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国家外汇管理局


金融机构代客户办理即期和远期外汇买卖管理规定(附英文)

1988年2月13日，国家外汇管理局

第一条 为了防范汇率风险，稳定进出口贸易（包括其他对外经济活动）成本，开展即期和远期外汇买卖业务，制定本规定。
第二条 中国银行可以接受中国境内的机关、团体、企业、事业及其他单位（以下简称客户）的委托，代理买卖即期和远期外汇。 其他金融机构经营前款规定的业务，须经国家外汇管理局批准。
第三条 本规定所称外汇买卖系指各种可兑换货币之间的买卖。
第四条 客户委托中国银行或者经国家外汇管理局批准的其他金融机构（以下简称指定金融机构）代理买卖即期和远期外汇，须经国家外汇管理局或者其分局批准，但下列两种情况除外：
（一）获准经营外汇业务的专业银行和金融机构以及外商投资企业，对其自有和自筹的外汇资金，可以自行在国际金融市场上买卖即期或者远期外汇，也可以委托指定的金融机构代理买卖。
（二）前项规定以外的其他客户向中国境内外筹借的现汇和获准接受的捐赠外汇，经批准在中国境内金融机构开户存储现汇的，可凭其对外签订的贸易合同或者其他经济协议径行委托指定的金融机构代理买卖即期或者远期外汇。
第五条 买卖即期和远期外汇必须坚持自愿原则。
第六条 指定的金融机构代理客户买卖即期和远期外汇，应当以客户对外签订的贸易合同或者其他经济协议为依据，但代理经营外汇业务的金融机构和外商投资企业买卖的除外。
第七条 指定的金融机构受客户委托代办即期和远期外汇买卖时，客户应当提供履约担保。履约担保可以使用外汇额度抵押，也可以使用现汇预交履约保证金。
使用外汇额度进行抵押担保的，必须同时提供由开户银行出具的等值人民币保函。
使用外汇额度提前结成现汇预交履约保证金的，仅限于结成美元。
第八条 客户办理远期外汇买卖时，应当按照第六条规定向当地外汇管理部门提交申请书和贸易合同或者经济协议的副本，经外汇管理部门审核同意后，凭外汇管理部门的批件委托指定的金融机构代购远期外汇。
第九条 使用外汇额度提前结汇预交履约保证金的，由外汇管理部门在客户开出的外汇额度支付通知书上签注日期、盖章并扣减用汇指标。同城客户必须在签注之日后的三个工作日（异地客户在七个工作日）内买成美元存入指定的金融机构的“专项保证金存款”帐户。
使用外汇额度抵押方式的，外汇管理部门应将客户用于抵押的外汇额度过户到指定的金融机构的外汇额度帐户。
委托代办期权业务的，只能使用外汇额度抵押担保，但成交时需付的期权保险费可以提前结成现汇。
第十条 指定的金融机构代办即期和远期外汇买卖时，凡客户使用外汇额度提前结汇和预交远期外汇买卖履约保证金的，必须通过“专项保证金存款”帐户进行核算。但客户使用原持有的现汇预交远期外汇买卖履约保证金的，仍通过“存入保证金”帐户进行核算。
第十一条 进口付汇晚于交割期时，使用外汇额度提前结成现汇的，指定的金融机构应将交割所得的货币头寸复入“专项保证金存款”帐户暂存；使用原持有的现汇的，指定的金融机构应将交割所得的货币头寸复存入“存入保证金”帐户。
第十二条 本规定由国家外汇管理局负责解释。
第十三条 本规定自发布之日起施行。

Regulations for Administration of Buy and Sale of Spot and ForwardForeign Exchange by Financial Institutes on Clients' Behalf

(Approved by the State Council on December 13, 1987. Promulgatedby the State Administration of Exchange Control on Feb. 13, 1988)

Whole Doc.
Article 1
The present Regulations are formulated in order to guard against the
risks of foreign exchange rate, stabilize the costs of import and export
trade (including other foreign economic activities) and develop the
businesses of buy and sale of spot and forward foreign exchange.
Article 2
The Bank of China can be entrusted to buy and sell spot and forward
foreign exchange by departments, organizations, enterprises, institutes
and other units (hereinafter referred to as the client) in the territory
of China.
Other financial institutes intending to conduct the businesses
mentioned in the preceding paragraph shall be approved by the State
Administration of Exchange Control.
Article 3
Buy and Sale of foreign exchange referred in the present Regulations
is the buy and sale of foreign exchange among all kinds of convertible
currencies. gated on March 10, 1983 shall be abrogated on the same date.
Article 4
The client intending to entrust the Bank of China or other financial
institutes approved by the State Administration of Exchange Control
(hereinafter referred to as the designated financial institute) on its
behalf to buy and sell spot and forward foreign exchange shall be approved
by the State Administration of Exchange Control or its local bureau except
for the following two situations:
1) Professional banks, financial institutes and foreign invested
enterprises with approval to conduct foreign exchange businesses, for
their self-owned or self-raised capitals of foreign exchange, may buy and
sell spot or forward foreign exchange by themselves in the international
financial market or entrust the designated financial institutes to handle
such businesses.
2) Other clients not stipulated in the above paragraph who borrow
foreign exchange in cash within or out of China and receive, with
permission, donated foreign exchange, upon the approval to open cash
account of foreign exchange in financial institutes within China, may
entrust the designated financial institutes on their behalf to buy and
sell spot or forward foreign exchange according to the foreign trade
contracts or other economic agreements.
Article 5
The principle of voluntariness shall be adhered to in the
transactions of buy and sale of spot and forward foreign exchange.
Article 6
The designated financial institute who is entrusted by the client to
buy and sell spot and forward foreign exchange shall base on the foreign
trade contracts or economic agreements signed by the clients, but
transactions of the financial institutes with approval to conduct foreign
exchange and foreign invested enterprises shall not be included.
Article 7
When the designated financial institute is entrusted by the client to
buy and sell spot or forward foreign exchange, the client shall provide
performance guarantee. Mortgage of foreign exchange quota or advance
payment of performance bond in cash can be used as the performance
guarantee.
The letter of guarantee for RMB at equal value issued by the deposit
bank shall be simultaneously provided in case the foreign exchange quota
is mortgaged as guarantee.
In case the foreign exchange quota is ahead of time settled into
foreign exchange in cash to pay the performance bond advance, the
settlement is limited to US. dollar only.
Article 8
When the client buy and sell forward foreign exchange, application
and copies of trade contracts or other economic agreements shall be
submitted to the local department of exchange control in accordance with
the stipulation of Article 6. After examined and approved by the
department of exchange control, the client may entrust the designated
financial institute to buy forward foreign exchange by presenting the
approval documents of the department of exchange control.
Article 9
In case the foreign exchange quota is ahead of time settled into
foreign exchange in cash to pay the performance bond in advance the
department of exchange control shall sign the date and affix stamp on the
payment notice of foreign exchange quota issued by the client and shall
deduct the foreign exchange ration. The client in the same city shall
within three working days after the date of the signature (seven working
days for the client in a different city) buy US. dollars from the quota
and deposit them into the account of "specific guarantee deposit" in the
designated financial institute.
In case the foreign exchange quota is mortgaged, the department of
exchange control shall transfer the foreign exchange quota mortgaged by
the client to the account of foreign exchange quota in the designated
financial institute.
In case the option transaction is entrusted by the client, only
foreign exchange quota can be mortgaged as guarantee, but the insurance
premium of option which should be paid upon conclusion of the deal may in
advance pay settled into foreign exchange in cash.
Article 10
When the designated financial institute is entrusted to buy and sale
spot and forward foreign exchange, if the client uses the foreign exchange
quota to settle ahead of time into foreign exchange in cash and pay the
performance bond in advance for buy and sale of forward, the designated
financial institute shall check and calculated through the account of
"specific guarantee deposit"; but if the client uses the cash of foreign
exchange originally owned to pay the performance bond in advance for buy
and sale of forward foreign exchange, the designated financial institute
shall still check and calculate through the account of "guarantee deposit"
Article 11
In case the date of import payment is behind the date of delivery, if
the foreign exchange quota is ahead of time settled into foreign exchange
in cash, the designated financial institute shall re-deposit temporarily
the cash position derived from the delivery into the account of "specific
guarantee deposit"; and if the cash of foreign exchange originally owned
is used, the designated financial institute shall re-deposit the cash
position derived from the delivery into the account of "guarantee
deposit".
Article 12
The authority to interpret the present Regulations resides in the
State Administration of Exchange Control.
Article 13
The present Regulations will enter into force from the date of
promulgation.