Credit guarantee company board directors, supervisors and senior management staff of vocational qualification management interim measures
(September 27, 2010 China's Banking Regulatory Commission [2010] the 6th release come into force on the date of promulgation) Chapter I General provisions
First in order to strengthen the financing guarantee company directors, supervisors and senior management staff of vocational qualification management, promote financing guarantee business legitimate, stable, according to the People's Republic of China law, financing guarantee interim measures for the management of the company and other relevant provisions of these measures.
Second directors mentioned in these measures refers to the financing guarantee company's Chairman, Vice Chairman, independent Director, and other members of the Board of Directors.
Supervisors mentioned in these measures refers to the financing guarantee company supervisors, deputy supervisor and the other supervisory board members.
Senior managers in these measures refers to the financing guarantee the company's General Manager, Deputy General Manager and Chief Risk Officer, Chief Compliance Officer, in charge of finance and other company management with decision-making power or play an important role on the company's risk control personnel.
Did not serve different positions or titles listed in the preceding three paragraphs, but actual discharge the responsibilities of Directors, supervisors and senior management staff, should be included in these measures of vocational qualification management.
General Manager of the branch of a credit guarantee company's vocational qualification management procedures apply with regard to senior managers of the relevant provisions.
Article as a credit guarantee company directors, supervisors and senior management staff, should be reported to the regulator approved qualifications.
Article fourth regulators in these measures refers to the provinces, autonomous regions and municipalities to determine the departments responsible for financial guarantee companies the supervision and management of the area.
Chapter II qualifications for directors, supervisors and senior management staff conditions
Article v financing guarantee company directors, supervisors and senior management officers shall meet the following conditions:
(A) have full capacity for civil conduct;
(B) the discipline, honesty and trustworthiness, diligence due diligence, with good professional ethics, good character and reputation;
(C) be familiar with legal regulation of economic, financial, security, and compliance with good sense and prudent business sense;
(D) commensurate with the proposed position of knowledge, experience and ability.
Sixth financing guarantee must not following company directors, supervisors and senior managers:
(A) criminal record of intentional or gross negligence;
(B) for breach of professional conduct or serious dereliction of duty to serve the institution causing significant losses or bad influence;
(C) the last five years was revoked because of illegal business, takeover, merger, declares bankruptcy or revoke the license of boards of Directors, supervisors and senior managers, and individual responsibility;
(Iv) used to work in the performance of their duties to provide false information in breach of the principle of good faith, or directed, participates in the regulation for working against or cases and, in serious cases;
(E) the directors, supervisors and senior management personnel qualifications or prohibit guarantees or financial industry period has not expired;
(F) submitting false applications or knowingly does not possess the qualifications as provided herein, using deception, bribery or other improper means to obtain the qualification approval;
(G) individual or spouse has a relatively large amount of overdue debts;
(VIII) other circumstances as stipulated by laws and regulations.
Seventh independent directors to be appointed except in accordance with the article fifth and sixth requirements, should also be legal, economic, financial, accounting or security professionals in the field, and shall not be of the proposed conflict of interest financial guarantee company.
Article credit guarantee company senior managers should engage in security or financial work for more than three years, or related industry work more than five years.
Financing guarantee company senior managers should be aware of the positions of responsibility, familiar with the management framework, the business model of the company, familiar with the company's internal control system, risk management commensurate with their posts.
Financing guarantee company senior management may not be in other economic organization part time, after regulators agree otherwise.
Chapter III qualifications for directors, supervisors and senior management staff management
Article credit guarantee companies for approval of Directors, supervisors and senior management personnel qualifications, following application materials should be submitted to the supervision authority: (A) signed by the applicant's authorized signature and seal by regulators application.
Application shall state the person to be appointed to be appointed the duties, responsibilities, rights, and the Chair's position in the organizational structure of the company.
(B) the copies of ID card, certificate of qualifications to be appointed, to resume duty and the future of the service plan. (C) the statement signed by the person to be appointed and served after a responsible and law-abiding undertaking.
Should include a statement to be appointed who have no criminal records or other bad behavior, person or his spouse to be appointed expires without a large amount of debt outstanding, and intended to be appointed positions there is no conflict of interest, and so on.
(D) the laws, administrative regulations or the articles of incorporation provide for the appointment of Directors, supervisors and senior management officers shall convene the shareholders ' (General) or the Board of Directors shall be submitted to the appropriate resolution.
(V) other materials required by regulators.
Tenth regulators can meet with the directors, supervisors and senior managers to be appointed who served in the former conversation or examination, shall review the qualifications of the person to be appointed.
11th new financial guarantee companies or branches established, qualifications for directors, supervisors and senior managers approved applications can receive, together with the establishment of application review and decision.
12th across provinces, autonomous regions and municipalities directly under the qualification of the General Manager of the branch of a credit guarantee company, approved by the departments responsible for supervision of the branch is located and the domicile of the Corporation to its regulatory filing.
13th financial guarantee company directors, supervisors, senior management person to be appointed before the regulators approved their qualifications may not perform their duties.
The fourth chapter by-laws
14th credit guarantee institutions outside the company actual Director, supervisors and responsibilities of senior management staff of vocational qualification management in accordance with the measures implemented.
15th of provinces, autonomous regions and municipalities directly under the credit guarantee institutions supervision Department under the regulations, formulate rules for its implementation. 16th before the promulgation of this approach as a credit guarantee company directors, supervisors and senior management, regulators should be reconfirmed their qualifications.
This approach shall not have qualifications but have a real capacity to perform their duties, examination recognized by the regulatory departments can obtain qualifications, specific measures by the provinces, autonomous regions and municipalities directly under the credit guarantee institutions supervision Department. 17th these measures come into force on the date of promulgation.
