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Provisions on the Administration of the Office Qualifications for the Directors, Supervisors and Senior Executives of Insurance Companies (2014 Amendment) [Revised]
保险公司董事、监事和高级管理人员任职资格管理规定(2014修改) [已被修订]
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Provisions on the Administration of the Office Qualifications for the Directors, Supervisors and Senior Executives of Insurance Companies 

保险公司董事、监事和高级管理人员任职资格管理规定

(Issued by the China Insurance Regulatory Commission on January 8, 2010, and amended according to the Decision of the China Insurance Regulatory Commission on Amending the Provisions on the Administration of the Office Qualifications for the Directors, Supervisors and Senior Executives of Insurance Companies on January 23, 2014, Order No. 1 [2014], CIRC) (2010年1月8日中国保险监督管理委员会发布 根据2014年1月23日保监会令2014年第1号《中国保险监督管理委员会关于修改<保险公司董事、监事和高级管理人员任职资格管理规定>的决定》修改)

 

第一章 总 则

Chapter I General Provisions 
   第一条 为了加强和完善对保险公司董事、监事和高级管理人员的管理,保障保险公司稳健经营,促进保险业健康发展,根据《中华人民共和国保险法》(以下简称《保险法》)和有关法律、行政法规,制定本规定。
Article 1 For the purposes of strengthening and enhancing the administration of the directors, supervisors, and senior executives of insurance companies, ensuring the stable and solid operations of insurance companies, and promoting the sound development of the insurance industry, these Provisions are developed in accordance with the Insurance Law of the People's Republic of China (hereinafter referred to as the “Insurance Law”) and other relevant laws and administrative regulations. 
   第二条 中国保险监督管理委员会(以下简称中国保监会)根据法律和国务院授权,对保险公司董事、监事和高级管理人员任职资格实行统一监督管理。
Article 2 The China Insurance Regulatory Commission (hereinafter referred to as the “CIRC”) shall, as empowered by the law and the State Council, conduct the unified supervision and administration of the office qualifications for the directors, supervisors, and senior executives of insurance companies. 中国保监会的派出机构根据授权负责辖区内保险公司分支机构高级管理人员任职资格的监督管理,但中资再保险公司分公司和境外保险公司分公司除外。
The local offices of the CIRC shall, as authorized, supervise and administer the office qualifications for the senior executives of the branch offices of insurance companies within their respective jurisdictions, except for the branches of Chinese-funded reinsurance companies and the branches of overseas insurance companies. 
   第三条 本规定所称保险公司,是指经保险监督管理机构批准设立,并依法登记注册的商业保险公司。
Article 3 For the purposes of these Provisions, “insurance companies” means commercial insurance companies formed with the approval of the insurance regulatory authorities and registered according to the law. 本规定所称保险公司分支机构,是指经保险监督管理机构批准,保险公司依法设立的分公司、中心支公司、支公司、营业部和营销服务部以及各类专属机构。
“Branch offices of insurance companies” means branches, central sub-branches, sub-branches, business departments, marketing service departments, and various special-purpose institutions legally formed by insurance companies with the approval of the insurance regulatory institutions. 专属机构高级管理人员任职资格管理和营销服务部负责人的任职管理,由中国保监会另行规定。
The provisions on the administration of the office qualifications for the senior executives of special-purpose institutions and the persons in charge of marketing service departments shall be developed by the CIRC additionally. 本规定所称保险机构,是指保险公司及其分支机构。
“Insurance institution” means an insurance company or any of its branch offices. 
   第四条 本规定所称高级管理人员,是指对保险机构经营管理活动和风险控制具有决策权或者重大影响的下列人员:
Article 4 For the purposes of these Provisions, “senior executives” means the following persons who have the decision-making power or have a significant impact on the business management and risk control of an insurance institution: 
 (一)总公司总经理、副总经理和总经理助理;
(1) The general manager, deputy general managers, and assistant general managers of the head office. 
 (二)总公司董事会秘书、合规负责人、总精算师、财务负责人和审计责任人;
(2) The secretary for the board of directors, chief compliance officer, chief actuary, chief financial officer, and chief auditor of the head office. 
 (三)分公司、中心支公司总经理、副总经理和总经理助理;
(3) The general manager, deputy general managers, and assistant general managers of a branch or a central sub-branch. 
 (四)支公司、营业部经理;
(4) The manager of a sub-branch or a business department. 
 (五)与上述高级管理人员具有相同职权的管理人员。
(5) An executive who has the same power as any of the aforesaid senior executives. 
   第五条 保险机构董事、监事和高级管理人员,应当在任职前取得中国保监会核准的任职资格。
Article 5 A director, supervisor, or senior executive of an insurance institution shall, before holding the office, be confirmed by the CIRC to satisfy the office qualifications. 

 

第二章 任职资格条件

Chapter II Office Qualifications 
   第六条 保险机构董事、监事和高级管理人员应当遵守法律、行政法规和中国保监会的有关规定,遵守保险公司章程。
Article 6 The directors, supervisors, and senior executives of an insurance institution shall abide by laws, administrative regulations, and relevant rules of the CIRC, and comply with the bylaws of the insurance company. 
   第七条 保险机构董事、监事和高级管理人员应当具有诚实信用的品行、良好的合规经营意识和履行职务必需的经营管理能力。
Article 7 The directors, supervisors, and senior executives of an insurance institution shall be honest and trustworthy, have a good awareness of regulatory compliance in operations, and have the business management ability required for performing their respective functions. 
   第八条 保险机构董事、监事和高级管理人员应当通过中国保监会认可的保险法规及相关知识测试。
Article 8 The directors, supervisors, and senior executives of an insurance institution shall pass the examinations on insurance laws and regulations and related knowledge as recognized by the CIRC. 
   第九条 保险公司董事长应当具有金融工作5年以上或者经济工作10年以上工作经历。
Article 9 The chairman of the board of directors of an insurance company shall have five or more years of financial work experience or ten or more years of economic work experience. 保险公司董事和监事应当具有5年以上与其履行职责相适应的工作经历。
The director or supervisor of an insurance company shall have five or more years of work experience appropriate for performing his or her functions. 
   第十条 保险公司董事会秘书应当具有大学本科以上学历以及5年以上与其履行职责相适应的工作经历。
Article 10 The secretary for the board of directors of an insurance company shall have a university diploma at or above the undergraduate course level and have five or more years of work experience appropriate for performing his or her functions. 
   第十一条 保险公司总经理、副总经理和总经理助理应当具有下列条件:
Article 11 The general manager, deputy general manager, or assistant general manager of an insurance company shall satisfy the following qualifications: 
 (一)大学本科以上学历或者学士以上学位;
(1) Having a university diploma at or above the undergraduate course level or a bachelor's degree or above. 
 (二)从事金融工作8年以上或者经济工作10年以上。
(2) Having eight or more years of financial work experience or ten or more years of economic work experience. 保险公司总经理除具有前款规定条件外,还应当具有下列任职经历之一:
In addition to the qualifications in the preceding paragraph, the general manager of an insurance company shall have any of the following office experience: 
 (一)担任保险公司分公司总经理以上职务高级管理人员5年以上;
(1) Having five or more years of experience as a senior executive of a branch of an insurance company at or above the general manager level. 
 (二)担任保险公司部门负责人5年以上;
(2) Having five or more years of experience as the head of a department of an insurance company. 
 (三)担任金融监管机构相当管理职务5年以上;
(3) Having five or more years of experience of holding an equivalent managerial office in a financial regulatory authority. 
 (四)其它足以证明其具有拟任职务所需知识、能力、经验的职业资历。
(4)Having other professional credentials sufficient to prove that he or she possesses the knowledge, ability, and experience required for the office to be held. 
   第十二条 保险公司省级分公司总经理、副总经理和总经理助理应当具有下列条件:
Article 12 The general manager, deputy general manager, or assistant general manager of a provincial branch of an insurance company shall satisfy the following qualifications: 
 (一)大学本科以上学历或者学士以上学位;
(1) Having a university diploma at or above the undergraduate course level or a bachelor's degree or above. 
 (二)从事金融工作5年以上或者经济工作8年以上。
(2) Having five or more years of financial work experience or eight or more years of economic work experience. 保险公司省级分公司总经理除具有前款规定条件外,还应当具有下列任职经历之一:
In addition to the qualifications in the preceding paragraph, the general manager of a provincial branch of an insurance company shall have any of the following office experience: 
 (一)担任保险公司中心支公司总经理以上职务高级管理人员3年以上;
(1) Having three or more years of experience as a senior executive of a central sub-branch of an insurance company at or above the general manager level. 
 (二)担任保险公司省级分公司部门负责人以上职务3年以上;
(2) Having three or more years of experience of holding an office at or above the level of the head of a department of a provincial branch of an insurance company. 
 (三)担任其他金融机构高级管理人员3年以上;
(3) Having three or more years of experience as a senior executive of any other financial institution. 
 (四)担任国家机关、大中型企业相当管理职务5年以上;
(4) Having five or more years of experience of holding an equivalent managerial office in a state authority or a large- or medium-sized enterprise. 
 (五)其他足以证明其具有拟任职务所需知识、能力、经验的职业资历。
(5) Having other professional credentials sufficient to prove that he or she possesses the knowledge, ability, and experience required for the office to be held. 保险公司在计划单列市设立的行使省级分公司管理职责的分公司,其高级管理人员的任职条件参照适用前两款规定。
The provisions of the preceding two paragraphs shall apply, mutatis mutandis, to the office qualifications for the senior executives of a branch formed by an insurance company in a city under separate state planning to exercise the managerial functions of a provincial branch. 
   第十三条 保险公司分公司、中心支公司总经理、副总经理和总经理助理应当具有下列条件:
Article 13 The general manager, deputy general manager, or assistant general manager of a branch or a central sub-branch of an insurance company shall satisfy the following qualifications: 
 (一)大学本科以上学历或者学士以上学位;
(1) Having a university diploma at or above the undergraduate course level or a bachelor's degree or above. 
 (二)从事金融工作3年以上或者从事经济工作5年以上。
(2) Having three or more years of financial work experience or five or more years of economic work experience. 保险公司分公司、中心支公司总经理除具有前款规定条件外,还应当具有下列任职经历之一:
In addition to the qualifications in the preceding paragraph, the general manager of a branch or a central sub-branch of an insurance company shall have any of the following office experience: 
 (一)担任保险机构高级管理人员2年以上;
(1) Having two or more years of experience as a senior executive of an insurance institution. 
 (二)担任保险公司分公司、中心支公司部门负责人以上职务2年以上;
(2) Having two or more years of experience of holding an office at or above the level of the head of a department of a branch or a central sub-branch of an insurance company. 
 (三)担任其他金融机构高级管理人员2年以上;
(3) Having two or more years of experience as a senior executive of any other financial institution. 
 (四)担任国家机关、大中型企业相当管理职务3年以上;
(4) Having three or more years of experience of holding an equivalent managerial office in a state authority or a large- or medium-sized enterprise. 
 (五)其他足以证明其具有拟任职务所需知识、能力、经验的职业资历。
(5) Having other professional credentials sufficient to prove that he or she possesses the knowledge, ability, and experience required for the office to be held. 
   第十四条 保险公司支公司、营业部经理应当具有保险工作3年以上或者经济工作5年以上的工作经历。
Article 14 The manager of a sub-branch or a business department of an insurance company shall have three or more years of insurance work experience or five or more years of economic work experience. 
   第十五条 保险机构拟任董事长和高级管理人员具有硕士以上学位的,其任职条件中从事金融工作或者经济工作的年限可以减少2年。
Article 15 Where the person to serve as the chairman of the board of directors or a senior executive of an insurance institution has a master's degree or above, the length of financial or economic work experience in his or her office qualifications may be reduced by two years. 
   第十六条 保险机构拟任高级管理人员符合下列条件之一的,其任职条件中的学历要求可以放宽至大学专科:
Article 16 Where the person to serve as a senior executive of an insurance institution meets any of the following conditions, the university diploma required in his or her office qualifications may be a junior college diploma: 
 (一)从事保险工作8年以上;
(1) Having eight or more years of insurance work experience. 
 (二)从事法律、会计或者审计工作8年以上;
(2) Having eight or more years of work experience in law, accounting, or audit. 
 (三)在金融机构、大中型企业或者国家机关担任管理职务8年以上;
(3) Having eight or more years of experience of holding a managerial office in a financial institution, large- or medium-sized enterprise, or state authority. 
 (四)取得注册会计师、法律职业资格或者中国保监会认可的其它专业资格;
(4) Holding a certified public accountant or a legal profession qualification or any other professional qualification recognized by the CIRC. 
 (五)在申报任职资格前3年内,个人在经营管理方面受到保险公司表彰;
(5) Being commended as an individual by an insurance company for his or her business management performances, in the three years before the filing of an application for confirmation of his or her satisfaction of office qualifications. 
 (六)在申报任职资格前5年内,个人获得中国保监会或者地市级以上政府表彰;
(6) Being commended as an individual by the CIRC or the government at or above the prefecture level, in the five years before the filing of an application for confirmation of his or her satisfaction of office qualifications. 
 (七)拟任艰苦边远地区高级管理人员。
(7) To serve as a senior executive in a harsh, remote, or border region. 
   第十七条 保险机构主持工作的副总经理或者其它高级管理人员任职资格核准,适用本规定同级机构总经理的有关规定。
Article 17 The confirmation of satisfaction of the office qualifications for a deputy general manager or any other senior executive who presides over the work of an insurance institution shall be governed by the relevant provisions of these Provisions on the general manager of the institution at the same level. 
   第十八条 境外保险公司分公司高级管理人员任职资格核准,适用本规定保险公司总公司高级管理人员的有关规定。
Article 18 The confirmation of satisfaction of the office qualifications for the senior executives of a branch of an overseas insurance company shall be governed by the relevant provisions of these Provisions on the senior executives of the head office of an insurance company. 
   第十九条 保险机构应当与高级管理人员建立劳动关系,订立书面劳动合同。
Article 19 An insurance institution shall establish employment relationships with its senior executives by entering into written labor contracts with them. 
   第二十条 保险机构高级管理人员兼任其它经营管理职务应当遵循下列规定:
Article 20 A senior executive of an insurance institution who concurrently holds any other business management office shall comply with the following provisions: 
...... (一)不得违反《中华人民共和国公司法》(以下简称《公司法》)等国家有关规定;
 ......

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