The Rules Of The Law Enforcement Examination Procedures

Original Language Title: 中国人民银行执法检查程序规定

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Read the untranslated law here: http://www.chinalaw.gov.cn/article/fgkd/xfg/gwybmgz/201007/20100700259015.shtml

The rules of the law enforcement examination procedures

    (March 19, 2010 business meeting April 14, 2010, 4th Governor of people's Bank of China Decree [2010] released 1th come into force on the date of promulgation) Chapter I General provisions

    First to promote the people's Bank of China and its branches to perform their duties, standardizing law enforcement inspection, protection of financial institutions and other entities and individuals (hereinafter referred to as a person being checked) the legitimate rights and interests, in accordance with the People's Republic of China and other laws and administrative regulations of the people's Bank of China, these provisions are formulated.

    Second branch of people's Bank of China and its institutions to perform their duties, the person being checked by the inspection of law enforcement, these provisions shall apply.

    The provisions of article III of the said law enforcement inspection, refers to the people's Bank of China and its branches perform their duties according to need, enter into the inspected the scene, monitoring is performed by check on financial management in respect of administrative enforcement activities.

    Fourth branch of people's Bank of China and its institutions to carry out law enforcement inspections shall follow the principles of lawfulness, openness, impartiality, fairness and efficiency.

    Fifth people's Bank of China and its branches shall be subject to overall arrangement and rational plan law enforcement inspection work, based on the need to carry out a comprehensive inspection of law enforcement.

    The sixth section of the people's Bank of China and its branches in the inspection of law enforcement gets involved State secrets, business secrets and personal privacy information shall be confidential, and shall not violate the provisions provide.

    Chapter II inspection procedures

    Section inspection preparation

    Seventh branch of people's Bank of China and its institutions according to the law enforcement examination plan, found in the supervision and management of issues, reporting information, the request of the parent and the needs of other duties, organizing the implementation of law enforcement and inspection.

    Eighth annual law enforcement of the people's Bank of China law enforcement departments need to check projects, deployment of law enforcement inspection plan shall be arranged in the first quarter a year.

    Nineth people's Bank of China branch in accordance with the superior law enforcement examination plan and the Bank required to perform duties, to deploy to the area law enforcement inspection work.

    Tenth inspection of law enforcement of the people's Bank of China and its branches shall be project of the law enforcement examination approval form and to develop screening programmes, by the Governor or Deputy Governor of the Bank (Director or Deputy Director) for approval.

    Inspection programme provided for in the preceding paragraph shall include the purpose, basis, check the name or names, check, check, check the terms, check the members list, and so on.

    The 11th Governor of the people's Bank of China and its branches shall, according to the Bank, or Vice President (Director or Deputy Director) approve inspection programmes Inspection Unit, the composition of the inspection team shall be not less than two.

    12th according to the needs of law enforcement and inspection, an inspection team may appoint an inspector for legal and business training.

    13th Inspection Unit shall, before implementing the inspection of law enforcement, of the inspection of law enforcement notice served on the person being checked, tell us the basis for law enforcement, content, deadlines, requirements, check the members list and other matters because of special circumstances requiring immediate implementation of the inspection of law enforcement, the inspection team shall enter into the inspected person when served the notification of law enforcement and inspection.

    Implementation of the second section examines

    14th inspection law enforcement inspection, inspectors shall produce to the person being checked with the people's Bank of China law enforcement certificates and the notification of law enforcement and inspection.

    15th of on the inspection implement, should talks with the person being checked, indicating the purpose, content checking, working arrangements and requirements; inform the inspection rights and should fulfil its obligations fully listen to the person being checked business reports and other relevant reports, and produced the law enforcement examination of talks, signed by the person being checked and the head of the inspection team confirmed.

    The rights of inspection provided for in article, refers to a person being checked to supervise the inspection work, objected to the inspection, inspectors reported violations of such rights.

    Be inspected shall comply with the obligations provided for in article, refers to a person being checked with the inspection unit work, answering the inspectors asked, provide law enforcement needs to know, information material, etc.

    16th Inspection Unit needs to check out the inspected business documents, accounts, financial statements and other business information, law enforcement access to information should fill out the list, and returned by the person responsible for access to information and access to information. 17th article inspection unit to was check people asked about situation of, should making law enforcement check asked record, and by was check people for check; law enforcement check asked record has errors or has missed of, should allows was check people proposed corrections views or added views; law enforcement check asked record by was check people and inspection unit check correct Hou, by was check people and check personnel in law enforcement check asked record Shang by page signed or sealed; was check people refused to signed or sealed of,

    Checking personnel shall indicate the situation on record.

    18th article inspection unit should in check in the timely collection about documentary, and evidence, and electronic file, evidence, and indicate evidence of source, by was check people signed or sealed; on may out lost or yihou to made of evidence, inspection unit should by Bank President or Deputy President (Director or Deputy Director) approved Hou, to was check people issued law enforcement check evidence registration save notice, first registration save about evidence, and in 7th within timely made processing decided.

    19th Inspection Unit should be comprehensive and objective, fully documented inspection and made the law enforcement examination of working papers.

    20th article inspection unit end law enforcement check work Shi, should according to law enforcement check work papers and about evidence, determine need was check people confirmed of check facts project, and making law enforcement check facts finds book, by was check people by page signed confirmed; was check human corporate or other organization of, should by its statutory representative people or main head signed confirmed, and stamped this units seal.

    Was check people in law enforcement check facts finds book SHANG signed confirmed Qian on law enforcement check facts finds book has objections of, should in five a days within proposed statement and defence views; late not proposed statement and defence views, and is not law enforcement check facts finds book SHANG signed confirmed of, not effect Inspection Unit on about facts of finds; was check people statement and defence of facts and reason established of, inspection unit should adopted.

    The law enforcement inspection under this section shall include the findings of fact of the person being checked titles or names, check, check, check such matters as findings of fact.

    Section III results

    21st inspection of law enforcement after the report on the inspection should be written, Governor or Deputy Governor of the Bank in a timely manner (Director or Deputy Director).

    Report on the provisions of the preceding paragraph shall include the time, checks, inspections, performed on the person being checked the financial management in respect of evaluation, inspection deal with comments and suggestions.

    22nd after the people's Bank of China and its branches at the end of the inspection of law enforcement, shall, within ten working days based on the identification of facts and evidence obtained, made on the basis of the report on the inspection of law enforcement and inspection documents due to exceptional circumstances law enforcement check submissions cannot be completed within ten working days, the Governor or Deputy Governor of the Bank (Director or Deputy Director) agreed that may be appropriately extended.

    Law enforcement check the submissions by the Governors or Deputy Governors of the Bank (Director or Deputy Director) approved and stamped with the official seal of the Bank, served on the person being checked.

    Law enforcement check submissions provided for in the preceding paragraph shall include the time, contents, the person being checked implementation of financial regulation assessment, corrective comments and suggestions.

    23rd inspection violation of laws, administrative regulations, or the rules of the regulations, and administrative penalties according to law by the people's Bank of China and its branches, shall, in accordance with the People's Republic of China on administrative punishment law and the rules of the provisions on the administrative punishment procedure.

    24th people's Bank of China and its branches were found in the inspection of law enforcement inspection are in violation of and should be investigated by other departments, it shall be transferred to the relevant departments.

    25th people's Bank of China and its branches shall be in accordance with the relevant provisions of the law enforcement examination material as archives, preservation.

    Chapter III liability

    26th people's Bank of China and its subsidiaries who, in violation of the provisions of the Act in accordance with the law and regulations should be given administrative sanctions, administrative sanctions according to law; a suspected crime, law transferred to judicial organs for handling.

    27th checked people refuse or obstruct people's Bank of China and its branches the inspection of law enforcement, in accordance with the provisions of laws and administrative regulations and rules of the regulations be given administrative punishment.

    The fourth chapter by-laws

    People's Bank of China and its branches in 28th article of the rules refers to people's Bank of China, the people's Bank of China headquarters in Shanghai, the rules of business management Department, people's Bank of China Chongqing Business Management Department, people's Bank of China branches and business management departments, the center of the people's Bank of China branches and sub-branches.

    29th branch foreign exchange and its implementing procedures for the inspection of law enforcement, developed separately by the State administration of foreign exchange.

    30th branch of people's Bank of China and its institutions and other administrative law enforcement Department mounted a joint inspection of law enforcement, refer to this regulation.

    The 31st by the people's Bank of China is responsible for the interpretation of these provisions. 32nd these provisions come into force on the date of promulgation.

    Before the implementation of the provisions relating to law enforcement and inspection procedures promulgated by the people's Bank of China provisions inconsistent with this provision, according to the present regulations.

Report of 1
                             People's Bank of China (XX, Central Branch, branch)
                        Law enforcement inspection approval form
(A) positive lizi []
┌──┬───────┬────────────────────────┐
│    │   项目名称   │                                                │
│    ├───────┼────────────────────────┤
│    │   立项依据   │                                                │
│执法├───────┼────────────────────────┤
│检查│   检查依据   │                                                │
│    ├───────┼────────────────────────┤
│    │   被检查人   │                                                │
│    ├───────┼────────────────────────┤
│    │   检查内容   │                                                │
├──┼───────┼────────────────────────┤
│    │   检查期限   │                                                │
│    ├───────┼────────────────────────┤
│    │   检查方式   │                                                │
│    ├───────┼────────────────────────┤
│ │ │ Projects check time year month day to year month day │
│申请├───────┼────────────────────────┤
│内容│              │组长:                                          │
│    │  检查组成员  │主查人:                                        │
│    │              │其他成员:                                      │
│    ├───────┼────────────────────────┤
│    │     备注     │                                                │
├──┼───────┼────────────────────────┤
│申请│部门负责人意见│                                                │
│部门│              │                                                │
├──┼───────┼────────────────────────┤
│审批│行领导审批意见│                                                │
│ 人 │              │                                                │
    └──┴───────┴────────────────────────┘

Note: two copies of this form, including: leadership a report, inspection authorities.

Report of 2
                               People's Bank of China (XX, Central Branch, branch)
                         Law enforcement inspection notice

(    )检字[    ]第    号

(Name of the person being checked):

According to the People's Republic of China people's Bank of China, _________ and other legal provisions of the law, and I intend for you (unit) implementation of law enforcement and related matters are hereby notified as follows:

Check the contents:

Check date:

Check date: year month day to year month day

Unit staff:

The head of the inspection: check:

Other inspectors:

Please cooperate with the inspection team, and provide necessary working conditions.

Notice is hereby given that

(Seal of the Executive)

Year month day

Note: two copies of the notice of the inspection of law enforcement, the inspection team, the inspected.

3
                              People's Bank of China (XX, Central Branch, branch)

Law enforcement entry records

A person being checked:

Approach time:

Enter location:

Inspector ___________, and ___________, __________ to the inspected person to produce to the people's Bank of China law enforcement certificates and the notification of law enforcement and inspection.

To inform the person being checked: (unit to the person being checked that check the purpose, content and requirements, and inform the person being checked shall enjoy rights and shall perform the duties, etc)

Head of the person being checked: (signed)

The head of the inspection: (signed)

Recorded by: (signature)

Year month day

Report of 4
                              People's Bank of China (XX, Central Branch, branch)
                               Inspection of law enforcement meeting
Year month day
┌───────┬───────────────────────────┐
│   被检查人   │                                                      │
├───────┼───────────────────────────┤
│              │                                                      │
│被检查人参加会│                                                      │
│谈的人员      │                                                      │
│              │                                                      │
│              │                                                      │
├───────┼───────────────────────────┤
│              │                                                      │
│检查组参加会谈│                                                      │
│的人员        │                                                      │
│              │                                                      │
│              │                                                      │
├───────┼───────────────────────────┤
│              │                                                      │
│              │                                                      │
│              │                                                      │
│              │                                                      │
│   会谈内容   │                                                      │
│              │                                                      │
│              │                                                      │
│              │                                                      │
│              │                                                      │
├───────┴────────┬──────────────────┤
│ The inspected the main signature │ signature of the head of the inspection or a primary search: │
│                                │                                    │
│                                │                                    │
│                                │                                    │
│                                │                                    │
│                                │记录人签名:                        │
│                                │                                    │

└────────────────┴──────────────────┘

Report of 5
                            People's Bank of China (XX, Central Branch, branch)

Law enforcement access to information list

被检查人:______________________
检查项目:______________________
┌───────┬──┬────┬────┬────┬────┬────┐
Number name │ information │ │ access │ information date Chinese │ access │ │ return funding back people │
│              │    │        │ 料日期 │  签名  │ 料日期 │  签名  │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
├───────┼──┼────┼────┼────┼────┼────┤
│              │    │        │        │        │        │        │
    └───────┴──┴────┴────┴────┴────┴────┘

Note: two copies of the law enforcement examination list of access to information, the inspection team, the inspected.

Report of 6
                              People's Bank of China (XX, Central Branch, branch) Law enforcement inquiry record
                                                        Year month day
┌────────────────┬──────────────────┐
│被询问人姓名:                  │性别:                              │
│                                │                                    │
├────────────────┼──────────────────┤
│被询问人单位:                  │职务:                              │
│                                │                                    │
├─┬──────────────┴──────────────────┤
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│询│                                                                  │
│问│                                                                  │
│情│                                                                  │
│况│                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
├─┴───────────────┬─────────────────┤
│被询问人签名:                    │  询问人签名:                    │
│                                  │                                  │
│                                  │                                  │
│                                  │  记录人签名:                    │
│                                  │                                  │
│                                  │                                  │
│                                  │                                  │
│                                  │                                  │
│                                  │                                  │

└─────────────────┴─────────────────┘

Report of 7
                         People's Bank of China (XX, Central Branch, branch)

Law enforcement, notice of the evidence registered for keeping

(Name of the person being checked): According to the People's Republic of China 37th article of the provisions of the law on administrative punishment, is to register you are units below evidential material. Save during your units and personnel are not allowed to be destroyed or transferred.

Shelf life for 7th month _____ day _____ to ______ ______ year year _____ month _____ day.
Notice is hereby given that.
┌────────┬────────┬────────┬────────┐
¦ Item numbers for registration and preservation of evidence number │ │ comments │
│                │    材料名称    │                │                │
├────────┼────────┼────────┼────────┤
│                │                │                │                │
├────────┼────────┼────────┼────────┤
│                │                │                │                │
├────────┼────────┼────────┼────────┤
│                │                │                │                │
├────────┼────────┼────────┼────────┤
│                │                │                │                │

└────────┴────────┴────────┴────────┘

The head of the inspection signature:

Check signatures:

Registration and preservation of material recovery date: year month day.

Recover the signature:

(Seal of the Executive)

Year month day

Report of 8
                              People's Bank of China (XX, Central Branch, branch)
                                                      Law enforcement inspection work papers
Year month day
┌────┬────────────┬────┬────────────┐
│被检查人│                        │项目名称│                        │
│        │                        │        │                        │
├────┼────────────┼────┼────────────┤
│ 检查人 │                        │ 复核人 │                        │
│        │                        │        │                        │
├─┬──┴────────────┴────┴────────────┤
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│检│                                                                  │
│  │                                                                  │
│查│                                                                  │
│  │                                                                  │
│情│                                                                  │
│  │                                                                  │
│况│                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │
│  │                                                                  │

└─┴─────────────────────────────────┘

Report of 9
                             People's Bank of China (XX, Central Branch, branch)
                                                       Law enforcement and inspection findings of fact
Control no:
┌────┬──────────────────────────────┐
│被检查人│                                                            │
├────┼─────────────────┬────┬───────┤
│检查内容│                                  │检查时间│              │
├──┬─┴─────────────────┴────┴───────┤
│    │                                                                │
│    │                                                                │
│ 事 │                                                                │
│ 实 │                                                                │
│ 认 │                                                                │
│ 定 │                                                                │
│    │                                                                │
│    │                                                                │
├──┼──────────────┬─────────────────┤
│ │ Inspectors signature: │ was signed by checking opinion: │
│    │                            │                                  │
│    │检查组组长签名:            │                                  │
│    │                            │                                  │
│被检│                            │                                  │
│查人│                            │                                  │
│与检│                            │                                  │
│查组│        年    月    日      │                                  │
│签字│                            │                                  │
│确认│                            │被检查人负责人签名:              │
│    │                            │                                  │
│    │                            │                                  │
│    │                            │               (单位印章)       │
│    │                            │              年    月    日      │

└──┴──────────────┴─────────────────┘ Note: If the above facts are true, the inspected on receipt of the findings of fact within 5 working days of confirmation; objects to the above facts are, a person being checked on receipt of the findings of fact of the objection to the inspection unit within 5 working days, accompanied by written statements.