Measures Of China Banking Regulatory Commission Administrative Penalty

Original Language Title: 中国银监会行政处罚办法

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  Chapter I General provisions article in order to regulate the CBRC and its local administrative penalty practices, maintaining the order of banks, according to the People's Republic of China Law on administrative punishment, the People's Republic of China Banking Regulatory Act and the People's Republic of China commercial bank law and other related laws, these measures are formulated.

Second banking institutions, other entities and individuals (hereinafter referred to as the parties) violation of laws, administrative rules and regulations and normative documents relating to banking supervision and Regulation (hereinafter referred to as illegal or irregular behaviour), the CBRC and its local agencies shall be given administrative punishments, according to the implementation of the measures.

Other units in the preceding paragraph refers to the other except for banking financial institutions businesses, public institutions and social organizations.

Article banking institutions in these measures refers to in the People's Republic of China legally established in the territory of commercial banks, cooperative banks, rural credit cooperatives, rural banks and other financial institutions that take deposits from the public as well as policy banks.

People's Republic of China territory legally-established financial asset management companies, trust companies, finance companies, financial leasing companies and other financial institutions of the Banking Regulatory Commission approved the establishment of the administrative punishment procedures apply.

The CBRC approved overseas financial institutions and financial institutions outside the first two paragraphs is illegal, should be given administrative punishment for violations of, these procedures apply.

Fourth administrative penalty shall be in compliance with legal procedures and adhere to the principle of open, fair, equitable.

Identification of illegal or irregular behaviour should be based on laws, administrative regulations, rules and regulatory documents as the basis. Fifth article silver prison will and sent institutions established administrative punishment Committee and administrative punishment Committee Office, implemented survey, and trial and decided phase separation of administrative punishment system: (a) supervision check sector is responsible for filed, and survey forensics, and proposed administrative punishment recommends; (ii) administrative punishment Committee is responsible for considered decided administrative punishment case, and decided whether public administrative punishment related information; (three) administrative punishment Committee Office is responsible for administrative punishment case of trial, and organization hearing and administrative punishment Committee considered Conference,

According to the decisions of the Review Conference, administrative punishment instruments, monitoring the implementation of administrative punishments or apply to a people's Court for compulsory execution, filing archives. Administrative sanctions Committee Office in the Legal Department of CBRC and its local agencies.

No establishment of the Office of the administrative punishment, legal departments to carry out their duties.

Sixth article administrative punishment of type including: (a) warning; (ii) fine; (three) confiscated illegal proceeds; (four) ordered closed reorganization; (five) revoked financial license; (six) canceled Tung (acting) thing, and senior management personnel must term until lifelong of served qualification; (seven) ban must term until lifelong engaged in banking work; (eight) legal, and administrative regulations provides of other administrative punishment.

In subparagraph (a), (b), (c) the penalties can apply to the Agency, can also apply penalties for individuals.

Banned from banking refers to the implementation of illegal or irregular conduct of persons shall not participate in, engaged in the management of banking institutions and business and other related activities, not labor or service relations with the banking institutions.

Article seventh CBRC and its local institutions, when punishment of banking institutions, it shall be directly responsible for the Board (acting), senior management staff and other persons directly responsible shall be investigated for legal responsibility, different case to administrative penalties. Article eighth of CBRC and its local agencies to make administrative punishment, shall have the right and the right to be heard.

Does not accept the decision on administrative penalty, the right to apply for administrative reconsideration or bring an administrative suit.

Parties by the CBRC and its local organizations to breach or improper punishment damages, shall have the right to file a claim for compensation. Nineth CBRC and its local agency staff involved in administrative punishment, one of the following circumstances, I shall apply for withdrawal.

The parties and their representatives have the right to apply for his withdrawal.

(A) is a party to the case and their close relatives of the agent, (ii) and has a direct interest in the case and (iii) in the case or the parties to the case and their agents have other relationships may affect the impartial handling of the case. Avoidance should be under the CBRC and its local authority Committee decision of administrative penalty.

Administrative punishment of the CBRC, Chairman of the Council is avoided by its previous agency decisions.

Decision is made, the staff member concerned shall suspend the investigation and handling of cases, except in special circumstances. Article tenth watchdog CBRC and its local agencies should strengthen supervision and inspection of administrative punishments.

Administrative penalties for illegal or improper obviously decided, should be asked to make the decision on administrative penalty authority corrected.

11th the CBRC to establish information management system of administrative penalties, administrative punishments and statistical analysis. CBRC and its local agencies, such as administrative punishment decision letter should be about information management system for information input on administrative punishments administrative punishments.

If necessary, to the relevant departments and agencies, disclosure and punishment of staff of banking institutions.

12th CBRC and its local agency staff involved in administrative punishment shall keep it informed that in handling the case of State secrets, business secrets and personal privacy.

Chapter II jurisdiction article 13th China Banking Regulatory Commission on the following illegal, given administrative punishment for violations: (a) direct monitoring of the banking financial institutions and their staff on the inside or outside of the legal person; (b) banking financial institutions overseas banking institutions and their staff on the inside or outside;

(C) the day-to-day supervision and carrying out spot checks found; (d) has a significant impact across the country.

Article 14th agencies within the jurisdiction of the CBRC following illegal, given administrative punishment for violations: (a) the direct supervision of the banking sector corporate financial institutions, branches of the banking institutions and their staff on the inside or outside, and (ii) other units and individuals. 15th banking institutions in illegal or irregular acts committed in different places in the territory, by the Act of authority of the CBRC.

Committed body of the CBRC considers it inappropriate to the exercise of jurisdiction, can be handed over to where the subject jurisdiction of the institutions of the CBRC.

CBRC agency or where the subject institution of the CBRC shall consult the other before making an administrative punishment, and shall inform the penalty.

16th due to cross-check or cross-regional inspection found illegal or irregular acts need to be given administrative punishments, the inspection team should be brought to the Office-bearers of the banking regulatory authority that has jurisdiction to investigate, and can serve as the basis for the transfer of illegal or irregular facts relevant evidence. 17th body of the CBRC found cases do not fall under its jurisdiction, it shall transfer the jurisdiction of bodies of the CBRC, and banking regulatory filings to the superior.

Whose jurisdiction is not clear or is in dispute, shall be submitted to the common level banking regulatory body to exercise jurisdiction.

Bodies of the CBRC for special reasons cannot or will not exercise jurisdiction, superior banking regulatory agencies can exercise jurisdiction.

18th superior banking regulatory agencies can directly deal with lower-level banking regulatory agencies have a significant impact within their respective jurisdictions of illegal or irregular behavior, or you can specify lower-level banking regulatory agency investigation shall be responsible for investigation of illegal or irregular behaviour.

Article 19th administrative punishment cases financial license revoked, issued the license for banking financial institutions by the banking regulatory agencies, copied to the approval decision the Agency planned banking regulatory agencies.

20th ordered ordered the administrative punishment cases, approved the opening of banking institutions by the banking regulatory agencies, copied to the approval decision the Agency planned banking regulatory agencies.

Chapter filed articles 21st found through party is suspected of illegal or irregular conduct, supervision and inspection departments shall verify in a timely manner: (a) found in the day-to-day supervision, (ii) the tasks assigned by the parent body or subordinate agencies report to the investigated; (c) the transfer of judicial authorities or other administrative law enforcement departments.

22nd article on checking, illegal or irregular conduct by the parties in accordance with the following conditions, supervision and inspection departments shall, upon completion of the verification within the 5th case: (a) socially dangerous, should be given administrative punishments, (ii) does not exceed the limitation of administrative penalties; (c) the jurisdiction of this body.

Should fill in the registration form filing filing, Executive Chairman of the sanctions Committee for approval.

23rd the control and inspection authorities think that the parties illegal, violations do not meet the condition for filing a case of administrative penalty, grant filed decisions and explanations should be made.

Article 24th supervision and inspection departments found in the inspection party is suspected of illegal or irregular behaviour, the urgency of the situation, you can repeat the filing formalities for collecting evidence.

25th after the discovery does not meet the conditions of administrative penalty, supervision and inspection departments shall fill in the case form, report them to the Chairman of the sanctions Committee for approval.

Fourth chapter survey article 26th investigators should be comprehensive, objective and impartial investigation and gather evidence about illegal or irregular conduct by the parties and, if necessary, can be taken to the People's Republic of China registered seal of the 37th article of the law on administrative punishment measures and the People's Republic of China banking regulatory measures provided for in law on 42nd.

27th before filing the verification or evidence obtained in the course of on-site inspections in accordance with the material, satisfied the evidentiary requirements can serve as the basis for administrative punishment law, illegal evidence of the facts, it should be stated in the report above.

File verification or evidence obtained in the course of on-site inspections before material, violating the forensics program, or do not meet the evidentiary requirements of administrative penalty shall not serve as the basis for evidence of illegal or irregular.

28th investigators in investigations or on-site inspections shall be at least two people, and shall show the regulator or the local Office of the China Banking Regulatory Commission issued working documents and enforcement instruments.

Article 29th offsite to commit illegal or irregular acts, committed acts of bodies of the CBRC shall timely inform the implementation of the location of the main bodies of the CBRC.
Implementation of the location of the main bodies of the CBRC shall assist and cooperate with institutions of the CBRC investigation work.

Article 30th requires agencies to assist in the investigation of the CBRC, investigative bodies shall issue a letter of assist. Assistance agencies shall, from the date of receipt of the letter of assist 30th to complete the investigation. Need an extension to assist agencies shall promptly inform the investigative body, but an extension of no more than 30th.

After delay cannot be completed, submitted to a superior banking regulatory agency decisions.

31st supervision and inspection departments found the party illegal, illegal acts do not belong to the jurisdiction of the banking regulatory agency shall be promptly transferred to the relevant authorities in accordance with law.

Illegal or irregular conduct by the parties suspected of a crime, or provincial agency in charge of the CBRC approval, supervision and inspection departments shall be transferred to the public security organs or a people's Procuratorate.

Article 32nd CBRC and its local bodies at the scene examination or investigation of banking institutions law, irregularities should be directly responsible for Mr Tung (acting), senior managers and other persons directly responsible for illegal or irregular behavior and its responsibility to be found.

Prescribed in the preceding paragraph about the illicit, illegal identification of responsibility should consider the duties, responsibilities, their duties and the illegal or irregular behavior during the actual role. Article 33rd supervision and inspection departments shall, within 90 days from the date of filing the completed investigation.

Unable to complete in the time allotted and approved by the Chairman of the sanctions Committee, to extend the investigation period. 34th survey after the end of supervision and inspection departments shall make administrative punishment for illegal or irregular, must make an investigation report. Survey report should contains Ming following matters: (a) case source; (ii) party of basic situation; (three) survey forensics process; (four) institutions illegal, and violations facts and related evidence; (five) directly is responsible for of Tung (acting) thing, and senior management personnel and other directly responsibility personnel of illegal, and violations facts, related evidence and responsibility finds situation; (six) administrative punishment limitation situation; (seven) party of statement views and adopted situation; (eight) illegal, and violations behavior caused of risk, and

Loss and illegal income; (IX) has a lighter or mitigated administrative penalty or not the plot; (j) recommendation, the reasons and basis of administrative punishment.

Fifth chapter of evidence article 35th administrative punishment evidence includes: (a) the documentary evidence and (ii) evidence, (iii) audio-visual materials; (d) electronic data; (e) the testimony of a witness, (f) the statements of the parties, (VII) expert opinions, (VIII) transcripts, field notes.

Article 36th investigator shall collect the party there is no illegal or irregular behavior, as well as evidence of the seriousness of illegal or irregular behaviour.

37th investigators gather evidence, shall comply with the following requirements: (a) and prove the fact that relevance, (ii) can truly and objectively reflect the proved fact (iii) collect evidence in accordance with statutory procedures. 38th article survey personnel collection documentary, should meet following requirements: (a) collection documentary of original, collection original does have difficult of, can collection and original check correct of copies, and copies, and excerpt this; (ii) copies, and copies, and excerpt this should indicate provides date, and source, by provides who contains Ming "and original check correct", stamped units seal or by provides who signed chapter, pages more of can stamped straddle chapter; (three) collection report, and accounting books, and professional technology information, documentary,

Should be accompanied by explanatory materials. 39th while investigators gather physical evidence, should collect the originals.

There is difficulty in collecting the original, can be collected and the original certified copy of or that it exhibits photographs, videos and other evidence. 40th investigators may question parties and witnesses, inquiries should be conducted separately, investigate those questioned record shall be checked. After the check, signed by the person questioned, page by page. Record is subject to errors, omissions, and should be allowed to correct or supplement.

Correct or supplement shall be interrogated to seal or signature confirmation are asked.

Parties and witnesses refused to sign, the investigation personnel shall indicate in the interrogation.

41st article survey personnel extraction audio-visual information should meet following requirements: (a) extraction audio-visual information of original carrier, extraction original carrier has difficult of, can extraction copy pieces; (ii) network information can take screenshots way extraction print pieces; (three) indicate extraction people, and extraction source, and extraction time and proved object,; (four) voice information should with the voice content of text records.

42nd investigators for audio, video, photos and other methods to extract evidence, shall comply with the following requirements: (a) indicate the production method, production time, place of production, make people and objects; (b) voice data should be accompanied by a transcript of the audio content.

Article 43rd investigators can direct client computers to manage business data in a database, or in conversion, calculation, decomposition, such as formation of new electronic data.

Collecting electronic data should indicate the collection methods, collection, collection of people and objects, and so on. 44th parties or related personnel refused to accept investigation, refused to provide evidence material or refused to sign the evidentiary material and sealed, the investigation personnel shall inform its adverse consequences, and investigative records specified or in recordings, videos and other audio-visual material to prove it.

If necessary, the investigator non-interested third parties could be invited as witnesses.

Materials obtained through these means can serve as the basis for relevant facts and evidence.

45th party related to on-site inspection confirmation of facts recorded in illegal or irregular confirmed facts, considered themselves can serve as the basis for evidence of illegal or irregular.

Party related to on-site inspection confirmation of facts recorded in illegal or irregular facts does not confirm, in the absence of other types of evidence to support, not alone as the facts of illegal or irregular evidence.

Article 46th judicial organ or other administrative law enforcement organs to save the evidence, published, transferred, after review finds its true legitimacy, can be used as evidence of the administrative punishment.

47th investigators collected evidence for classification should be numbered, making a list of evidence and evidence.

Evidence classification number should be consistent with the facts of the case that the logical way, evidence should include sources of evidentiary material, objects and contents.

48th collects and reviews evidence related to other requirements, this approach does not provide, in accordance with other laws and administrative regulations, rules and regulations or with reference to the relevant judicial interpretation provisions.

Sixth chapter proceedings 49th supervision and inspection departments need to be given administrative punishment, should be filing registration form, survey reports, evidence and other materials on the case transferred to the Office of the administrative punishment.

50th case material transfer supervision and inspection departments shall comply with the following criteria: (a) materials, content integrity, (ii) a list of evidence and the evidence is clear; (c) the copy with the original line. Office of the 51st Commission on administrative penalty shall make a decision on whether to receive 5th. Meet the prescribed standards, and go through the receiving procedures, indicate the date of receipt of the case and the case file and other relevant circumstances.

Does not meet the acceptance criteria, should be returned to the control and inspection authorities and explain the reasons. Office of the 52nd Commission on administrative penalty shall be completed within 60 days from the date of receiving the trial.

Unable to complete in the time allotted and approved by the Chairman of the sanctions Committee, you can extend the trial period.

Need to return a supplementary investigation during the hearing, trial period is recalculated. 53rd trials should be based on the investigation report. Trial of main content including: (a) whether has jurisdiction right; (ii) survey forensics program whether legal; (three) whether over administrative punishment limitation; (four) illegal, and violations facts whether clear, evidence whether hard; (five) illegal, and violations behavior qualitative whether accurate; (six) applies volume penalty according to whether right; (seven) party of statement and defence whether should be adopted; (eight) directly is responsible for of Tung (acting) thing, and senior management personnel and other directly responsibility personnel of illegal, and

Illegal facts and responsibilities is accurate and (I) is there a lighter or mitigated punishment or no punishment, the plot, (10) recommended the types and ranges of punishment is appropriate.

54th under any of the following circumstances, administrative punishment Office of control and inspection authorities shall request the written description, or returned to the supplementary investigations: (a) illegal, illegal facts are not clear and (b) insufficient evidence or does not meet the requirements; (c) the responsibility not of the persons concerned; (d) the investigation procedure illegal. The time limit for supplementary investigation is usually not later than 30th.

Supplementary investigation is unable to obtain sufficient evidence to prove illegal or irregular facts should be dismissed according to law.

55th under any of the following circumstances, administrative punishment Committee offices can adjust or change views of the control and inspection authorities and recommendations: (a) the inaccurate characterization of illegal or irregular Act; (b) the application of penalty based on wrong; (c) the suggestion of punishment or kind of appearance of impropriety. 56th administrative penalties administrative penalty the Committee hearing before the Office thought should, must make the trial report.

Trial report includes: (a) the basic situation of the parties, (ii) the party illegal, illegal fact about responsibility and (iii) examination of investigation reports; (d) the proposed punishment, the reason and basis.

Seventh chapter considered 57th article administrative punishment Committee considered Conference should to trial report for based on case for considered, considered of main content including: (a) punishment program whether legal; (ii) illegal, and violations facts whether clear, evidence whether hard; (three) illegal, and violations responsibility finds whether appropriate; (four) illegal, and violations behavior qualitative whether accurate; (five) applies volume penalty according to whether right; (six) intends punishment type and range whether appropriate.

Article 58th of administrative punishment Committee meeting convened by the Office of the administrative punishment, Director of the Chair, members of each Member participating in the Conference shall not be less than two-thirds.
59th administrative penalty consideration, the Commission shall, in accordance with the following procedures: (a) the moderator declared the meeting participants in compliance with the relevant provisions of these measures;

(B) supervision and inspection departments to report investigations; (c) the Committee Office of administrative penalty proceedings; (d) the members of the hearing to comment on the report, (v) Moderator last comment; (vi) members vote on punishment; (g) the host of the meeting announcing the voting results on the spot.

60th administrative punishment the Committee members should be based on the facts and take law as the criterion, insist on professional judgement, independent, objective and fair consideration of views. Administrative punishment Committee 61st Conference ballot.

Make a decision of administrative penalty, should receive administrative punishment more than half of all members of the Committee agree.

Committee members should actively perform their duties of administrative penalty shall abstain.

62nd CBRC and its local administrative penalties administrative penalty decision taken by the Committee, you can seek expert advice. Administrative punishment Committee 63rd meeting minutes signed by the members attending the meeting confirmed in administrative punishment cases.

Conditions can also capture audio, video and other audiovisual information, as an aid to writing material stored in files.

64th administrative penalties administrative penalty according to the Office of the Commission decided to make administrative punishment notice of the Committee, subject to the approval of the Chairman of the sanctions Committee served.

65th administrative penalty notice shall contain the following: (a) is intended to be punished the basic situation of the Party; (b) the proposed punishment illegal, illegal facts and evidence by the parties, and (iii) is proposed to be grounds for punishment, according to (iv) is proposed to be the types and range of punishment; (e) the statement, plea or hearing rights enjoyed by the parties.

66th article needs statements and pleadings by the parties, shall receive written advice of administrative penalty within 10th of statements and pleadings of punishment to the written material submitted to the CBRC or its agency. Office of administrative sanctions Committee should review the statements of the parties and the defence, review the facts, reasons and evidence submitted by the parties. Considered illegal or irregular fact disputed need on-site verification, supervision and inspection departments to verify.

If necessary, also will make their own investigation and verification.

Establishment of the facts, reasons and evidence submitted by the parties, the Executive Office of the punishment should be adopted. Eighth chapter 67th CBRC and its local bodies for the purposes of the hearing to be made the following major administrative punishment decision, shall, on the written advice of administrative penalty shall inform the parties of the requirement to hold a hearing in the right: (a) to banking institutions and other units to a larger amount of fines. Includes: more than 5 million Yuan to the CBRC fine; more than 1 million Yuan to the CBRC fine; the CBRC made more than 500,000 yuan fine, (ii) greater amounts of the individual fines. Includes: more than 500,000 yuan fine to the CBRC; the CBRC made more than 300,000 yuan fine; the CBRC made of more than 100,000 yuan fine, (iii) the confiscation of large amounts of illegal proceeds.

Including: Silver prison will made of confiscated 5 million Yuan above illegal proceeds; silver prison Council made of confiscated 1 million Yuan above illegal proceeds; silver prison Branch made of confiscated 500,000 yuan above illegal proceeds; (four) ordered closed reorganization; (five) revoked financial license; (six) canceled Tung (acting) thing, and senior management personnel served qualification; (seven) ban engaged in banking work.

Does not meet the hearing standards for administrative punishment cases, Parties applying for a hearing, the administrative sanction Commission Office considers it necessary, by the Chairman of the sanctions Committee agreed with, can hold a hearing.

68th the Parties shall from the date of receipt of written advice of administrative penalty within 5th to the CBRC or its Agency submits application for hearing upon his/her signature or seal, State hearing request and reasons for it.

Party fails to apply the deemed waiver of hearing right.

69th CBRC and its local agencies decided to organize a hearing, shall from the date of receiving the application for hearing within the 30th hearing, and held a hearing in 7th, notify the parties in writing the time, place and manner of the hearing.

Party of illegal or irregular fact disputed, evidence submitted at the hearing shall be filed in the application materials. 70th CBRC and its local agencies decided to organize a hearing, the hearing shall be set up composed of at least 3 people working group.

Hearing chaired by the Director, Office of administrative punishment.

Working Group should designate the hearing record.

71st article hearing by following program for: (a) records member to scene personnel announced hearing discipline; (ii) hearing host identification party identity, party delegate others agent hearing of, hearing host should identification party issued of authorized Attorney and agent of identity; (three) hearing host announced case, and hearing working group composition personnel, and records member list, asked whether need application avoided; (four) survey personnel statement party illegal, and violations facts and evidence;

(E) statements, the parties or their agents to defend themselves; (f) investigators to cross-examine and debate with the party or his agent and (VII) hearing final comments of consulted parties; (h) the signing parties to the hearing in the hearing record, (I) hearing officer announced the end of the hearing. 72nd hearing shall be held in public, but involve State secrets, business secrets, personal privacy or the financial stability of the exception.

Hearing held in public, should be under the CBRC and its local authority Committee decision of administrative penalty. 73rd hearing working groups should fully heed the views of the party or its representative, on the parties or his agent double-check the facts, reasons and evidence. Considered illegal or irregular fact disputed need on-site verification, supervision and inspection departments to verify.

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

74th working group should write hearing report proposed hearing opinions, and reports of hearing, hearing and hearing of evidence obtained by the Executive Chairman of the sanctions Committee. 75th hearing complete, cross-party reconciliation. Cannot be done on the spot, host specify the dates and places to check.

After party checked, page-by-page signature or seal. Record of hearing is subject to errors, omissions, and should allow the parties to correct or supplement, correct or supplement shall be signed or sealed by the parties to confirm.

The party refuses to sign or seal, and shall indicate in the record of hearing.

76th article hearing report main including following content: (a) party of basic situation; (ii) hearing working group of personnel composition, and held hearing of time, and locations and the hearing process; (three) survey personnel on illegal, and violations facts of statement; (four) party or its agent statement, and defence of content; (five) survey personnel and party or its agent quality card, and debate of content; (six) party or its agent statement, and defence views of adopted situation; (seven) proposed hearing processing views.

Nineth chapter decided to perform the 77th after service of the notice of administrative penalty, the parties are not made within a specified time statements, defence and application of hearing, Office of administrative punishment Committee shall make a written decision of administrative penalty served on the parties concerned. 78th administrative punishment the Committee considers the party's statement, defence or hearing is justified, need to adjust the proposed penalty of administrative punishment decision, agreed by the administrative penalty, Chairman of the Council, can be adjusted directly in the written decision of administrative penalty.

Need to make administrative punishment to be fact, the qualitative basis adjusted, kind of punishment and penalties, administrative penalties administrative punishment Committee shall bring to the attention of the Office of the Commission decision.

79th article administrative punishment decided book should contains Ming following content: (a) party of basic situation; (ii) illegal, and violations facts and related evidence; (three) illegal, and violations behavior qualitative and volume penalty of reason, and according to; (four) give punishment of type, and range; (five) punishment of perform way and term; (six) refuses to punishment decided, application administrative reconsideration or filed administrative litigation of way and term; (seven) made punishment decided of institutions name, and seal and date.

80th administrative penalty within the Office of the Committee shall make a 7th administrative punishment decision, in accordance with the relevant provisions of the administrative procedure law, the written decision of administrative penalty served on the parties concerned.

Instruments serve other administrative penalties in accordance with the provisions of the preceding paragraph. 81st article CBRC and its local agencies decided to administrative penalties, and shall order the party to rectify violations.

Rectification can be made in the written decision of administrative penalty.

82nd article CBRC and its local organizations to cancel Dong (acting), senior management qualification punishments, administrative punishment decision letter should be copied to approved the qualification of banking regulatory agencies and banking institutions to which it belongs.

83rd article CBRC and its local agencies to prohibit the carrying out of banking sanctions, administrative punishment decision letter should be copied was punished those responsible belong to banking institutions. 84th article CBRC and its local agencies to make fines, confiscate the illegal income administrative punishment decision, the Parties shall from the date of receipt of the written decision of administrative penalty in the 15th penalty, illegal gains designated CBRC paid the fine collection agency's special account.

The CBRC and its local agencies and law enforcement officers are permitted to own fines.

Party of genuine economic difficulties, approved by the CBRC and its local agencies, can be suspended or fined in phases. 85th CBRC and its local agencies to make rectification or revoke their financial licenses administrative punishments should be at CBRC announcement on the official site or the specified media.

Announcements include: (a) the banking financial institutions name, address, (ii) the decision on administrative penalty, the reasons and legal basis and (iii) other matters need to be announced.

86th party fails to carry out administrative punishment decision, administrative punishment decision bodies can take the following measures: (a) the expiration does not pay the fine, according to 3% levy an administrative penalty in the amount of the fine, plus administrative punishment but fines for an amount not exceeding, (ii) apply to the people's Court for compulsory execution. 87th parties fails to perform, you need to apply to the people's Court for compulsory execution, the CBRC and its local administrative punishment Office of the Commission shall, in accordance with the People's Republic of China administrative enforcement Act set out procedures for publicizing notice.


The CBRC and its local agencies of supervision and inspection departments shall assist, with administrative punishment Committee Office and make administrative punishment implementation. 88th CBRC and its local agencies should be in the administrative punishment in public information on its official website.

Scope and manner of the disclosure of administrative punishment by administrative sanctions Committee decisions.

Units and individuals exposed to the CBRC and its local agencies to apply written decision of administrative penalty, in accordance with the People's Republic of China Government information implementation of the relevant provisions of the Ordinance.

89th administrative punishments executed after the Office shall draw up a final report of the Committee on administrative punishments, administrative punishment case file file archive.

Tenth chapter legal liability article 90th CBRC and its local agencies, one of the following circumstances, causing serious consequences, the persons responsible shall be given administrative sanctions in serious crime, law transferred to judicial organs for handling.

(A) should administrative punishment and not administrative punishment of; (ii) should transferred and not transferred of; (three) assist survey not due diligence of; (four) deliberately hide or destroyed evidence of; (five) illegal facts finds exists serious errors of; (six) implementation administrative punishment no legal according to of; (seven) unauthorized change administrative punishment decided type and range of; (eight) serious violation administrative punishment program of. 91st article CBRC and its local agencies illegal imposition of administrative penalty for damage caused to individuals, shall bear the liability for damages. The persons responsible shall be given administrative sanctions.

Serious crime, law transferred to judicial organs for handling.

92nd article CBRC and its local agency staff in the course of administrative penalty, used his position to facilitate the solicitation or acceptance by appropriation of other people's property, collection of fines, are minor and do not constitute a crime shall be given administrative sanctions in serious crime, law transferred to judicial organs for handling.

11th chapter by-laws article 93rd administrative punishment of the CBRC's composition and working rules refer to the China Banking Regulatory Commission Committee on rules of procedure of administrative punishment.

The CBRC and its local agencies administrative punishments should be provided the necessary human resources and financial investment.

94th referred to herein the "upper" and "lower", "within" include the number or level. Date mentioned in these measures refers to working days. During the day are not counted, period does not include transit time.

Mailed prior to the expiry of the instrument, shall not be deemed expired. 95th model of legal instruments needed to carry out these measures, developed by the CBRC.

The CBRC did not develop a model, other legal instruments needed in the work of law enforcement, banking regulatory Bureau model can be developed.

96th article of the approach by the banking regulator is responsible for the interpretation.

97th these measures shall come into force on September 9, 2015, of the China Banking Regulatory Commission on administrative penalties (the China Banking Regulatory Commission, 2007 5th) repealed simultaneously.

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