Financial supervision and inspection of case method

    (December 16, 2008, the Ministry of Finance announced as of February 1, 2009, 53rd), first in order to strengthen the management of financial supervision and examination to transfer the case, standardize financial supervision and examination to transfer the case, guarantees financial performance of the duties of supervision and inspection, in accordance with the financial illegal activities penalties and regulations, administrative law-enforcement organs transfer suspected criminal cases by relevant provisions of the regulations, these measures are formulated.

    Second financial supervision and examination in these measures to transfer the case, refers to the people's Governments above the county-level financial departments and agencies of the financial Department of the people's Governments above provincial level (hereinafter referred to as the financial sector) while performing their duties of supervision and inspection, do not belong to the case and other matters within the competence of the financial sector, legal under JI transferred other agencies handling behavior. 

    Third financial sector fiscal supervision and inspection in law and discipline cases, these procedures apply.

    The fourth case of transfer of financial supervision and inspection of the Ministry (hereinafter referred to as case), shall comply with the provisions of the laws, regulations and rules, the facts are clear and complete materials, process, and complete the procedures.

    Belonging to the case and other matters within the competence of the financial sector, the financial sector should be dealt with according to law, shall not be transferred to other authorities.

    Fifth financial sectors when performing their duties of supervision and inspection, and to the need for the tax, banking, securities, insurance, customs, State-owned assets management and other relevant supervisory or regulatory authorities deal with cases, it shall transfer the case.

    Sixth while performing their duties of supervision and inspection of the financial sector, law and discipline of civil servants should be held responsible, not competent to deal with the financial sector, cases should be transferred to the relevant supervisory authority or the personnel appointment and removal of administrative privileges. 

    Authorized by the laws and regulations to administer public affairs organizations and State administration authorities shall delegate the staff except the labor personnel in your organization, enterprises, institutions, social groups, by State administrative organs to appointment, send forms, such as the appointment of personnel as well as other law and discipline should be held accountable, reference to the provisions of the preceding paragraph.

    Article seventh while performing their duties of supervision and inspection of the financial sector, that relevant organizations or persons suspected of a crime, shall, in accordance with the provisions of administrative law-enforcement organs transfer suspected criminal cases, the processing time to transfer the case.

    The same case is suspected of job-related crimes and arrested for other crimes, has jurisdiction over the procuratorial organs and the public security organs, respectively, to transfer jurisdiction of cases in which the alleged crime.

    Eighth Ministry of finance in various provinces, autonomous regions, municipalities, separately listed cities Financial Ombudsman's Office believes it shall refer the case, a person suspected of a crime amounts more than 10 million Yuan, or persons involved under departments (bureaus)-level leading cadres, as well as other cases, aggravated or have greater social impact, shall be submitted to the Ministry of Finance decided to transfer authority.

    Agency of the provincial Finance Department transfer case, aggravated nature or have greater social impact, the specific case and transferred to the authority by the provincial financial department. Before Nineth referral of cases to the other organs of the financial sector has been the administrative processing, administrative penalty shall not suspend implementation.

    Transfer case, should be administrative, administrative penalty cases be transferred to the other organs.

    Not in administrative processing, administrative punishment in lieu of removal.

    Tenth Finance Department when they discharge their duties of supervision and inspection, contractors or employees who feel the need to transfer the case, should transfer recommendations to the Finance Department.

    11th Finance Department shall specify 2 or more staff or within the Agency to review the cases transferred.

    Review officer or agency shall, in accordance with the relevant provisions, on the proposed transfer of the facts of the case are clear, whether the material is complete, whether legitimate programs, review procedures are complete, and transferred for disposal, the Finance Department head for approval.

    12th Finance Department shall, upon receiving the transfer for disposal within 7th day of, the decision to transfer or not to transfer the case.

    Decided to transfer, the financial sector should be clear and specific transfer authority, for the transfer procedures, timely, complete and relevant case material transferred to the custody of authorities.

    Decided not to transfer, the financial sector and the reasons for that decision should be based on documented and dealt with according to law.

    13th Finance Department to deal with cases of transfer, shall transfer to the Authority submitted to the financial supervision and inspection of the notice of removal, together with the following materials:

    (A) the basic circumstances of the case;

    (B) the inspection report or investigation report of the case;

    (C) make recommendations on punishment and punishment;

    (D) relevant evidence;

    (E) in connection with the listing;

    (Vi) other material to be transferred.

    14th Finance Department to the custody of authorities when they submitted to the financial supervision and examination notice of removal shall be attached to the case transferred to the certificate of service of the notice, and ask to be transferred to the authorities in a signature or seal on the certificate of service. 15th financial departments should understand these transferred to the progress of the case in a timely manner.

    Case later than 30th has yet to receive the certificate of service, or after accepting it for more than 90 days have not yet received the written results, the financial sector should be made of the inquiry of financial supervision and inspection of referral of cases, progress in the transfer of cases to be transferred to the Agency.

    16th on the custody of authorities not to receive or not to accept the case, the financial sector still has objections, shall consult with the custody organ or to the relevant departments, and record the results. 17th cases to other authorities transferred to the financial sector, the financial sector should be reviewed in the 7th, and make a decision on whether to accept.

    Inadmissible, the financial sector should be written in the 30th to transfer organs give reasons for inadmissibility and refund transfer case materials; to be admissible, the financial sector should be processed in a timely manner, and will result in the 90 days written notice to transfer authority.

    18th financial sectors should be established to transfer the case registration system, improve file management, case to be transferred to, processed in a timely manner the results of statistical analysis, and the summary report submitted to the Finance Department at a higher level.

    19th superior financial departments should enhance the work of financial departments to transfer the case to the lower guidance and supervision. 20th fiscal authorities should strengthen communication and coordination with the custody organ. 

    During the custody transfer agencies in the investigation of cases, need to meet a financial sector, the financial sector should be assisted. 

    21st financial departments and their staff work in this case, it shall transfer without transfer or transfer of the contravention, resulting in serious consequences, law and discipline should be held accountable.

    22nd article this way come into force February 1, 2009.

Annex 1: financial supervision and examination notice of removal (style)
                                                          Financial supervision and examination notice of removal (stub)

[    ]第    号

Custody of authority: the survey, check the unit or individual:

Transfer: transfer authority signature:
    Date issue:

____________________________________________________________________
                                                          Notice of financial supervision and examination of cases transferred
    [    ]第    号

____________ (Mobile name):

In accordance with the financial illegal activities penalties Ordinance (transfer suspected criminal cases, should be stated in accordance with the provisions of administrative law enforcement organs transfer suspected criminal cases) regulations, the authorities decided to unit is transferred to the __________ (State the case name).
          Annexes: 1.
                2.
    ……

Please xx xx xx year month date processing result feedback unit.

Contact:

Contact phone:

(Transfer agency seal)

Xx xx xx year month day

Annex 2: financial supervision and inspection of referral of cases inquiries (style)
                               Inquiry of financial supervision and inspection of referral of cases

Letter XX []xx

____________________________________________________________________

__________Xxx (letter): I to XX XX XX year month day you transfer case XX (State the case name and number).

According to the provisions of the regulations of the financial illegal activities penalties and, now this letter asking the handling of the case.

Please xx xx xx year month date will be transferred to inform the company of the case.

Contact:
                                                        Contact phone:

(Transfer agency seal)

Xx xx xx year month day

Annex 3: certificate of service (style)
Certificate of service
┌────────────┬──────────────────────┐
│ Service │ instrument (specify the name and number of delivery instruments) │
├────────────┼──────────────────────┤
│                        │          （写明移送机关名称，加盖          │
│ Service │ transferred authority and served on the time stamp) │
│                        │                xx年xx月xx日                │
├────────────┼──────────────────────┤
│                        │                                            │
│ Service │ (State custody authority name) │
│                        │                                            │
├────────────┼──────────────────────┤
│                        │           （收件人签名或者盖章）           │
│    收件人及收件时间    │                                            │
│                        │                xx年xx月xx日                │
├────────────┼──────────────────────┤
│                        │                                            │
│        备    注        │                                            │
│                        │                                            │
│                        │                                            │

└────────────┴──────────────────────┘ Note: direct service, please fill and return the certificate of service delivery person commissioned service, please fill and return the certificate of Service Commission service; served by post, send to xxx (specify the service name), address: xxx, China xxx.