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Notice of the General Office of the China Banking Regulatory Commission on Issuing the Interim Measures for the Administration of Work on Accountability for Cases Involving Banking Financial Institutions | | 中国银行业监督管理委员会办公厅关于印发银行业金融机构案件问责工作管理暂行办法的通知 |
| (No. 255 [2013] of the General Office of the China Banking Regulatory Commission) | | （银监办发〔2013〕255号） |
| All local offices of the China Banking Regulatory Commission (“CBRC”); all policy banks, state-owned commercial banks, joint-stock commercial banks, and financial asset management companies; Postal Savings Bank of China; and trust companies, enterprise group finance companies, and financial leasing companies under the direct supervision of the CBRC: | | 各银监局，各政策性银行、国有商业银行、股份制商业银行、金融资产管理公司，邮政储蓄银行，银监会直接监管的信托公司、企业集团财务公司、金融租赁公司： |
| The Interim Measures for the Administration of Work on Accountability for Cases Involving Banking Financial Institutions are hereby issued to you, and shall come into force on January 1, 2014. | | 现将《银行业金融机构案件问责工作管理暂行办法》印发给你们，自2014年1月1日起施行。 |
| To encourage the proactive detection and early discovery of cases and reduce losses, the work on accountability for cases occurring before January 1, 2014, and discovered by banking financial institutions before December 31, 2014, shall remain to be governed by the previous provisions. | | 为鼓励主动排查并及早发现案件、减少损失，各银行业金融机构2014年12月31日前发现的发生在2014年1月1日前案件的问责工作适用原规定。 |
| All incorporated banking financial institutions shall, in accordance with these Measures, develop or revise their working rules for accountability for cases, and file such rules with the banking regulatory authorities before January 1, 2014. | | 各银行业金融机构法人应当根据本办法制定或修订本机构案件责任追究工作制度，并于2014年1月1日前向银行业监督管理机构报备。 |
| General Office of the China Banking Regulatory Commission | | 中国银行业监督管理委员会办公厅 |
| November 11, 2013 | | 2013年11月11日 |
| Interim Measures for the Administration of Work on Accountability for Cases Involving Banking Financial Institutions | | 银行业金融机构案件问责工作管理暂行办法 |
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| Chapter I General Provisions | | 第一章 总则 |
| Article 1 To standardize the work on accountability for cases involving banking financial institutions, ensure the fulfillment of responsibilities for case risks, and promote the prevention and control of case risks, these Measures are developed in accordance with the Banking Supervision Law of the People's Republic of China, the Commercial Bank Law of the People's Republic of China, and other laws and regulations. | | 第一条 为规范银行业金融机构案件问责工作，落实案件风险责任,促进案件风险防控，根据《中华人民共和国银行业监督管理法》、《中华人民共和国商业银行法》等法律法规，制定本办法。 |
| Article 2 These Measures shall apply to the work on accountability for cases involving banking financial institutions established within the territory of the People's Republic of China. | | 第二条 中华人民共和国境内设立的各银行业金融机构案件问责工作，适用本办法。 |
| These Measures shall apply, by reference, to the work on accountability for cases involving financial asset management companies, trust companies, enterprise group finance companies, financial leasing companies, and branches of foreign banks established within the territory of the People's Republic of China and other financial institutions established with the approval of the banking regulatory authority under the State Council. | | 中华人民共和国境内设立的金融资产管理公司、信托公司、企业集团财务公司、金融租赁公司、外国银行分行以及经国务院银行业监督管理机构批准设立的其他金融机构案件问责工作参照适用本办法。 |
| Article 3 For the purposes of these Measures, “cases” means criminal cases where any employees of banking financial institutions commit alone or participate in the commission of, or any outside persons commit, offenses causing damage to the funds or other property rights and interests of banking financial institutions or clients and suspicious of violating the Criminal Law and which have been under official investigation by the public security or judicial authorities or, as required, should be transferred to the public security or judicial authorities for official investigation. | | 第三条 本办法所称案件是指银行业金融机构从业人员独立实施或参与实施的，或外部人员实施的，侵犯银行业金融机构或客户资金或其他财产杈益的，涉嫌触犯刑法，已由公安、司法机关立案侦查或按规定应当移送公安、司法机关立案查处的刑事犯罪案件。 |
| Where any employees of a banking financial institution are suspected of any crime in a case or commit any other violations of law or regulation directly in connection with the case, these Measures shall apply. | | 银行业金融机构从业人员在案件中涉嫌犯罪或存在其他与案件直接相关的违法违规行为的，适用本办法。 |
| Article 4 A case shall be deemed major or egregious under any of the following circumstances: | | 第四条 存在下列情形之一的，属于重大、恶性案件； |
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| (1) The amount involved in the case is equivalent to ten million yuan or more. | | （一）涉案金额等值人民币一千万元（含）以上的； |
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| (2) The case is egregious in nature, resulting in bank run, regional or systemic risks, or other major adverse social consequences. | | （二）性质恶劣，造成挤兑、区域性或系统性风险等重大社会不良影响的； |
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| (3) Other major or egregious cases as determined by the banking regulatory authorities. | | （三）银行业监督管理机构认定的其他属于重大、恶性的案件。 |
| Article 5 For the purposes of these Measures, “accountability for cases” means that banking financial institutions hold relevant persons accountable for cases. | | 第五条 本办法所称案件问责是指银行业金融机构对案件责任人员实施责任追究的行为。 |
| Article 6 For the purposes of these Measures, “persons accountable for a case” means the employees of a banking financial institution who are responsible for the occurrence of a case, including the offenders, the persons who commit or participate in the commission of relevant violations of law or regulation, and the persons who assume management, leadership, and oversight responsibilities for the occurrence of the case. | | 第六条 本办法所称案件责任人员是指对案件发生负有责任的银行业金融机构从业人员，包括作案人员，相关违法违规行为的实施人或参与人以及对案件发生负有管理、领导、监督责任的人员。 |
| The persons who assume management and leadership responsibilities for the occurrence of a case are the persons in charge of or the departmental heads of an incorporated banking financial institution or its branch office who fail to perform or effectively perform their management duties, leading to internal control failures in the relevant processes and the occurrence of a case. | | 对案件发生负有管理、领导责任的人员是指不履行或未有效履行管理职责，导致有关环节内部控制失效，致使案件发生的银行业金融机构法人或分支机构的负责人或部门负责人。 |
| The persons who assume oversight responsibilities for the occurrence of a case are the persons who fail to perform or effectively perform their supervision or inspection duties and should have discovered and reported a case and risks in a timely manner. | | 对案件发生资有监督责任的人员是指不履行或未有效履行监督、检查职责，应当发现而未能及时发现、报告案件及风险的人员。 |
| Article 7 The scope of persons accountable for a case shall be determined based on the duties of relevant posts and business lines, management powers, performance of duties, and other factors. | | 第七条 案件责任人员范围应当根据相关岗位和业务条线的职责内容、管理权限、履职情况等因素予以认定。 |
| Article 8 The accountability for cases involving banking financial institutions shall be enforced under the principles of complying with laws and regulations, seeking truth from facts, matching powers with responsibilities, clarifying responsibilities, and holding relevant persons accountable level by level. | | 第八条 银行业金融机构案件问责应当遵循依法依规、实事求是、杈责对等、责任明确、逐级追究的原则。 |
| Article 9 The work on accountability for cases involving banking financial institutions shall be conducted under the supervision and guidance of the banking regulatory authorities. | | 第九条 银行业金融机构案件问责工作应当接受银行业监督管理机构的监督和指导。 |
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| Chapter II Primary Manners for Enforcing Accountability | | 第二章 问责主要方式 |
| Article 10 The manners for enforcing accountability for cases involving banking financial institutions shall primarily include but not be limited to the following: | | 第十条 银行业金融机构案件问责主要包括但不限于以下方式： |
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| (1) Disciplinary actions: warning, recording a demerit, recording a serious demerit, demotion, removal from office, probation, and dismissal, among others. | | （一）纪律处分：包括警告、记过、记大过、降级、撤职、留用察看、开除等。 |
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(2) Economic punishments: reducing the performance-related pay, lowering the remuneration level, and claiming compensation for economic losses, among others.
．．．．．． | | （二）经济处理：包括扣减绩效工资、降低薪酬级次、要求赔偿经济损失等。
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