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银行业金融机构董事(理事)和高级管理人员任职资格管理办法

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银行业金融机构董事(理事)和高级管理人员任职资格管理办法Measures for the Administration of the Office-holding Qualifications of the Directors (Council Members) and Senior Managers of Banking Financial Institutions [Effective] 银行业金融机构董事(理事)和高级管理人员任职资格管理办法[现行有效] 【法宝引证码】CLI.4.213557(EN) Issuing authority:China Banking R...
银行业金融机构董事(理事)和高级管理人员任职资格管理办法
Measures for the Administration of the Office-holding Qualifications of the Directors (Council Members) and Senior Managers of Banking Financial Institutions [Effective] 银行业金融机构董事(理事)和高级管理人员任职资格[现行有效] 【法宝引证码】CLI.4.213557(EN) Issuing authority:China Banking Regulatory Commission Document Number:Order No. 3 [2013] of the China Banking Regulatory Commission Date issued:11-18-2013 Level of Authority:Departmental Rules Area of law:Banking & Finance,Banking & Finance,Personnel Order of the China Banking Regulatory Commission 中国银行业监督管理委员会令(No. 3 [2013]) (2013年第3号) The Measures for the Administration of the Office-holding Qualifications of the Directors (Council Members) and Senior Managers of Banking Financial Institutions, as adopted at the 125th chairman's meeting of the China Banking Regulatory Commission (CBRC) on June 20, 2012, are hereby issued, and shall come into force on December 18, 2013. 《银行业金融机构董事(理事)和高级管理人员任职资格管理办法》已经中国银监会第125次主席会议于2012年6月20日通过。现予公布,自2013年12月18日起施行。 Chairman of the CBRC: Shang Fulin 中国银监会主席尚福林 November 18, 2013 2013年11月18日 Measures for the Administration of the Office-holding Qualifications of the Directors (Council Members) and Senior Managers of Banking Financial Institutions 银行业金融机构董事(理事)和高级管理人员任职资格管理办法 Chapter I General Provisions 第一章总则 Article 1 In order to improve the administration of the office-holding qualifications of the directors (council members) and senior managers of banking financial institutions and enhance the legal and stable operation of the banking sector, these Measures are made pursuant to the Banking Supervision Law of the People's Republic of China, the Law of the People's Republic of China on Commercial Banks, the Administrative License Law of the People's Republic of China, and other relevant laws and regulations. 第一条为完善银行业金融机构董事(理事)和高级管理人员任职资格管理,促进银行业合法、稳健运行,根据《中华人民共和国银行业监督管理法》、《中华人民共和国商业银行法》、《中华人民共和国行政许可法》等法律法规,制定本办法。 Article 2 For the purpose of these Measures, the term “banking financial institutions”(hereinafter referred to as “financial institutions”) means financial institutions legally formed within the territory of the People's Republic of China and absorbing public savings such as commercial banks, rural cooperative banks, village banks, rural credit cooperatives, rural credit cooperative unions and foreign banks' branches, and policy banks. 第二条本办法所称银行业金融机构(以下简称金融机构),是指在中华人民共和国境内设立的商业银行、农村合作银行、村镇银行、农村信用合作社、农村信用合作联社、外国银行分行等吸收公众存款的金融机构以及政策性银行。 These Measures apply to the administration of the office-holding qualifications of the directors (council members) and senior managers of financial asset management companies, trust companies, enterprise group finance companies, financial lease companies, auto finance companies, currency brokerage companies, consumer finance companies, loan companies, rural credit cooperative unions, rural credit unions of provinces (autonomous regions), rural mutual fund cooperatives and foreign-funded financial institutions' representative offices in China formed within the territory of the People's Republic of China, as well as other financial institutions formed upon approval by regulatory authorities. 在中华人民共和国境内设立的金融资产管理公司、信托公司、企业集团财务公司、金融租赁公司、汽车金融公司、货币经纪公司、消费金融公司、贷款公司、农村信用合作社联合社、省(自治区)农村信用社联合社、农村资金互助社、外资金融机构驻华代表机构以及经监管机构批准设立的其他金融机构的董事(理事)和高级管理人员的任职资格管理,适用本办法。 Article 3 For the purpose of these Measures, the term “senior managers”means various personnel at the management level of the head office or branch office of a financial institution, who have the decision-making power or significant impact on the business management and risk control of the institution. 第三条本办法所称高级管理人员,是指金融机构总部及分支机构管理层中对该机构经营管理、风险控制有决策权或重要影响力的各类人员。 The directors (council members) and senior managers of banking financial institutions must be subject to the qualification licensing of regulatory authorities. The specific scope of personnel subject to qualification licensing shall be governed by the administrative licensing rules of the CBRC and the relevant provisions of the Detailed Rules for the Implementation of the Regulation of the People's Republic of China on the Administration of Foreign-funded Banks. 银行业金融机构董事(理事)和高级管理人员须经监管机构核准任职资格,具体人员范围按银监会行政许可规章以及《中华人民共和国外资银行管理条例实施细则》相关执行。 Article 4 For the purpose of these Measures, the term “administration of office-holding qualifications”means the entire process that regulatory authorities determine qualification requirements for holding offices, approve and terminate qualifications for holding offices, and oversee financial institutions in strengthening the office-holding administration of directors (council members) and senior managers and ensuring that their directors (council members) and senior managers satisfy the qualification requirements for holding offices. 第四条本办法所称任职资格管理,是指监管机构规定任职资格条件,核准和终止任职资格,监督金融机构加强董事(理事)和高级管理人员任职管理,确保其董事(理事)和高级管理人员符合任职资格条件的全过程。 Article 5 For the purpose of these Measures, the term “regulatory authorities”means the banking regulatory authority under the State Council (hereinafter referred to as “the CBRC”) and the local offices thereof. 第五条本办法所称监管机构,是指国务院银行业监督管理机构(以下简称银监会)及其派出机构。 The division of functions between the CBRC and its local offices shall be governed by the relevant rules of the CBRC. 银监会及其派出机构在任职资格管理中的职责分工,按照银 监会相关规定执行。 Article 6 Financial institutions shall ensure that their directors (council members) and senior managers satisfy the qualification requirements for holding the relevant offices and hold and maintain holding the relevant qualifications at the time when they hold office and during their tenure of office. 第六条金融机构应当确保其董事(理事)和高级管理人员就任时和在任期间始终符合相应的任职资格条件,拥有相应的任职资格。 Where a director (council member) or senior manager fails to satisfy the qualification requirements during his/her tenure of office, the financial institution concerned shall order him/her to correct within a certain time limit or suspend him/her from holding the office, and report the relevant information to the regulatory authority. 董事(理事)和高级管理人员在任期间出现不符合任职资格条件情形的,金融机构应当令其限期改正或停止其任职,并将相关情况报告监管机构。 Chapter II Qualification Requirements for Holding Offices 第二章任职资格条件 Article 7 For the purpose of these Measures, the term “qualification requirements for holding offices”means the regulatory requirements which the to-be or current directors (council members) and senior managers of financial institutions need to satisfy in terms of morality, reputation, expertise, experience, capability, financial status and independence. 第七条本办法所称任职资格条件,是指金融机构拟任、现任董事(理事)和高级管理人员在品行、声誉、知识、经验、能力、财务状况、独立性等方面应当达到的监管。 Article 8 The basic qualification requirements for the to-be or current directors (council members) and senior managers of financial institutions include: 第八条金融机构拟任、现任董事(理事)和高级管理人员的任职资格基本条件包括: (1) having full capacity for civil conduct; (一)具有完全民事行为能力; (2) having a good record on abiding by laws and regulations; (二)具有良好的守法合规记录; (3) having good moral characters and reputations; (三)具有良好的品行、声誉; (4) having the knowledge, experience and capability required for the offices to be held; (四)具有担任金融机构董事(理事)和高级管理人员职务所需的相关知识、经验及能力; (5) having a good record of economic or financial practices; (五)具有良好的经济、金融从业记录; (6) having stable personal and family finances; (六)个人及家庭财务稳健; (7) having the independency necessary for the offices to be held; and (七)具有担任金融机构董事(理事)和高级管理人员职务所需的独立性; (8) being faithful and diligent to the financial institutions concerned. (八)履行对金融机构的忠实与勤勉义务。 Article 9 Under any of the following circumstances, a to-be or current director (council member) or senior manager of a financial institution shall be deemed as failing to satisfy the requirements set forth in Article 8 (2), (3) or (5) of these Measures: 第九条金融机构拟任、现任董事(理事)和高级管理人员出现下列情形之一的,视为不符合本办法第八条第(二)项、第 (三)项、第(五)项规定之条件: (1) having a record of intentional or gross negligence crime; (一)有故意或重大过失犯罪记录的; (2) having any bad conduct that seriously goes against social morality and causes adverse effect; (二)有违反社会公德的不良行为,造成恶劣影响的; (3) bearing personal liabilities or direct leadership liabilities for any illegal or rule-breaking business activity or any heavy loss of a previous employer, in a serious case; (三)对曾任职机构违法违规经营活动或重大损失负有个人责任或直接领导责任,情节严重的; (4) being or having once been a director (council member) or senior manager of an institution which has been taken over, cancelled or declared bankrupt or whose business license has been revoked, unless there is proof that the person assumes no personal liability for that; (四)担任或曾任被接管、撤销、宣告破产或吊销营业执照机构的董事(理事)或高级管理人员的,但能够证明本人对曾任职机构被接管、撤销、宣告破产或吊销营业执照不负有个人责任的除外; (5) violating professional ethics or code of conduct or seriously neglecting duties, which has caused any major loss or adverse impact; (五)因违反职业道德、操守或者工作严重失职,造成重大损失或者恶劣影响的; (6) instigating or participating in his/her employer's resistance to any legal supervision or case investigation; (六)指使、参与所任职机构不配合依法监管或案件查处的; (7) having been disqualified for life for the office of director (council member) or senior manager, or having received punishments from regulatory authorities or other financial administrative departments for cumulatively twice or more; or (七)被取消终身的董事(理事)和高级管理人员任职资格,或受到监管机构或其他金融管理部门处罚累计达到两次以上的; (8) being licensed a qualification by illegitimate means when failing to satisfy any of the qualification requirements prescribed by these Measures. (八)有本办法规定的不具备任职资格条件的情形,采用不正当手段获得任职资格核准的。 Article 10 Under any of the following circumstances, a to-be or current director (council member) or senior manager of a financial institution shall be deemed as failing to satisfy the requirements set forth in Article 8 (6) or (7) of these Measures: 第十条金融机构拟任、现任董事(理事)和高级管理人员出现下列情形之一的,视为不符合本办法第八条第(六)项、第(七)项规定之条件: (1) Either the person or the spouse thereof has any relatively large amount of overdue debt, including but not limited to any overdue loan owed to the financial institution; (一)本人或其配偶有数额较大的逾期债务未能偿还,包括但不限于在该金融机构的逾期贷款; (2) The cumulative total of shares held by the person and the near relatives thereof accounts for 5% or more of the total shares of the financial institution, and the total amount of credit obtained from the financial institution obviously exceeds the net value of equities held in the financial institution; (二)本人及其近亲属合并持有该金融机构5%以上股份,且从该金融机构获得的授信总额明显超过其持有的该金融机构股权净值; (3) The cumulative total of shares held by the person and the entity in which the person holds controlling shares accounts for 5% or more of the total shares of the financial institution, and the total amount of credit obtained from the financial institution obviously exceeds the net value of equities held in the financial institution; (三)本人及其所控股的股东单位合并持有该金融机构5%以上股份,且从该金融机构获得的授信总额明显超过其持有的该金融机构股权净值; (4) Either the person or the spouse thereof holds an office in an entity holding 5% or more of shares of the financial institution, and the total amount of credit obtained by the entity from the financial institution obviously exceeds the net value of its equities held in the financial institution, unless there is proof that the credit granted has nothing to do with the person or the spouse thereof; or (四)本人或其配偶在持有该金融机构5%以上股份的股东单位任职,且该股东单位从该金融机构获得的授信总额明显超过其持有的该金融机构股权净值,但能够证明相应授信与本人或其配偶没有关系的除外; The above-mentioned provisions are not applicable to enterprise group finance companies. 前项规定不适用于企业集团财务公司。 (5) Any other circumstance under which an office held by the person has an obvious conflict of interest with the office held or to be held in the financial institution or obviously has distracted or will distract the person in terms of the time or energy for performing duties in the financial institution. (五)存在其他所任职务与其在该金融机构拟任、现任职务有明显利益冲突,或明显分散其在该金融机构履职时间和精力的情形。 The term “near relatives”as mentioned in these Measures includes spouses, parents, children, siblings, grandparents and grandchildren. 本办法所称近亲属包括配偶、父母、子女、兄弟姐妹、祖父母、外祖父母、孙子女、外孙子女。 Article 11 A to-be or current independent director of a financial institution may not fall under any of the following circumstances in addition to those as set forth in Articles 9 and 10 of these Measures: 第十一条除不得存在第九条、第十条所列情形外,金融机构拟任、现任独立董事还不得存在下列情形: (1) The person and the near relatives thereof totally hold 1% or more of shares or equities in the financial institution; (一)本人及其近亲属合并持有该金融机构1%以上股份或股权; (2) The person or any of his/her near relatives holds an office in an institutional shareholder which holds 1% or more of shares or equities in the financial institution; (二)本人或其近亲属在持有该金融机构1%以上股份或股权的股东单位任职; (3) The person or any of his/her near relatives holds an office in the financial institution, an institution in which the financial institution holds controlling shares or an institution actually controlled by the financial institution; (三)本人或其近亲属在该金融机构、该金融机构控股或者实际控制的机构任职; (4) The person or any of his/her near relatives holds an office in an institution unable to repay a loan owed to the financial institution on schedule; (四)本人或其近亲属在不能按期偿还该金融机构贷款的机构任职; (5) There is a business contact for legal, accounting, auditing, management consulting or guarantee cooperation matters or an interested relationship such as a debtor-creditor relationship between the institution where the person or any of his/her near relatives holds an office and the financial institution where the person is to hold (or currently holds) an office, which may jeopardize his/her independence in performing duties; or (五)本人或其近亲属任职的机构与本人拟(现)任职金融机构之间存在因法律、会计、审计、管理咨询、担保合作等方面的业务联系或债权债务等方面的利益关系,以至于妨碍其履职独立性的情形; (6) Any other circumstance under which his/her independence in performing duties may be jeopardized as the person or any of his/her near relatives is likely to be controlled or significantly influenced by the substantial shareholder or senior management of the financial institution. (六)本人或其近亲属可能被该金融机构主要股东、高管层控制或施加重大影响,以至于妨碍其履职独立性的其他情形。 Article 12 Where any to-be or current director (council member) or senior manager of a financial institution falls under any other circumstance where he/she is prohibited by any law or administrative regulation from holding the office of director (council member) or senior manager of a financial institution, it shall be deemed a failure to satisfy the qualification requirements as prescribed by regulatory authorities. 第十二条金融机构拟任、现任董事(理事)和高级管理人员出现法律、行政法规所规定的不得担任金融机构董事(理事)和高级管理人员的其他情形,视为不符合监管机构规定的任职资格条件。 Article 13 The requirements on the educational background and practice experience of the to-be or current directors (council members) and senior managers of various financial institutions shall be governed by the administrative licensing rules of the CBRC and the relevant provisions of the Detailed Rules for the Implementation of the Regulation of the People's Republic of China on the Administration of Foreign-funded Banks. 第十三条各类金融机构拟任、现任董事(理事)和高级管理人员应当具备的学历和从业年限按银监会行政许可规章以及《中华人民共和国外资银行管理条例实施细则》相关规定执行。 Chapter III Examination and Approval of Qualifications for Holding Offices 第三章任职资格审查与核准 Article 14 The directors (council members) and senior managers of financial institutions shall be subject to qualification licensing, and may not hold offices before being licensed qualifications. 第十四条金融机构董事(理事)和高级管理人员应当在任职前获得任职资格核准,在获得任职资格核准前不得履职。 Article 15 Before appointing a director (council member) or senior manager or authorizing a person to perform the duties of directors (council members) or senior managers, a financial institution shall confirm that the person concerned satisfies the relevant qualification requirements and submit a qualification application to the regulatory authority. 第十五条金融机构任命董事(理事)和高级管理人员或授权相关人员履行董事(理事)或高级管理人员职责前,应当确认其符合任职资格条件,并向监管机构提出任职资格申请。 Article 16 The materials and procedures for various financial institutions to submit applications for qualifications for holding offices shall be governed by the administrative licensing rules of the CBRC and the relevant provisions of the Detailed Rules for the Implementation of the Regulation of the People's Republic of China on the Administration of Foreign-funded Banks. 第十六条各类金融机构报送任职资格申请的材料和程序按银监会行政许可规章以及《中华人民共和国外资银行管理条例实施细则》相关规定执行。 Article 17 In addition to examining the application materials submitted by a financial institution, a regulatory authority may examine whether a candidate satisfies the relevant qualification requirements by the following ways, and issue a written decision of approval or disapproval to the financial institution on the basis of the examination result: 第十七条除审核金融机构报送的任职资格申请材料外,监管机构可以通过以下方式审查拟任人是否符合任职资格条件,并据以向金融机构发出核准或不予核准任职资格的面决定: (1) inquiring about information about the candidate or the previous employer thereof through the regulatory information system; (一)在监管信息系统中查询拟任人或拟任人曾任职机构的相关信息; ............ 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