第二次中德高级别财金对话联合声明
主题：扩大双向开放，深化务实合作，推动中德财金关系迈上新台阶
2019年1月18日，中国国务院副总理刘鹤和德国联邦副总理兼财长肖尔茨在北京共同主持第二次中德高级别财金对话（以下简称对话）。双方强调这一对话机制是中德就财金领域战略性、全局性、长期性问题进行双边沟通和政策协调的重要平台。双方致力于在对话平台基础上扩大双向开放，深化务实合作，推动中德财金关系迈上新台阶。双方重申在财政金融领域加强宏观经济政策协调和务实合作，拓展战略性合作。双方将共同努力推动完善国际经济治理，维护全球多边体系，反对贸易保护主义，支持以规则为基础、以世贸组织为核心的多边贸易体制，促进开放型世界经济和全球经济增长。双方在对话中达成以下共识：
1.双方同意加强全球经济治理领域合作，特别是完善金融架构，推进主要国际金融机构改革，加强多双边沟通交流等，增强全球信心，实现世界经济强劲、可持续、平衡和包容性增长。
2.双方支持二十国集团（G20）作为国际经济合作主要论坛的作用，致力于落实G20杭州、汉堡和布宜诺斯艾利斯峰会成果，支持G20在结构性改革、可持续发展、基础设施投资、国际金融架构、金融部门改革、数字经济等领域促进对话与合作，维护多边贸易体制，就新技术应用和数字变革加强合作以应对相关挑战。
3.双方支持巴黎俱乐部作为官方双边债务重组主要国际平台的作用及其正在开展的相关工作，支持其持续吸纳更多新兴债权国。双方支持国际货币基金组织和世界银行集团在增强公共债务透明度方面开展的工作并欢迎相关建议。双方欢迎《G20可持续融资操作性指南》并呼吁跟进相关工作。
4.双方欢迎名人小组（EPG）报告并期待在日本担任主席国期间采取后续行动。
5.双方重申支持以世贸组织为核心、以规则为基础、非歧视、开放、包容和透明的多边贸易体制。双将与其他成员一道，推进WTO改革以改进世贸组织三大职能（规则制定、争端解决和监督），以帮助其应对当前和未来挑战。
6.双方同意继续保持密切合作，共同应对和打击跨境逃避税。双方同意在落实G20/OECD税基侵蚀与利润转移行动计划方面继续加强沟通合作。双方将继续致力于提升税收确定性，并与OECD一同致力于应对经济数字化给税收带来的挑战。双方将继续支持G20关于提升税收透明度和落实自动情报交换的承诺，呼吁所有辖区遵从透明度国际公认标准以及按照承诺的时间交换税收信息，共建公平现代的国际税收体系。双方承诺通过多种方式帮助发展中国家，尤其是低收入国家加强税收政策和征管能力建设。
7.双方一致认为，中德合作有利于促进两国经济发展，加强现有经济关系，实现优势互补。双方承诺确保非歧视的、开放的市场准入环境和稳定的制度框架，减少现有市场准入和投资壁垒，改善外企商业环境。
8.双方承诺深化在国际货币基金组织（IMF）中的合作，增强以一个强有力的、以份额为基础的、资源充足的IMF为核心的全球金融安全网。双方支持IMF按时完成第15次份额总检查，包括形成新的份额公式，以确保有活力的经济体的份额与其在世界经济中的相对地位相一致地增加，从而可能实现新兴市场和发展中国家总体份额的提升，同时保护最贫穷成员国的发言权和代表性。
9.中德双方在亚投行筹建、发展和运营中一直保持着密切的、规律的和良好的合作。双方将继续加强在亚投行框架下的协调和全方位合作，与其他成员一道，聚焦亚投行作为新多边机构实现进一步发展的战略重点，借鉴现有多边开发银行的良好做法，积极打造自身价值主张和特色，不断提高机构能力。双方将共同努力支持亚投行不断发展，提供客户导向的融资和服务，通过亚投行特别基金开展合作，进一步鼓励亚投行从成员国国家发展专家中引进专业人才。
10.双方期待深化多边开发融资合作，支持改进基础设施互联互通。
11.双方支持中欧互联互通平台就“一带一路”倡议与欧盟提出的欧亚互联互通战略以及欧洲基础设施规划对接所开展的工作。相关合作应基于透明原则、经济可持续性，遵守项目受益国法律和符合其债务能力的融资实践，同时考虑受益国各自的政策和国别情况。
12.双方确认金融领域合作具有潜力，并对金融企业在第三方国家市场基于透明和可持续原则深化合作持开放态度。企业与金融机构将基于商业原则进行合作决策。
13.双方欢迎德国官方出口信用和投资保险机构与中国出口信用保险公司深化合作，在2016年德国裕利安怡公司与中国出口信用保险公司签署的再保险协议基础上，寻求共同为两国出口商项目提供保险和再保险支持，以推动两国企业在第三方市场开展合作。
14.双方欢迎两国金融机构进一步发展创新性的中小企业融资机制。
15.双方愿加强国际发展交流与合作，促进全球减贫，共同应对公共卫生、粮食安全、气候变化等全球性挑战，推动低收入国家增长和发展。双方同意在落实2030年可持续发展议程（以下简称议程）方面保持密切沟通和合作，承诺进一步采取行动，在本国及国际范围内落实议程。
16.双方认同实施结构性改革以及增长和稳定导向的宏观经济政策将有助于经济长期可持续增长。其中，健全透明的公共财政是关键组成部分。
17.双方赞赏自首次对话以来两国财政部之间建立的政策研究合作机制以及该机制下共同探索形成的政策交流模式。已举行的四次政策研究专题研讨会聚焦于人口结构变化对社保可持续性发展的挑战。双方愿继续就包括结构性改革和现代经济治理体系等重大议题进行深度交流，并重点关注财政可持续性问题，特别是人口老龄化对财政可持续性的冲击，愿就共同关切的社会经济议题进行研究合作。为进一步深化合作，双方决定围绕“人口结构变化背景下老年保障相关体系的管理、发展和可持续性问题”启动联合研究项目，并向下次中德对话提交联合研究报告。
18.双方同意就德国住房有关情况和公共政策进行沟通交流，重点包括政府的财税政策支持、监管举措及政策效果。
19.德方欢迎中方为放宽市场准入所作出的努力。德方欢迎中方持续有效扩大金融部门的对外开放。中方欢迎符合条件的德资金融机构来华展业，德方欢迎符合条件的中资金融机构赴德展业。
20.双方同意在相互尊重主权和对方国内法律法规的前提下启动双边审计监管合作谈判，为跨境发行股票、债券提供制度保障，进一步促进两国资本市场互联互通。中方欢迎和支持德国企业发行熊猫债，愿意提供审计监管便利。
21.双方支持两国交易所和金融市场行业协会加强友好交流与务实合作，增进两国金融机构和投资者对彼此资本市场和监管制度的了解，为双边务实合作和两国资本市场健康稳定发展创造良好条件。双方支持中国证券投资基金业协会与德方合作伙伴举办中国资本市场主题研讨会。
22.双方认同外资机构参与中国保险市场对于提升金融普惠、金融韧性和应对中国人口结构变化的意义。双方欢迎合格的德国保险企业在华设立全资保险控股公司，欢迎中国保险和再保险公司在德现行法律和监管框架下开展再保险业务。在务实合作与有效市场开放精神指导下，双方致力于及时处理本国和外国保险公司的许可申请。中方致力于继续给予外资保险公司国民待遇和中外一致的公平竞争环境。中方欢迎符合条件的德资保险公司申请其专长领域的经营许可，欢迎符合条件的德资保险机构在相关法律法规范围内扩展其在华互联网保险领域的业务范围，推动对中国消费者有利的创新。
23.双方欢迎并支持法兰克福人民币离岸市场和当地人民币清算行的建设与发展，以及德国金融机构使用人民币合格境外机构投资者（RQFII）额度进入中国市场投资。双方欢迎金融机构在德国发行人民币债券。
24.双方支持中欧国际交易所（以下简称中欧所）发挥促进两国金融合作、人民币国际化以及中德先进制造业对接与合作的重要平台作用，支持法兰克福离岸人民币市场发展，以扩大人民币在中德之间的跨境使用。
双方支持各自证券监管机构签署双边跨境衍生品监管合作谅解备忘录，以支持在法兰克福中欧所上市A股指数衍生品。双方欢迎德方各类发行人在中欧所发行人民币计价的债券，欢迎中国发行人到中欧所发行上市股票、债券，并遵守适用的财务报告准则及支持与财务报告相关的执法活动。
双方欢迎德意志交易所和上海证券交易所就各自的上市公司在对方市场挂牌存托凭证（DR）产品开展可行性研究。中方欢迎符合条件的德资在华银行申请中国存托凭证（CDR）业务牌照。
双方欢迎中国银行与中欧所签订《D股项目合作谅解备忘录》，支持中国企业赴德上市融资。
25.双方欢迎就监管问题开展密切对话和磋商，并欢迎两国有关部门签署《中德银行业监管合作意向信》。为了在银行业监管待遇方面取得更进一步的成果，两国有关部门将密切合作并致力于签署一份协议以帮助解决两国银行分行和子行进入对方市场可能遇到的障碍。中方愿意鼓励至少一家总部设在中国的银行在德国（法兰克福）开设子行作为其欧洲总部。
26.双方欢迎在绿色金融和可持续融资领域已取得的重要进展，特别是在中德两国分别担任G20主席国期间取得的重要成果。双方同意继续在绿色金融领域开展积极合作，包括致力于做好“央行与监管机构绿色金融合作网络”（NGFS）框架下相关工作，鼓励金融机构开展环境风险分析，并按照G20和气候相关金融信息披露工作组（TCFD）有关建议和框架开展环境信息披露，共同推动在G20框架下讨论可持续基础设施投资议题。
27.双方欢迎两国央行在本次对话期间签署合作谅解备忘录，进一步加强两机构在经济金融形势交流、中央银行业务、技术援助和人员培训方面的合作。
28.双方支持各自证券监管机构加强沟通交流，并通过签署监管合作和信息交换谅解备忘录，深化证券期货领域的监管合作机制。两国金融监管机构同意加强日常监管与跨境执法合作、信息共享以及市场极端情况下的应急协同机制，并致力于促成双边跨境衍生品监管合作备忘录的签署。
29.双方同意加强在金融科技领域交流与合作。
30.中方欢迎更多符合条件的德国当地机构加入人民币跨境支付系统（CIPS）办理跨境人民币清算结算业务。中方欢迎有能力、有意愿的德资企业进入中国支付服务市场，提升行业整体实力。
31.双方同意继续保持在金融行动特别工作组（FATF）框架下的紧密和互信合作，寻求互相支持，在适当的法律框架下，促进与两国金融情报中心相关的反洗钱和反恐融资合作。双方期待进一步探索加强合作的方式，包括日常磋商和工作访问等。
32.中方欢迎符合条件的德资银行申请成为中国人民银行公开市场一级交易商。
33.中方欢迎符合资格的德资金融机构在华申请熊猫债主承销商资格和基金托管牌照。中国银行间市场交易商协会（以下简称交易商协会）将开展新一轮关于债券承销资格的市场化评估。在此过程中，交易商协会将根据中方相关程序和标准，积极考虑德资银行的申请。
34.中方愿在金融领域改善市场准入方面的营商与监管环境，包括外国银行分行吸收中国境内公民单笔人民币定期存款的最低金额要求。与金融业对外开放精神一致，中方愿继续评估现行法律和监管框架，进行必要适当调整，推动外资金融机构在华稳健经营。
Joint Statement of the 2nd China-Germany High Level Financial Dialogue
Expanding two-way opening-up and deepening pragmatic cooperation to bring the China-Germany financial relations to a new high
January 18th, 2019, Chinese Vice Premier Liu He and German Vice Chancellor and Minister of Finance Olaf Scholz co-chaired the 2nd China-Germany High Level Financial Dialogue in Beijing. Both sides emphasized that this dialogue mechanism is a key platform for bilateral communication and policy coordination on strategic, overarching, and long-term issues in the fiscal and financial fields. Under the dialogue framework, both sides are committed to expanding two-way opening-up and deepening pragmatic cooperation to bring the China-Germany bilateral financial relations to a new high. Both sides reaffirm that they will strengthen macroeconomic policy coordination and pragmatic cooperation in the fiscal and financial fields and expand strategic cooperation. The two sides will make joint efforts to improve international economic governance, maintain the global multilateral system, combat trade protectionism, support the rule-based multilateral trading system with the WTO as its center and promote an open world economy, as well as global economic growth. Both sides reached the following consensus during the dialogue：
1. Both sides agree to strengthen cooperation on global economic governance, including improving the financial structure, promoting the reform of major international financial institutions, and strengthening multilateral and bilateral communication, in order to enhance global confidence and achieve strong, sustainable, balanced, and inclusive growth of world economy.
2. Both sides support the role of the G20 as the premier forum for international economic cooperation, and are committed to implementing the outcomes of the G20 summits in Buenos Aires, Hangzhou and Hamburg. Both sides support the G20 in promoting dialogue and cooperation in such areas as structural reform, sustainable development, infrastructure investment, international financial architecture, financial sector reform and the digital economy. Both sides are committed to safeguarding the multilateral trading system, and strengthening cooperation on emerging technology applications and digital transformation to meet related challenges.
3. Both sides support the ongoing work of the Paris Club, as the principal international forum for restructuring official bilateral debt, towards broader inclusion of emerging creditors. Both sides welcome the work of the IMF and the World Bank on strengthening public debt transparency and welcome the recommendations. Both sides welcome the G20 Operational Guidelines for Sustainable Financing and call for their follow-up.
4. Both sides welcome the Report by the Eminent Persons Group (EPG) and look forward to follow up under the Japanese Presidency.
5. Both sides reaffirm their support for the rules-based, non-discriminatory, open, inclusive and transparent multilateral trading system with the WTO at its center. Both sides will work with other members on WTO Reform to improve the WTO in its three functions (rule making, dispute settlement, monitoring), to help it meet current and future challenges.
6. Both sides will continue to maintain close cooperation to jointly cope with and combat cross-border tax evasion and to strengthen communication and cooperation on implementing the G20/OECD Tax Base Erosion and Profit Shifting Action Plan. Both sides will continue their work to improve tax certainty, and work with the OECD to address the tax challenges raised by the digitalization of the economy. Both sides will continue to support the G20 commitment on tax transparency and automatic exchange of tax information, and call on all jurisdictions to comply with internationally recognized standards of tax transparency and to exchange information in the tax area within the committed time frame, so as to build a fair and modern tax system together. Both sides are pledged to help developing countries, especially low-income countries in a variety of ways to strengthen their capacity building in tax policy and administration.
7. Both sides agree that German-Chinese cooperation is beneficial to the economies of both countries and, as such, strengthening existing economic ties could be of mutual advantage. Both sides are committed to ensuring a non-discriminating, open market access environment and a stable institutional framework, and to easing existing market access and investment barriers to improve business environment for foreign companies in both countries.
8. Both sides are committed to deepening cooperation in the International Monetary Fund (IMF) and to strengthening the global financial safety net with a strong, quota-based, and adequately resourced IMF at its center. Both sides are committed to concluding the 15th General Review of Quotas and agreeing on a new quota formula as a basis for a realignment of quota shares to result in increased shares for dynamic economies in line with their relative positions in the world economy and hence likely in the share of emerging market and developing countries as a whole, while protecting the voice and representation of the poorest members.
9. China and Germany have been maintaining close, regular, and good cooperation in the preparation, development and operation of AIIB. Both sides will continue strengthening bilateral coordination and all-round cooperation under the framework of AIIB. Together with other members, China and Germany will focus on the strategic priorities of the future development of AIIB as a new multilateral institution, and fully draw on existing good practices of multilateral development banks to actively build AIIB’s own value position and characteristics to constantly improve its institutional capabilities. Joint efforts will be made to support AIIB's ongoing build-up and provision of client-oriented financing and services, including cooperating through AIIB's Special Fund to further encourage AIIB to bring in national development experts of AIIB members.
10. Both sides look forward to furthering multilateral development financing cooperation, and support improving infrastructure connectivity.
11. Both sides will support the China-EU connectivity platform’s efforts in identifying synergies between the Belt and Road Initiative and the EU’s strategy for connecting Europe and Asia as well as European infrastructure planning. Such cooperation should abide by the shared principles of transparency, economic sustainability, as well as the law of the countries benefitting from the projects and sound financial practices that respect the viability of their debt, while taking into account their respective policies and individual situations.
12. Both sides recognize the potential of cooperation in the financial sector and are open to financial enterprises deepening their cooperation in third countries based on transparency and sustainability. Cooperation decisions are made by enterprises and financial institutions based on commercial criteria.
13. Both sides welcome the deepening cooperation between official German export credit and investment insurance institutions and the China Export Credit Insurance Corporation, to explore how joint insurance or reinsurance support for projects involving exporters from both countries can be provided on the basis of the 2016 Euler Hermes–China Export Credit Insurance Corporation re-insurance agreement to support cooperation between our companies in third-party markets.
14. The two sides welcome further development of innovative financing mechanisms for SMEs by financial institutions of both countries.
15. Both sides are willing to strengthen communication and cooperation on international development, promote global poverty reduction, jointly address global challenges such as public health, food security and climate change, and promote growth and development in low income countries (LICs). Both sides intend to maintain close communication and cooperation on implementing the Sustainable Development Goals (SDGs) and 2030 Agenda and promised to take further action to implement the 2030 Agenda at national and international levels.
16. Both sides agree that structural reform, growth and stability-oriented macroeconomic policies will contribute to long-term and sustainable economic growth. Sound and transparent public finances are a key ingredient of the former.
17. Both sides appreciate the mechanism for policy research cooperation, and the format for exchanging of views established by the two Ministries of Finance since the first dialogue. In the spirit of mutual learning, four bilateral expert sessions took place, focusing on the challenges for sustainable development of social systems posed by demographic change. Both sides are willing to continue in-depth exchange on important issues such as structural reforms and modern economic governance systems, on the basis of existing good cooperation while keeping a focus on fiscal sustainability in the context of an ageing society, to study and cooperate on socio-economic issues with shared concern. In order to further deepen the cooperation, a joint project on the management, evolution and sustainability of respective systems for old age provision in the demographic context should lead to conclusions, which are to be presented at the next Dialogue.
18. Both sides agreed to exchange information and public policy on housing issues with emphasis on government's fiscal and tax policy support, supervision, and policy effects.
19. Germany welcomes China’s efforts to broaden market access. Germany welcomes China continuing to effectively further open up its financial sector. The Chinese side welcomes qualified German financial institutions into the Chinese market, and the German side welcomes qualified Chinese financial institutions into the German market.
20. Both sides agree to initiate negotiations for the cooperation on bilateral audit supervision on the premise of mutual respect for sovereignty and domestic laws and regulations of each other to provide an institutional guarantee for cross-border stock and bond issuance, and to advance the interconnection of capital markets between the two countries. The Chinese side welcomes and supports the issuance of panda bonds by German companies and is willing to provide convenience in audit supervision.
21. Both sides support the communication and cooperation between stock exchanges and financial industry associations of the two countries, to help financial institutions and investors to improve their understanding on the capital markets and regulation rules of each other, in order to create favorable conditions for bilateral cooperation and the sound, steady development of the capital markets in both countries. The two sides support the Asset Management Association of China (AMAC) and its German counterparts to conduct seminars on China's capital market issues.
22. Both sides recognize the value of participation of foreign firms in China’s insurance market to help increase financial inclusion, resilience and tackle demographic change in China. Both sides welcome qualified German insurers to set up wholly-owned insurance holding companies in China, and welcome Chinese insurers and reinsurers to carry out reinsurance business in Germany within the existing legal and regulatory framework. Both sides commit to timely processing of license applications of foreign and national insurance companies in the spirit of pragmatic cooperation and effective market opening. China commits to continued granting of national treatment for foreign insurance companies and a level playing field for domestic and foreign insurance companies. China welcomes qualified German insurance companies to apply for operational licenses in areas they specialized in, and welcomes qualified German insurers to help drive innovation for the benefit of Chinese customers and to extend their business scope in digital insurance areas in China in line with relevant rules and regulations.
23. Both sides welcome and support the establishment and development of the offshore RMB market and local RMB clearing banks in Frankfurt. Both sides also welcome and support the German RMB Qualified Foreign Institutional Investor (RQFII) to enter the Chinese market. Both sides welcome financial institutions to issue RMB bonds in Germany.
24. Both sides support the China Europe International Exchange (CEINEX) to play a positive role as an important platform to promote bilateral financial cooperation and RMB internationalization and China-Germany advanced manufacturing industrial interconnection and cooperation and to support the development of the offshore RMB market in Frankfurt so as to expand the cross-border use of RMB between China and Germany.
Both sides support their respective securities regulatory authorities to work out a bilateral Memorandum of Understanding for the supervisory cooperation on cross-border derivatives so as to support CEINEX to launch China A-Shares index derivatives in Frankfurt. Both sides welcome various German issuers to issue RMB-denominated bonds in CEINEX and welcome Chinese issuers to issue and list stocks and bonds in CEINEX while observing applicable financial reporting standards and supporting financial reporting enforcement.
Both sides welcome Deutsche B?rse Group and Shanghai Stock Exchange to assess the feasibility of listing Depository Receipt (DR) products on their respective markets. China welcomes the qualified German-invested bank in China to apply for the depository business license for Chinese Depository Receipt (CDR).
Both sides welcome the signing of “Memorandum on D-share Project Cooperation” between the Bank of China and CEINEX, supporting Chinese enterprises to be listed in German financial market.
25. Both countries welcome the intensive dialogue and consultation on regulation, and welcome the signing of the “Letter of Intent” between competent Chinese and German authorities. Authorities intend to cooperate closely in order to achieve further progress with regard to the regulatory treatment of the respective banking sectors, with a view towards entering an agreement, which would help to overcome potential impediments concerning market access for bank branches and subsidiaries in the two countries. China expresses its willingness to encourage at least one bank headquartered in China to establish a subsidiary in Germany (Frankfurt/Main) as its European hub.
26. Both sides welcome the significant progress made in strengthening the foundations of green and sustainable finance, especially those made during China’s and Germany’s G20 Presidency. Both sides agree to continue their proactive collaborations in green finance, including devoting efforts for the work under the Central Banks and Supervisors Network for Greening the Financial System (NGFS), encouraging financial institutions to conduct environmental risk analysis and to disclose financial information related to environment and climate according to the Taskforce on Climate Related Financial Disclosures (TCFD) recommendations and relevant G20 framework, as well as promoting the discussion of sustainable infrastructure investment under the G20.
27. Both sides welcome the signing of a Memorandum of Understanding between the central banks of the two countries during the Dialogue, to further enhance cooperation on exchanging economic and financial developments, central bank business, technical support and personnel training.
28. Both sides support their respective securities regulatory authorities to enhance communication, and deepen their cooperation mechanism on securities and futures market supervision through a Memorandum of Understanding on regulatory cooperation and exchange of information. Financial regulatory authorities of both sides agree to improve cooperation on regulation and cross-border law enforcement, information sharing and emergency response and coordination plans under extreme market circumstances, and will work towards a memorandum on cooperation of cross-border derivatives supervision.
29. Both sides agree to enhance communication and cooperation in the field of financial technology.
30. The Chinese side welcomes more qualified German institutions to join the RMB cross-border payment system (CIPS) for cross-border RMB clearing and settlement business. The Chinese side welcomes capable and willing German-funded enterprises to enter the Chinese payment service market on a nationwide scale to enhance the overall strength of the industry.
31. Both sides agreed to continue to maintain close and trustful cooperation under the framework of the Financial Action Task Force (FATF) while seeking to support each other in the FATF context whenever possible. Both sides will work to promote the establishment of a bilateral anti-money laundering and counter-terrorism financing cooperation in relation to their respective Financial Intelligence Units, subject to an appropriate legal framework. Both sides look forward to explore further ways of intensifying their collaboration, for instance through regular consultations and working visits.
32. China welcomes qualified German banks to apply to become a primary dealer in the open market operations of the People's Bank of China.
33. The Chinese side welcomes qualified German financial institutions in China to apply for the panda bond lead underwriting license and the Fund Custodian License. China’s National Association of Financial Market Institutional Investors (NAFMII) will launch a new round of market-based evaluation of bond underwriting qualifications, and NAFMII will positively consider German banks' application in this process in accordance with the Chinese procedures and standards.
34. China expresses its willingness to improve the business and regulatory environment for market access in the financial sector, for instance the provision of the minimum amount of RMB time deposit that a foreign bank branch may receive for each time from the Chinese citizens within the territory of China. In line with deepening the opening-up of financial sectors, China is willing to continue to review the current legal and regulatory framework and make proper amendment and adjustment where necessary, with an aim to foster safe and sound operations for foreign financial institutions in China.
本文来源：国际经济关系司