |
|产| 履 | |
|评| 行 | |
|估| 职 | |
|人| 责 | |
|员| 情 | |
| | 况 | |
| | | 机构负责人签名------ |
| | | 年 月 日 |
----------------------------------------------------------------------------
----------------------------------------------------------------------------
| | 项目 |人 数|时 间|地 点| 结 果 |
| |----------------|------|------|------|----------------------|
| | | | | | |
| | | | | | |
| |国家专业主管部门| | | | |
| |组织的培训项目 | | | | |
| | | | | | |
| | | | | | |
| |----------------|------|------|------|----------------------|
| | | | | | |
| | | | | | |
| |到国外资产评估机| | | | |
| |构实习培训 | | | | |
| 培 | | | | | |
| 训 | | | | | |
| 教 |----------------|------|------|------|----------------------|
| 育 | | | | | |
| 情 | | | | | |
| 况 |参加全国性专题研| | | | |
| |讨会、交流会 | | | | |
| | | | | | |
| | | | | | |
| |----------------|------|------|------|----------------------|
| | | | | | |
| | | | | | |
| |参加地方专业主管| | | | |
| |部门组织的培训项| | | | |
| |目 | | | | |
| | | | | | |
| | | | | | |
| |----------------|------|------|------|----------------------|
| | | | | | |
| | | | | | |
| |到大专院校进修 | | | | |
| | | | | | |
| | | | | | |
----------------------------------------------------------------------------
----------------------------------------------------------------------------
| 评估人员名单 |
|------------------------------------------------------------------------|
|姓 名|性 别|年 龄|职 务|职 称|是否离退休|备 注|
|--------|--------|--------|--------|--------|----------|----------|
| | | | | | | |
|--------|--------|--------|--------|--------|----------|----------|
| | | | | | | |
|--------|--------|--------|--------|--------|----------|----------|
| | | | | | | |
----------------------------------------------------------------------------
----------------------------------------------------------------------------
| 评 估 人 员 概 况 |
|------------------------------------------------------------------------|
| | | | 技 术 |
| | 会 计 | 经 济 |------------------------------|
| 合 | | | 土 木 类 | 机 电 类 |
| |--------------|--------------|--------------|--------------|
| 计 | 小 |高|中| 小 |高|中| 小 |高|中| 小 |高|中|
| | 计 |职|职| 计 |职|职| 计 |职|职| 计 |职|职|
|--------|------|--|--|------|--|--|------|--|--|------|--|--|
| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
| | | | | | | | | | | | | |
|--------|--------------|--------------|--------------|--------------|
| 内 | 部门名称 | 职 能 | 负责人 | 人 数 |
| 部 |--------------|--------------|--------------|--------------|
| 机 | | | | |
| 构 | | | | |
| 设 | | | | |
| 置 | | | | |
|--------|--------------|----------------------------------------------|
| |具有独立法人资| |
| |格的分支机构名| |
| |称 | |
| 所 |--------------| |
| 属 | | |
| 分 | | |
| 支 | | |
| 机 |--------------|----------------------------------------------|
| 构 |不具有独立法人| |
| 设 |资格的机构名称| |
| 置 |--------------| |
| | | |
| | | |
| | | |
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----------------------------------------------------------------------------
| | 制 度 列 示 | 建 立 时 间 | 执 行 情 况 |
| |------------------|------------------|------------------------|
| | | | |
| | | | |
| 业 | | | |
| 务 | | | |
| 管 | | | |
| 理 | | | |
| 和 | | | |
| 培 | | | |
| 训 | | | |
| 制 | | | |
| 度 | | | |
| | | | |
| | | | |
|------|------------------|------------------|------------------------|
| | | | |
| | | | |
| 质 | | | |
| 量 | | | |
| 控 | | | |
| 置 | | | |
| 制 | | | |
| 度 | | | |
| | | | |
| | | | |
----------------------------------------------------------------------------
----------------------------------------------------------------------------
| 自批准资产评估资格以来资产评估项目情况 |
|------------------------------------------------------------------------|
| | 价 值(万元) |
|项 数|----------------------------------------------------------------|
| | 原 值 | 净 值 | 评 估 值 |
|------|------------------|------------------|------------------------|
| | | | |
| | | | |
| | | | |
|------|----------------------------------------------------------------|
| | |
| | |
| 自 | |
| 批 | |
| 准 | |
| 资 | |
| 产 | |
| 评 | |
| 估 | |
| 资 | |
| 格 | |
| 以 | |
| 来 | |
| 执 | |
| 业 | |
| 和 | |
| 收 | |
| 入 | |
| 情 | |
| 况 | |
| | |
| | |
----------------------------------------------------------------------------
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| 省(自治区、直辖市、受托的计划单列市)推荐意见 |
|------------------------------------------------------------------------|
| |
| |
| |
| (盖 章) |
| 年 月 日 |
|------------------------------------------------------------------------|
| 国家国有资产管理局审核意见 |
|------------------------------------------------------------------------|
| |
| |
| |
| (盖 章) |
| 年 月 日 |
|------------------------------------------------------------------------|
| 国家国有资产管理局、中国证券监督管理委员会审定意见 |
|------------------------------------------------------------------------|
| |
| |
| |
| 国家国有资产管理局 |
| (盖 章) 中国证券监督管理委员会 |
| (盖 章) |
| 年 月 日 |
| 年 月 日 |
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