China Insurance Regulatory Commission On Administrative Punishment Procedures

Original Language Title: 中国保险监督管理委员会行政处罚程序规定

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now

Read the untranslated law here: http://www.chinalaw.gov.cn/article/fgkd/xfg/gwybmgz/201011/20101100328941.shtml

China insurance regulatory Commission on administrative punishment procedures

    (April 27, 2010, 2101 5th China insurance regulatory Commission announced as of May 28, 2010) Chapter I General provisions First article to specification and guarantees China insurance supervision Management Committee (following referred to China CIRC) and the China Circ sent institutions (following referred to sent institutions) law implementation administrative punishment, maintenance insurance market order, protection insurance institutions, and insurance assets management institutions, and insurance intermediary institutions, and foreign insurance institutions China representative institutions, and insurance practitioners, and other organization and citizens (following referred to party) of lawful rights and interests of, according to People's Republic of China administrative punishment method (following referred to administrative punishment method), and

    People's Republic of China Insurance Act (hereinafter referred to as the Insurance Act) and other related laws, administrative regulations, this provision is enacted.

    Second party in breach of the insurance law provisions, administrative regulations, and the China insurance regulatory Commission, the China insurance regulatory Commission and the Agency should investigate and punish, and make the following administrative penalties:

    (A) a warning;

    (B) a fine;

    (C) confiscation of illegal income;

    (D) limiting the scope of business;

    (E) be ordered to stop accepting new business;

    (F) order the rectification;

    (G) the revocation of business licenses;

    (H) revocation of representative offices of foreign insurance institutions;

    (I) revoke qualification, qualification, or suspended certificates;

    (J) order to replace Chief Representative of representative offices of foreign insurance institutions;

    (11) the prohibition of entering the insurance industry;

    (12) other administrative penalties stipulated in laws and administrative regulations.

    Agency of the China insurance regulatory Commission and the implementation of administrative punishments listed in the preceding paragraph shall follow the procedures laid down in this.

    Without a legal basis or in compliance with legal procedures, administrative penalty is not valid.

    Third agency of the China insurance regulatory Commission and the implementation of administrative punishments shall be guided by the following principles:

    (A) the fair and open;

    (B) to protect the legitimate rights and interests of the parties;

    (C) combination of punishment and education;

    (D) the facts are clear, the evidence, accurate, properly applicable penalties due;

    (V) the procedure is legal.

    The fourth local Office of the China insurance regulatory Commission and impose administrative penalties, the law system.

    Regulators and direct interest or any other relationship between the parties, may affect the impartiality of the law enforcement, should be avoided.

    The fifth Agency of the China insurance regulatory Commission and impose administrative penalties and filing a case, investigation and trial, decided to separate systems.

    Agency of the China insurance regulatory Commission and of the sixth article before making the decision on administrative penalty shall inform the parties of the facts, reasons and basis for administrative penalty decisions are made, and shall inform the Parties shall have the right to.

    Article seventh party to the local Office of the China insurance regulatory Commission and given administrative punishment, shall have the right, the right to be heard; not satisfied with the administrative punishment, entitled to apply for administrative reconsideration or bring an administrative suit.

    Party by the local Office of the China insurance regulatory Commission and the administrative penalties law damages, shall have the right to file a claim for compensation.

    Eighth Agency of the China insurance regulatory Commission and must fully hear the views of the parties, review the facts, reasons and evidence submitted by the parties; establishment of the facts and reasons or evidence submitted by the parties, should be adopted.

    Nineth insurance agencies in these rules refers to the insurance regulatory authority approved the establishment, and legally registered insurance company and its affiliates.

    Insurance asset management institutions in these rules refers to the insurance regulatory authority approved the establishment, and legally registered insurance asset management Corporation and its subsidiaries.

    Insurance intermediaries in these rules refers to insurance agencies, insurance brokerage agencies and insurance assessment institutions and their branches.

    Business licenses in these rules refers to the insurance company legal person license, insurance license, insurance marketing services licenses, operating concurrent-business insurance agent license, insurance agent license, insurance broker license, business insurance adjuster license, insurance asset management Corporation license and permit to operate insurance asset management business.

    Chapter II jurisdiction

    Tenth within the Agency are responsible for the area of the following agencies and their workers insurance illegal imposition of administrative penalty:

    (A) the insurance company branches;

    (B) insurance intermediaries;

    (C) the insurance regulations of other agencies.

    11th Agency is responsible for the area of the following illegal imposition of administrative penalty:

    (A) any establishment of insurance companies;

    (B) illegal activities of the commercial insurance business;

    (C) establishes an insurance asset management company;

    (D) any establishment of professional insurance agents, insurance brokers, insurance assessment institutions;

    (E) illegal insurance agency or brokerage activities.

    Agencies when such offences are administrative punishments shall be in accordance with the Insurance Act, the illegal financial institutions and illegal financial business activities combating measures and relevant provisions of the China insurance regulatory Commission.

    12th Agency following administrative penalties, shall be submitted to the China insurance regulatory Commission for approval:

    (A) revoked by the CIRC issued business licenses;

    (B) approved by the China insurance regulatory Commission to revoke the qualification.

    13th insurance violations outside of agency jurisdiction, governed by the China insurance regulatory Commission.

    14th Circ may direct insurance violations within the jurisdiction of the investigating agencies or delegate agencies investigate and deal with insurance violations within the jurisdiction of the China insurance regulatory Commission.

    Agencies accept commissioned to investigate insurance violations committed by the CIRC, shall report the investigation result to the China insurance regulatory Commission. Remote operation of section 15th insurance violations, violations of agency jurisdiction. Violations of Agency shall notify the Agency of the location of the committed offences subject.

    Committed offences the main location of dispatched institutions should cooperate with the violation investigation.

    16th more Agency has jurisdiction over the same offence or insurance violations, it is difficult to identify, by the first filing of agency jurisdiction.

    Two or more branches of a jurisdictional dispute, shall be submitted to the China insurance regulatory Commission to exercise jurisdiction. 17th insurance violations investigated by the Agency found that does not fall under its jurisdiction, it shall promptly transfer the case has jurisdiction over the Agency.

    The Agency has objections to the jurisdiction of the transfer, his own removal, shall be submitted to the China insurance regulatory Commission to exercise jurisdiction.

    Chapter III filing and investigations

    Section Office

    The 18th China insurance regulatory Commission and the Agency found that the party in breach of the insurance laws, administrative rules and regulations stipulated by the CIRC, shall be subject to administrative penalties in accordance with law, shall initiate an investigation.

    19th filed shall be made out of the administrative punishment case form, approved by the investigations department head or head of Agency, decided to file or not to file.

    20th case investigation department shall determine specified within the 3rd days of filing the case investigators.

    Avoidance of investigators should be investigated by the case head or head of agency decisions.

    Section II of investigation and evidence collection

    21st investigators should be the facts of the case to conduct a comprehensive, objective, and impartial investigations and collect evidence in accordance with law.

    22nd investigators obtain evidence, shall be not less than two persons, and shall produce to the party or person concerned, China insurance regulatory Commission or agency legal documentation notice of inspection, investigation and supervision.

    Investigators less than two people did not show any legitimate documents and notice of inspection, investigation, inspected units and individuals have the right to refuse.

    23rd case investigators, should collect adequate evidence. 24th investigator shall collect or obtain original documents relating to the case as evidence.

    Difficult access to original evidence, you can copy, copies shall be marked "after checking with the original and correct" and signed or sealed by the card issuer. 25th investigators can ask parties and witnesses to provide evidence or other material relating to the violations and material providers in related materials, signed or sealed.

    Refuses to sign or seal, shall be indicated on the material. Article 26th investigators may question parties and witnesses. Asked individually.

    Asked should be informed before its factual presentation of the facts, the obligation to provide evidence. Inquiries shall be made of the investigative records, those surveyed the investigative records should check about the lack of ability to read, should be read to them. Record is subject to errors, omissions, and should be allowed to correct or supplement. After it has been checked, by the respondents on a page-by-page in the record signed or sealed. Investigators should record the last signature.

    Respondents refused to sign or seal shall be indicated in the record.

    27th investigators on suspicion of illegal goods during the scene investigation, shall have the Parties present, and production of the transcripts; party refuses to be present, should be indicated in the transcripts.

    28th sample evidence, a party should present, open lists, by investigators and signed or sealed by the parties.

    29th may be transferred, concealed documents and information can be sealed or destroyed.

    30th in the case of evidence may be destroyed or lost or difficult to obtain later, advanced registration and preservation measures can be taken.

    Advance registration and preservation measures should fill out the approval of advanced registration and preservation of evidence, and approved by the head of the China insurance regulatory Commission or agency responsible.

    31st advance registration and preservation of evidence, shall issue the notice of advance registration and preservation of evidence, fill in the registration of the saved items list, confirmed by the parties sign or affix their seals and seal the CIRC or agencies first register to save seals, and retained by the parties.

    During the registration and preservation of evidence, the party or person concerned shall not be damaged, destroyed, or move evidence.

    For advanced registration and preservation of evidence, shall make a decision within the 7th.

    Article 32nd case investigation department can Commission other agencies to assist in the investigation, forensics, but must provide a written authorization, authorized agencies should actively assist.

    33rd case investigation department can hire good credit accounting firms and law firms and other intermediary agencies involved in the investigation, but must be issued its report.

    Article 34th on the evidence that has been or may be transferring, hiding illicit funds in connection with the property or conceal, falsify, destroy important evidence, the approval of the China insurance regulatory Commission Chief or agency primarily responsible, may apply to the Court to freeze or shut down.

    Section III transfer 35th end investigations, investigation departments shall draw up a report of the investigation, Department head for approval.

    The investigation report shall at least contain the following:

    (A) the basic situation of the parties;

    (B) survey on the basic situation and the relevant evidence;

    (C) recommendations and relevant basis.

    The preceding paragraph "recommendation" includes administrative penalties, no administrative penalty, should not be given administrative punishment or be transferred to judicial organs for handling proposals.

    Article 36th following the end of investigations, investigation departments needs to be an administrative punishment, the case book should be filing form, the administrative penalty and the investigation report, relevant evidence and case files materials together with trial Department.

    37th cases Department to review the case file material, file is not standard, return investigation sector supplement will be handed over later.

    38th case investigation department in the course of investigation found illegal facts are suspected of a crime and needs to be investigated for criminal responsibility according to law, shall, in accordance with the provisions of administrative law-enforcement organs transfer suspected criminal cases, the China insurance regulatory Commission on administrative enforcement of provisions of transfer suspected criminal cases in a timely manner and other relevant provisions, transferred to the judicial organs in a timely manner.

    Fourth chapter of punishments

    First trial After the 39th case sector accepted the case, investigation procedures, illegal facts, qualitative, admissibility of evidence, types of punishment and the scope of the case for trial.

    Grave and complex cases should be decided collectively by the trials sector.

    After 40th trial, trial departments shall draw up a report on the case, according to the relevant circumstances of the case put forward the following opinions:

    (A) of the main facts of the case are unclear or insufficient evidence, returned to the supplementary investigation cases Investigation Department;

    (B) does not constitute administrative offences shall not be penalized;

    (C) constitutes an administrative offence but a minor no administrative penalty, non-regulation of administrative punishment measures need to be taken, referred to the investigation department;

    (D) shall make administrative punishment, punishment;

    (V) constitute a crime, he transferred to the judicial authorities.

    Section II rights

    41st intends to make a decision of administrative penalty, departments shall, in the case before making a decision to inform clients on the right.

    Inform prior notification shall be made to the administrative punishment, inform the parties intended the facts, reasons and basis for administrative penalty decision, and shall inform the parties of the right to State and to defend themselves. 42nd the parties have the right to make statements and to defend themselves.

    From the date of the prior notice of administrative penalty served on the 10th, and failure to exercise the right to be heard, the right to defence, as a waiver of rights. Article 43rd requirement statements and pleadings by the parties, shall submit written materials.

    Parties, in exceptional cases, approved by the China insurance regulatory Commission or agency, you can extend the deadline for written submissions. Cases departments should fully heed the views of the parties, on the facts, reasons and evidence submitted by the parties, review carefully.

    Establishment of the facts and reasons or evidence submitted by the parties, should be adopted.

    Penalties shall not be a party to plead.

    44th intends to make a decision of administrative penalty of facts, grounds, and basis has changed, prior notice of administrative penalty shall be reworked and served on the party.

    Section III hearing

    Article 45th case of the Department will be making the following administrative penalties shall be in the prior notice of administrative penalty shall inform the parties have the right to request hearings in conjunction with:

    (A) on insurance companies and insurance asset management legal person sentenced to more than 1 million Yuan fine or more than 200,000 yuan in fines for its branches; more than their insurance agency fined 300,000 yuan fine or fine of 100,000 Yuan or more for its branches;

    (B) the above 50,000 yuan fine for individuals;

    (C) limit the scope of business;

    (D) be ordered to stop accepting new business;

    (E) order the rectification;

    (F) revocation of business licenses;

    (G) the withdrawal of representative offices of foreign insurance institutions;

    (H) revocation of qualifications, qualifications, or revoked certificate;

    (I) be ordered to replace Chief Representative of representative offices of foreign insurance institutions;

    (J) the prohibition of entering the insurance industry;

    (11) legal and administrative regulations and CIRC regulatory rules may request a hearing of additional penalties.

    Article 46th to request a hearing, shall from the date of the prior notice of administrative penalty served on made in the 3rd. Parties may also choose representations and to defend themselves.

    Select statements and pleadings by the parties, case 43rd departments shall, in accordance with the provisions of the rules be reviewed.

    47th party to request a hearing, departments should determine the case hearing.

    48th in the hearing in the hearing procedures article may exercise the following powers:

    (A) determine the time and place of hearing;

    (B) Decides to delay, suspension or termination of a hearing;

    (C) asked the participants in the hearing;

    (D) obtain and review relevant evidence;

    (E) maintaining the hearing order, for violations of the order of the hearing officer warned, in serious cases, may order the exit;

    49th hearing in the hearing procedure shall bear the following obligations:

    (A) the auspices of openly and impartially perform their duties of hearing to ensure parties shall exercise the right to be heard, the right to defence and the right of cross-examination;

    (B) keep hearing cases involving State secrets, business secrets and personal privacy;

    (C) not bending, harboring condoning violations.

    50th record of the hearing in the hearing procedure shall bear the following obligations:

    (A) administrative punishment hearing notice will be served on the parties and stakeholders in a timely manner;

    (B) the hearing shall be carefully and truthfully make records;

    (C) keep hearing cases involving State secrets, business secrets and personal privacy.

    51st case investigators, a party or a third person, Attorney, witness, expert witnesses and inspection personnel, translators are participants in the hearing.

    52nd parties shall enjoy the following rights:

    (A) for hearing withdrawal;

    (B) attend the hearing in person or appoint one or two representatives to participate in the hearing;

    (C) investigators on the case facts, evidence and arguments presented by representation;

    (D) evidence to investigators on the case and cross-examination of witnesses;

    (E) final statements before the end of the hearing;

    (F) audit record of hearing.

    53rd the parties and other participants in the hearing shall bear the following obligations:

    (A) to attend hearings;

    (B) the burden of proof according to law;

    (C) answer Presiders of the inquiry;

    (D) observe the hearing order.

    54th case sector according to the decision of the hearing officer, after you determine the time and place of the hearing, it shall make the notification of administrative punishment hearing, hold a hearing before 7th served and he was hearing into.

    55th and have a stake in hearing cases of other citizens, legal persons or organizations can apply to attend the hearing.

    56th agent is entrusted by the parties to the hearing, shall submit to the hearing by his signature or seal of a power of attorney.

    Power of attorney shall set forth the matters entrusted and the permissions.

    57th case investigators should take part in the hearing, facts and evidence submitted to the hearing party illegal and the punishment recommendation.

    Article 58th hearing notice and hearing in the case of witnesses, expert witnesses and inspection personnel, interpreters to the hearing.

    59th of the hearing be held in public, the hearing officer shall be announced on the premises the party name or name, subject, time and place of the hearing.

    Related to State and commercial secrets or personal privacy cases not held public hearings, the hearing officer shall indicate to the parties is not reason for public hearings.

    60th before the hearing started, recording of the hearing officer shall ascertain whether participants in the hearing, and announced that the hearing disciplines:

    (A) without hearing allows are permitted to speak, ask questions;

    (B) without a hearing to allow no audio, video and photography;

    (C) without a hearing to allow participants in the hearing may not exit;

    (D) may not make much noise, no clapping, making or impede the activities of the order of the hearing.

    61st hearing check their capacity as participants in the hearing, announce the list of the presiding hearer, hearing reporters, told the rights and obligations of participants in the hearing in the hearings, asked the parties whether to apply for a hearing to avoid.

    62nd hearing shall be in accordance with the following procedures:

    (A) the hearing officer announced the beginning of the hearing, announced that his case;

    (B) the party against the investigation officer of the case facts, evidence, the basis of administrative penalty and recommendations;

    (C) parties and its authorized agents investigate illegal personnel facts and evidence to plead, the basis of administrative punishment and recommendations, no illegal facts and the illegal facts and can produce lighter, or mitigated, to remove evidence of administrative penalties;

    (D) with the hearing officer's permission, the investigators of the case and the parties may be relevant evidence in cross-examination, may also put questions to witnesses, expert witnesses and inspectors;

    (E) the parties make a final statement;

    (Vi) the hearing officer announced the end of the hearing.

    63rd to appear one of the following circumstances, the hearing should be postponed hearing:

    (A) due to causes of force majeure beyond the presence of the parties;

    (B) provisional application hearing avoided by the parties;

    (Iii) other circumstances that warrant the extension.

    64th to appear one of the following situations, the presiding hearer may suspend the hearing:

    (A) necessary to summon new witnesses, collect new evidence or the need to identify, investigate or require supplementary investigations;

    (B) parties due to causes of force majeure, cannot continue to participate in the hearing;

    (C) termination of legal person or other organization, successor rights and obligations has not been determined; natural incapacity or death, legal representative or successor in waiting that has not been determined whether to participate in the hearing;

    (Iv) other circumstances that warrant the suspension hearing.

    65th deferred, suspended the hearing after the, the hearing officer shall restore the hearing and will notify participants in the hearing time and place of the hearing.

    66th to appear one of the following circumstances, the hearing officer shall terminate the hearing:

    (A) withdrawn the hearing requested by the parties;

    (B) the parties do not participate in the hearing without good reason, or without the hearing officer allowed to leave;

    (C) the death, disability or termination after the expiration of 3 months, does not determine the rights and obligations of legal representatives or successors;

    (D) the administrative penalty decision taken by change, and do not need to hold a hearing;

    (E) other circumstances that warrant the termination hearing.

    Withdrawn the hearing requested by the parties, the hearing record should be recorded at the hearing and signed or sealed by the parties.

    67th record of the hearing shall truthfully, fully documented process of a hearing, the hearing and the record of the hearing officer shall sign the hearing record.

    Hearing shall be approved by the parties and the case investigators signatures or seals on the spot.

    The party refuses to sign or seal, the hearing record should be recorded at the hearing.

    Fourth penalty decision

    68th cases departments should, based on the investigation report and the statement of the parties, representations and hearings to prepare the written decision of administrative penalty, head of the local Office of the head of the CIRC or approval.

    69th of the written decision of administrative penalty shall include the following information:

    (A) the name or the name and domicile of the parties;

    (B) violation of laws, administrative regulations, or the rules of the facts and evidence;

    (C) the types and basis for administrative penalty;

    (D) the method and duration of administrative penalties;

    (E) administrative penalty decision, may apply for administrative reconsideration or bring an administrative suit the ways and terms;

    (F) of the decision on administrative penalty authority name and the date of the decision.

    The 70th of the written decision of administrative penalty must be stamped with the seal of the authority decision of administrative penalty.

    71st China insurance regulatory Commission and the Agency of the written decision of administrative penalty shall be served on the parties concerned.

    72nd Circ or its agent should be made from the date of the decision on administrative penalty in the 20th, the contents of the decision on administrative penalty in CIRC and published on the Agency's Web site.

    The fifth chapter Executive

    The 73rd after the decision on administrative penalty according to law, the parties concerned shall discharge within the time limit specified in the decision of administrative penalty.

    74th party of China insurance regulatory Commission or agency refuses to accept the decision on administrative penalty may apply for administrative reconsideration or bring an administrative lawsuit, the administrative penalty does not stop the execution, except as otherwise provided by law.

    The 75th party fails to carry out administrative punishment decision, an administrative agency of the China insurance regulatory Commission or penalty decision may take the following measures:

    (A) the expiration does not pay the fine, daily 3% of the fines plus fine;

    (B) apply to a people's Court for compulsory execution;

    (C) other measures stipulated by laws and administrative regulations.

    76th if they face genuine financial difficulty, delay or in installments to pay the fine, approved by the client application and make a decision of administrative penalty authority, can be suspended or made in installments.

    77th among the articles shall be destroyed in accordance with law, of illegally confiscated property must be in accordance with State regulations or the public auction in accordance with the relevant provisions of the State.

    Confiscation of notes unified processed by relevant departments.

    Destruction of goods, in accordance with the relevant provisions of the State; not provided for, subject to approval of the Bureau decision of administrative penalty, by two or more law enforcement officials supervised the destruction, and destruction of records.

    Processing, shall draw up a list.

    78th revoked business licenses, shall withdraw the business license, and specify the newspaper China insurance regulatory Commission and China insurance regulatory Commission or agency shall be published on the website.

    Notice should include the following:

    (A) name the institution of punishment;

    (B) the reasons for the decision and the legal basis;

    (Iii) other matters need to be announced.

    Confiscation and forfeiture of the proceeds of the 79th article, must all be turned over to the State Treasury, no unit or individual is allowed to retain, distribute or disguised privately.

    The sixth chapter supplementary articles

    80th administrative penalty procedures not covered in the provisions and application of the law on administrative punishments.

    Calculated during the 81st article of the rules and instruments of administrative penalty served, in accordance with the civil procedure law and regulations of the China insurance regulatory Commission on time periods and service.

    This stipulates that the term "day" refers to working days, excluding holidays.

    82nd article of the provisions of the alleged head of the China insurance regulatory Commission Circ Chairman or with the authorization of the President.

    Head of the Agency in these rules refers to the Agency Director or with the authorization of the Secretary.

    83rd interpret these provisions by the China insurance regulatory Commission.

    84th these provisions come into force on May 28, 2010; China insurance regulatory Commission on November 8, 2005, issued by the China insurance regulatory Commission on administrative punishment procedures regulations (insurance [2005]3) repealed simultaneously.

Appendix: administrative penalties law document format

One of the legal instruments on administrative punishments format

China insurance regulatory Commission on administrative penalties for filing form

______(  )号
┌───┬───────────────────────────────┐
│  当  │                                                              │
│  事  │                                                              │ │  人  │                                                              │
│  基  │                                                              │
│  本  │                                                              │
│  情  │                                                              │
│  况  │                                                              │
├───┴───────────────────────────────┤
│案由:                                                                │
│                                                                      │
│                                                                      │
│                                                                      │
│                                                                      │
├───────────────────────────────────┤
│违法事实及初步材料:                                                  │
│                                                                      │
│                                                                      │
│                                                                      │
│                                                                      │
├───────────────────────────────────┤
│惩处违法行为的法定依据:                                              │
│                                                                      │
│                                                                      │
│                                                                      │
│                                                                      │
├───────────────────────────────────┤
│报告人初步意见:                                                      │
│                                                                      │
│                                                                      │
│                                                 报告人签字:         │
│                                                                      │
│                                                年    月    日        │
├───────────────────────────────────┤
│案件调查部门意见:                                                    │
│                                                                      │
│                                                                      │
│                                                 负责人签字:         │
│                                                                      │
│                                                年    月    日        │
├───────────────────────────────────┤
│备注:                                                                │
│                                                                      │
│                                                                      │
│                                                                      │

└───────────────────────────────────┘

Legal instruments on administrative punishments second format

China insurance regulatory Commission on administrative punishment cases the investigative records

案由:________________________________________

时间:________________________________________

地点:________________________________________

调查人:______________________________________

记录人:______________________________________

Respondents: ____________ gender age of ________ ________

工作单位____________________职务______________

与本案关系____________________________________

问:__________________________________________________________

_____________

答:__________________________________________________________

__________________________________________________________________

__________________________________________________________________

__________________________________________________________________

__________________________________________________________________

__________________________________________________________________

_________________________________。

被调查人签名:_____________________________________

调查人签名: ______________________________________

记录人签名:_______________________________________

Administrative punishment law instruments in the form of three

Circ transcripts

被调查机构(人):______________________

地址(住址):__________________________

The legal representative (or Chief): ______________ phone: ______________

勘验机构:______________________________

勘验内容:______________________________

Survey time: ______ ____ year month day of ____ ____ ____ to ____ ____

An inquest records:

被调查人:____________          勘验人:__________、_________

______年______月______日        ______年______月______日

Note: a duplicate book, first copy the archive, the second people surveyed by the stock exchange.

Page Inspector signature: the signatures of the parties:

Legal instruments on administrative punishments format quarter

Advance registration and preservation of evidence by the CIRC approval

________(  )号

案由:________________________________

当事人:________________

地址:_____________________电话:__________________

Advanced registration and preservation reasons:

保存地点:__________________________________________

保存方式:__________________________________________

保存期限:__________________________________________

Saved items list of articles see:

调查人:_____________、_____________

________年____月____日

Approval:

负责人:_____________

________年____月____日

Administrative punishment of the five legal instruments form

The China insurance regulatory Commission notice of advance registration and preservation of evidence

________(  )号

_________________: According to the People's Republic of China 37th article of the law on administrative punishment and the China insurance regulatory Commission on administrative penalty provisions of the procedural provisions article 30th, decide to you (Agency) following _________________________________________ (character, see in particular the registration of the saved items list) ______________________________

(Place) advanced registration and preservation, to ______ ______ ______ year month day.

Save during ___________________ (name authorities) approval, shall destroy or transfer the registration and preservation of items mentioned above.

Contact phone:

Attachment: registration and preservation of items list.

Year month day

(Authorities stamp)

Note: this book two, first copy the archive, the second Exchange party

Registration lists of saved items

当事人:__________________

地址:_______________________________________________

The legal representative (or Chief): _____________

性别:____年龄:____职务:__________电话:____________

案由:____________________________

时间:____________________________

地点:____________________________

执行机关:_______________

地址:__________________电话:__________________

执行依据:________________

Advance registration:

Note: the list should be signed by the parties or signature

Two of this instrument, the first Stock Exchange client, the second archive.

Format of legal instruments on administrative punishments of six

Circ discharge notice of registration and preservation of evidence

________(  )号

____________________________:

________________ (Authorities) to ______________ (), the China insurance regulatory Commission notice of advance registration and preservation of evidence, the following things to register, is now ruled out suspected be lifted registration and preservation.

Year month day

(Authorities stamp)

Report: releasing the registration lists of saved items

Note: this book two, the first Stock Exchange client, the second archive.

Format of legal instruments on administrative punishments of seven
Administrative penalty cases
┌──────┬────────────────────────────┐
│  案件名称  │                                                        │
├──────┼────────────────────────────┤
│            │1.现场检查(    )                                      │
│            │2.非现场检查(    )                                    │
│ │ 3 cases sources. the reports and complaints of citizens, legal persons or other organizations () │
│ │ 4. other judicial administrative organs shall be transferred for processing (a) │
│            │5.其他(    )                                          │
├──────┼────────────────────────────┤
│            │                                                        │
│   当事人   │                                                        │
│  基本情况  │                                                        │
│            │                                                        │
├──────┼────────────────────────────┤
│            │                                                        │
│  行政处罚  │                                                        │
│    建议    │                                                        │
│            │                                                        │
├──────┼────────────────────────────┤
│            │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
│  案卷材料  │                                                        │
│    明细    │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
│            │                                                        │
├──────┼────────────────────────────┤
│            │                                                        │
│  部门意见  │                                                        │
│            │                                   负责人:             │

└──────┴────────────────────────────┘

Legal instruments on administrative punishments format for eight

China insurance regulatory Commission on administrative punishment in advance notice

______(  )号

_______________:

You (institutions) on ______ ____ year month period from ____ to ____ ____ ______ year month day, ______________________________, violating the provisions of ____________________________.

Follow __________________________________ provide, I proposed to you (Agency) _____________________________ administrative penalties. As you (institutions) on I organ finds of illegal facts, and punishment reason and the according to has objections, according to People's Republic of China administrative punishment method 31st article, and 32nd article, and China insurance supervision Management Committee administrative punishment program provides seventh article and 42nd article of provides, can in received this told book of day up 10 a days within will statement and defence of written material submitted to _____________________________ (locations).

Delay waived the right to be heard and right to be heard.

Contact phone:

Contact:

Year month day

(Authorities stamp)

Note: this book two, the first Stock Exchange client, the second archive.

Report: illegal facts and evidence

Legal instruments form of administrative punishment

Prior notification of the China insurance regulatory Commission on administrative penalties (told the hearing in conjunction with the right version)

______(  )号 _________________:
        你(机构)于______年____月____日至______年____月____日期间,从事__________________________________的行为,违反了_________________________________________的规定。

依据___________________________________________规定,我机关拟对你(机构)作出________________________________________________行政处罚。 To my agencies identify illegal facts, grounds for punishment and there are objections, in accordance with the People's Republic of China on administrative penalty law of the 31st, 32nd, the China insurance regulatory Commission on administrative punishment procedures article seventh and 42nd of the regulations, upon receipt of the notification within 10 working days of the date stated and pleadings written material submitted to ________________________________ (place).

Delay waived the right to be heard and right to be heard. In accordance with the People's Republic of China on administrative punishment law 42nd and the China insurance regulatory Commission on administrative punishment procedures 45th of the rules, your (bodies) have the right to request a hearing. Such as calling for a hearing, on the date of receipt of the notification within 3 working days from the authorities.

If deemed to have waived the right to request a hearing.

Contact:

Contact phone:

Annex: the facts and evidence

Year month day

(Authorities stamp)

Legal instruments form of administrative punishment of ten

Notice of China insurance regulatory Commission on administrative punishment hearing

______ () (Stub)

______________:

____________________ Administrative punishment case, when set to ____ ____ ____ ______ year month day at _______________ (address) open (closed) hearings, please attend.

Sponsor: issuer:

年  月  日                 年  月  日

……………………………………………………………

Notice of China insurance regulatory Commission on administrative punishment hearing

______( )号

___________ (Parties and agents): Due to administrative punishment case you _______________________, the authorities decided to __________________________ ____ ____ ____ ______ year month day time (place) open (not open) hold a hearing. Could you please (your institution the legal representative or principal responsible person) time. You may appoint one or two persons to represent you to the hearing, the agent should provide this authority with the principal-agent (authorization) certificate. Does not attend the hearing and without giving a reason, deemed to have waived the hearing rights.

The authorities will make a decision of administrative penalty according to law.

The hearing officer:

According to the People's Republic of China Law on administrative punishment provisions of 42nd, if you (Agency) for host withdrawal, in the 3rd prior to the hearing to the administrative authority applying for withdrawal and avoidance reasons.

联系部门:__________________地址:______________________

联系人:____________________联系电话:__________________

Year month day

(Authorities stamp)

Legal instruments on administrative punishments formatted ambience

China insurance regulatory Commission on administrative punishment hearing

案由:______________________________________________

时间:_____________________

地点:_____________________

听证主持人:______________________________

记录人:__________________

Party (civil): ____________ name sex age _______ _________

住址:___________________________

(机构):名称________________________

地址:___________________________

Name of the legal representative or principal responsible person _________________

委托代理人:  姓名____________住址________________________

案件调查部门:_________________________

案件调查人:___________________________

Third person: name (name) __________ address _____________________

Agent: ________ name address ______________________

案件听证情况:_________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

________________________________

Page total investigations signatures: signatures of the parties:

_______________________________________________________________

___________________________________________________________________

___________________________________________________________________

___________________________________________________________________

________________________________________。

Investigator signature:

Party signature or seal:

The hearing officer signature:

Signature of the record of the hearing:

Note: If there are changes, the person under investigation, investigators should modify the signature or seal

Format of legal instruments on administrative punishments of 12

The China insurance regulatory Commission written decision of administrative penalty

______(  )号

Parties:

(Institutions)

名称:_________________________

住所:_________________________

法定代表人:_________________________

(Natural person)

姓名:_________________________

身份证号:_________________________

(职务):_________________________

住所:_________________________

The investigation, your (institution) the following offences:

These illegal facts, ________________________ put on evidence that proved enough to found.

I think _________________________ ____________________________ was in violation of provisions provisions according to ______________________, decide to give your (Organization) the following administrative penalties: From the date of receipt of the written decision on 15th _______________________ in the Bank to pay the fine.

Overdue, 3% Add a fine in amount of the daily penalty. Aggrieved by the penalty decision, can be received within 60 days from the date of this decision in accordance with law applied to the China insurance regulatory Commission on administrative reconsideration or within 3 months of the court having jurisdiction of administrative litigation.

Fails to perform the penalty decision, and does not apply for reconsideration or sue, I will apply to the people's Court for compulsory execution.

Year month day

(Authorities stamp)

Note: the triple of this instrument, the first unit was punished by the stock exchange, the second archive, the third left to apply to the people's Court for compulsory execution.

Legal instruments on administrative punishments format 13

The China insurance regulatory Commission certificate of service of legal instruments

Service of documents:

Delivery time:

Service locations:

Mode of service:

Service:

Recipient (signed):

The person (signature): Notes: