Among them, Article 2 clearly stipulates that A-share stocks (excluding non-tradable shares), bonds, funds (limited to shares registered in the stock exchange), warrants and other securities registered in the securities account opened by the Company can be used as the transferor and transferee to apply for non-transactional transfer registration, which involves inheritance due to divorce, gift, legal division of property, loss of legal personality and other circumstances.
2016,6543814 October, Shenzhen branch of China securities depository and clearing co., ltd issued the notice on revising the business guidelines for non-trading transfer of securities, which updated the policies, regulations and business rules for non-trading transfer of securities (hereinafter referred to as the business guidelines). Among them, for the non-transactional transfer of securities caused by inheritance, the legacy part has been added, and the divorce property division is still a kind of non-transactional transfer of securities.
Business process of securities non-trading business
1. Transfer of securities involved in inheritance
Articles 16 to 17 of Chapter 5 of the Business Guide specify in detail the supporting documents that need to be submitted and the problems that should be paid attention to when applying for non-transaction transfer of securities for inheritance reasons. Among them, the most important document to handle this business is the legal document that can explain the ownership of the estate, mainly including the notarized certificate of inheritance, the notarized bequest and support agreement, the effective court mediation and judgment. As for the notarial certificate of the inheritance.
In addition to the requirements of laws and regulations such as Inheritance Law and Marriage Law, it is also necessary to pay attention to whether the transferred securities have the problem of property division between husband and wife, the problem of non-transaction transfer after giving up inheritance and the explanation of minor heirs. These are all problems that must be paid attention to when handling non-transaction transfer through inheritance notarization, otherwise it may directly affect the smooth handling of related businesses.
2. Transfer of securities involved in divorce property division
Article 18 of Chapter 6 of the Business Guide specifies in detail the supporting documents that need to be submitted when applying for non-transaction transfer of securities due to inheritance. According to the provisions of Articles 31 and 32 of China's Marriage Law, if both men and women divorce voluntarily, they can apply for divorce at the marriage registration office, that is, the marriage relationship is dissolved with the divorce certificate issued by the Civil Affairs Bureau. However, if a man and a woman ask for a divorce, they can be mediated by the relevant departments, or they can directly file a divorce lawsuit with the people's court, that is, the marriage relationship can be dissolved by means of a mediation book and a judgment issued by the court.
Therefore, the divorce procedures handled through different channels and legal documents are also different. When applying for non-transaction transfer of securities, you need to pay special attention to the documents that need to be submitted in two different ways. In particular, readers should pay attention to the fact that applicants who handle divorce through the Civil Affairs Bureau need to submit not only divorce certificates, but also notarized divorce property division agreements.
In addition, if the divorce is decided through court mediation, the divorce judgment and mediation document must explain the situation in stock split, otherwise a notarial certificate should be provided. According to the author's practical experience, notary offices generally do not directly issue notarial certificates for divorce agreements, but notarize according to the contents of property division involved in divorce. Generally, notarized documents are property division agreements.