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Measures for the Supervision and Administration of China Development Bank [Effective]
国家开发银行监督管理办法 [现行有效]
【法宝引证码】

Order of the China Banking Regulatory Commission 

中国银监会令

(No. 2 [2017]) (2017年第2号)

The Measures for the Supervision and Administration of China Development Bank, as adopted at the 13th chairman's meeting of the China Banking Regulatory Commission in 2017, are hereby issued, and shall come into force on January 1, 2018. 《国家开发银行监督管理办法》已经中国银监会2017年第13次主席会议通过。现予公布,自2018年1月1日起施行。
Chairman: Guo Shuqing 主席:郭树清
November 10, 2017 2017年11月10日
Measures for the Supervision and Administration of China Development Bank 国家开发银行监督管理办法
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of strengthening the supervision and administration of China Development Bank (“CDB”), urging the implementation of the national strategies and policies, regulating the business operations, and effectively preventing and controlling financial risks, these Measures are developed in accordance with the Banking Supervision Law of the People's Republic of China and other laws and regulations.   第一条 为加强对国家开发银行(以下简称开发银行)的监督管理,督促落实国家战略和政策,规范经营行为,有效防控金融风险,根据《中华人民共和国银行业监督管理法》等法律法规制定本办法。
Article 2 CDB shall adhere to operation in compliance with laws and regulations and development in a prudent and robust manner, comply with the laws and regulations of the state, and the rules on prudential operation of the banking industry, strengthen the capital constraint, and realize the long-term sustainable development.   第二条 开发银行应当坚持依法合规经营、审慎稳健发展,遵守国家法律法规、银行业审慎经营规则,强化资本约束,实现长期可持续发展。
Article 3 CDB shall, by closely centering on serving the major medium and long-term national economic development strategies, establish a market-oriented operation and constraint mechanism, and develop itself into a development-oriented financial institution featuring adequate capital, standardized governance, strict internal control, safe operation, high-quality service and superior assets.   第三条 开发银行应当紧紧围绕服务国家经济重大中长期发展战略,建立市场化运行、约束机制,发展成为资本充足、治理规范、内控严密、运营安全、服务优质、资产优良的开发性金融机构。
Article 4 The China Banking Regulatory Commission (“CBRC”) and its local offices shall supervise and administer CDB according to the law.   第四条 中国银行业监督管理委员会(以下简称银监会)及其派出机构依法对开发银行实施监督管理。
Chapter II Marketing Positioning 

第二章 市场定位

Article 5 CDB shall diligently implement the national economic and financial guidelines and policies, make full use of the development-oriented financial functions of serving national strategies and relying on credit support, market operation and meager profit, maximize the role of medium and long-term investment and financing, increase the support for the major economic and social development fields and vulnerable spot, and promote the sustained and sound economic and social development.   第五条 开发银行应当认真贯彻落实国家经济金融方针政策,充分运用服务国家战略、依托信用支持、市场运作、保本微利的开发性金融功能,发挥中长期投融资作用,加大对经济社会重点领域和薄弱环节的支持力度,促进经济社会持续健康发展。
Article 6 CDB shall stick to the development-oriented financial positioning, carry out business according to the service fields and business scope determined according to the law, focus on the development business, and be supplemented by the commercial business.   第六条 开发银行应当坚守开发性金融定位,根据依法确定的服务领域和经营范围开展业务,以开发性业务为主,辅以商业性业务。
Article 7 CDB shall comply with the market order, establish the complementary and cooperative relations with the commercial financial institutions, and actively practice inclusive finance, and may provide financial services for micro and small enterprises and other economic and social vulnerable spots through cooperation with other banking financial institutions.   第七条 开发银行应当遵守市场秩序,与商业性金融机构建立互补合作关系,积极践行普惠金融,可通过与其他银行业金融机构合作,开展小微企业等经济社会薄弱环节金融服务。
Article 8 The board of directors of CDB shall assess the business development every three years or when necessary, develop the plan for adjusting the business scope and business allocation, ensure compliance with the development-oriented financial positioning, and perform the relevant procedures as required.   第八条 开发银行董事会应当每三年或必要时对业务开展情况进行评估,制订业务范围和业务划分调整方案,确保符合开发性金融定位,并按规定履行相关程序。
Chapter III Corporate Governance 

第三章 公司治理

Article 9 The Party committee of CDB shall bring into play the leading role, control the direction, manage the overall situation and ensure the implementation, guarantee and supervise the implementation of the guidelines and policies of the Party and state, and integrate the leadership of the Party into all respects of corporate governance.   第九条 开发银行党委发挥领导作用,把方向、管大局、保落实,保证监督党和国家的方针、政策得到贯彻执行,把党的领导融入公司治理各个环节。
Article 10 CDB shall, in accordance with the rules on modern financial enterprises and in consideration of the characteristics of the development-oriented financial institution, follow the principles of independent operation of, and effective balance, mutual cooperation and coordination among various governance subjects, and establish a corporate governance mechanism characterized by scientific decision-making, effective implementation and effective supervision.   第十条 开发银行应当按照现代金融企业制度,结合开发性金融机构特点,遵循各治理主体独立运作、有效制衡、相互合作、协调运转的原则,构建决策科学、执行有力、监督有效的公司治理机制。
Article 11 The board of directors of CDB consists of executive directors and non-executive directors.   第十一条 开发银行董事会由执行董事、非执行董事组成。
The term “executive directors” means the directors that serve as board chairman, president and other senior executives of CDB. The term “non-executive directors” means directors that do not hold positions in CDB other than director, including directors appointed by ministries and commissions and equity directors. The office of directors appointed by ministries and commissions shall be held concurrently by the persons in charge of the ministries and commissions designated by the relevant ministries and commissions, and equity directors shall be assigned by the shareholder entities. 执行董事指在开发银行担任董事长、行长和其他高级管理职务的董事。非执行董事指在开发银行不担任除董事外其他职务的董事,包括部委董事和股权董事。部委董事由相关部委指派的部委负责人兼任,股权董事由股东单位负责选派。
Article 12 The board of directors shall assume ultimate responsibility for the operation and management, and fulfill functions according to the relevant laws and regulations, and the bylaws of CDB. The main functions shall include, but not be limited to the following matters:   第十二条 董事会对经营和管理承担最终责任,依照相关法律法规和本行章程履行职责。主要职责包括但不限于下列事项:
(1) It shall develop the plans for adjusting the business scope and business allocation, plans for amending the bylaws, plans for adjusting the registered capital and plans for changing the organizational form, and submit them to the State Council for approval according to the procedures. (一)制订业务范围和业务划分调整方案、章程修改方案、注册资本调整方案以及组织形式变更方案,按程序报国务院批准;
(2) It shall deliberate and approve the medium and long-term development strategy, annual work plans, annual business plans and investment plans, annual bond issuance plans, risk appetite letters, capital management plans, plans for setting up the remuneration and performance assessment system, bylaws for internal audit, internal audit agency and annual reports, among others. (二)审议批准中长期发展战略、年度工作计划、年度经营计划和投资方案、年度债券发行计划、风险偏好书、资本管理规划、薪酬和绩效考核体系设置方案、内部审计章程和内部审计机构、年度报告等;
(3) It shall deliberate and approve the major projects, including major mergers and acquisitions, major investments, purchase and disposal of major assets and major external guarantees (excluding bank guarantee business), among others. (三)审议批准重大项目,包括重大收购兼并、重大投资、重大资产购置与处置、重大对外担保(银行担保业务除外)等;
(4) It shall develop the annual financial budget programs and final account programs, and profit distribution and loss recovery plans. (四)制定年度财务预算方案和决算方案、利润分配和弥补亏损方案;
(5) It shall deliberate and approve the risk management, internal control and other basic management rules. (五)审议批准风险管理、内部控制等基本管理制度;
(6) It shall develop the rules of procedure for the board meeting and the plans for the revision thereof. (六)制定董事会议事规则及其修订方案;
(7) It shall deliberate and approve the plans for the establishment of, adjustment to and revocation of the internal management institutions and domestic and overseas tier-one branch offices, make resolutions on the formation, changes in capital fund, etc. of the affiliated institutions, and deliberate the bylaws of the affiliated institutions. (七)审议批准内部管理机构以及境内外一级分支机构设置、调整和撤销方案,对附属机构的设立、资本金变动等作出决议,审议附属机构章程;
(8) It shall make decisions on the authorization matters in respect of the board chairman and operation management, employment or dismissal of senior executives, remuneration, performance assessment, and rewards and punishments of senior executives, and candidates for the positions of directors (including board chairman), supervisors (including chairman of the board of supervisors) and general managers (president) to be dispatched to subsidiaries. (八)决定对董事长和经营管理层的授权事项,决定聘任或解聘高级管理人员,决定高级管理人员薪酬、绩效考核和奖惩事项,决定派驻子公司的董事(含董事长)、监事(含监事长)和总经理(行长)人选;
(9) It shall make decisions on employment, dismissal or no longer renewing the employment of the accounting firm undertaking the audit business of CDB. (九)决定聘用、解聘或者不再续聘承办开发银行审计业务的会计师事务所;
(10) It shall develop the information disclosure policies and rules, and assume the ultimate responsibility for the authenticity, accuracy, completeness and timeliness of the accounting reports and financial statements of CDB. (十)制定信息披露政策及制度,对开发银行会计和财务报告的真实性、准确性、完整性和及时性承担最终责任;
(11) It shall actively maximize the role of external coordination and regularly solicit comments from the commercial financial institutions, enterprises, government departments and other parties. (十一)积极发挥对外协调作用,定期听取商业性金融机构、企业和政府部门等各方意见;
(12) It shall regularly assess and improve corporate governance, and supervise and ensure that the senior management effectively fulfills its management functions. (十二)定期评估并完善公司治理,监督并确保高级管理层有效履行管理职责;
(13) Other functions as prescribed by laws and regulations and assigned by the State Council. (十三)法律法规规定以及国务院赋予的其他职责。
Article 13 A director shall, according to the relevant laws and regulations and the bylaws of CDB, attend at least two-thirds of the board meetings and diligently fulfill his or her functions, and shall not take advantage of his or her position to seek illicit interests. A director shall have the professional knowledge, work experience, competence and professional ethics appropriate to his or her functions.   第十三条 董事应当依照相关法律法规及本行章程,每年至少出席三分之二的董事会会议,认真履行职责,不得利用职位谋取不正当利益。董事应当具有与职责相适应的专业知识、工作经验、工作能力以及职业操守。
Directors appointed by ministries and commissions shall fulfill functions by representing national benefits and maximize the role of overall planning and coordination in major decision-making. A director appointed by a ministry or commission that is unable to attend a board meeting shall authorize in writing another person of the ministry or commission to attend the board meeting on his or her behalf, and specify the scope of authorization; and when a director appointed by a ministry or commission is no longer suitable for continuously fulfilling the functions for retirement, transfer or any other reason, CDB shall request the relevant ministry or commission to recommend a candidate for successor. 部委董事代表国家利益履行职责,发挥在重大决策方面的统筹协调作用。部委董事不能出席董事会会议时,书面授权本部委其他人员代为出席,并载明授权范围;因退休、调离或其他原因不适合继续履职时,由开发银行提请相关部委推荐继任董事人选。
Article 14 The board of directors shall develop the rules on authorization for the senior management, to specify the scope of authorization, authorization limit and requirements for functions, among others.   第十四条 董事会应当建立对高级管理层的授权制度,明确授权范围、授权限额和职责要求等。
Article 15 The board of directors shall set up special committees, mainly including the strategic development and investment management committee, the risk management committee, the audit committee, the personnel and remuneration committee and the affiliated transaction control committee. The strategic development and investment management committee, the audit committee and the personnel and remuneration committee shall, in principle, include directors appointed by ministries and commissions. All special committees shall provide professional advices for the board of directors or make decisions on professional matters upon the authorization of the board of directors, be responsible to the board of directors and assume corresponding liabilities.   第十五条 董事会下设专门委员会,主要包括战略发展和投资管理委员会、风险管理委员会、审计委员会、人事与薪酬委员会、关联交易控制委员会等,其中战略发展和投资管理委员会、审计委员会、人事与薪酬委员会成员原则上应当包含部委董事。各专门委员会向董事会提供专业意见或根据董事会授权就专业事项进行决策,对董事会负责,并承担相应责任。
(1) The strategic development and investment management committee. It shall be mainly responsible for deliberating the long-term development strategy and business management objectives of CDB, and offering business adjustment suggestions. It shall be responsible for supervising and examining the annual business plans, the implementation of the investment programs and the fulfillment of social responsibilities. It shall study the condition of serving the national strategies and supporting policies and offer suggestions on policies to the board of directors. (一)战略发展和投资管理委员会。主要负责审议开发银行长期发展战略和经营管理目标,提出业务调整建议。负责监督检查年度经营计划、投资方案执行情况以及社会责任履行情况。对服务国家战略情况和配套政策进行研究,向董事会提出政策建议。
(2) The risk management committee. It shall mainly be responsible for deliberating the risk management strategies, supervising the senior management's control and comprehensive management of the credit risk, market risk, liquidity risk, operating risk, country risk, interest rate risk in the banking book, reputational risk, information technology risk and other various risks, assessing the risk policies, management conditions and risk tolerance on a regular basis, and offering opinions on improving the risk management and internal control. The members of the risk management committee shall have the experience and capacity of judging and managing various risks. (二)风险管理委员会。主要负责审议风险管理战略,监督高级管理层对信用风险、市场风险、流动性风险、操作风险、国别风险、银行账户利率风险、声誉风险和信息科技风险等各类风险的控制及全面风险管理情况,对风险政策、管理状况及风险承受能力进行定期评估,提出完善风险管理和内部控制的意见。风险管理委员会成员应当具有判断和管理各类风险的经验和能力。
(3) The audit committee. It shall, upon authorization of the board of directors, mainly be responsible for reviewing the important internal audit policies and work reports, and approving the medium- and long-term audit plans and annual audit plans. It shall direct, supervise, assess and evaluate the internal audit work, supervise and evaluate the work of the external auditing agency, and offer suggestions of hiring and replacing an external auditing agency. The members of the audit committee shall have relevant professional knowledge on and work experience in finance, audit and accounting. (三)审计委员会。经董事会授权,主要负责审核内部审计重要政策和工作报告,审批中长期审计规划和年度审计计划。指导、监督、考核和评价内部审计工作,监督和评价外部审计机构工作,提出外部审计机构聘请与更换建议。审计委员会成员应当具有财务、审计、会计等相关专业知识和工作经验。
(4) The personnel and remuneration committee. It shall mainly be responsible for deliberating the incentives and restraints rules and policies, developing the remuneration programs for the executive directors and senior executives, offering suggestions on the remuneration programs to the board of directors, and supervising the implementation of the programs. It shall be responsible for developing the procedures and standards for appointing directors and senior executives, conducting preliminary review of the office qualifications of directors and senior executives, and offering suggestions to the board of directors. (四)人事与薪酬委员会。主要负责审议开发银行激励约束制度和政策,拟定执行董事和高级管理人员的薪酬方案,向董事会提出薪酬方案建议,并监督方案实施。负责拟定董事和高级管理人员的选任程序和标准,对董事和高级管理人员任职资格进行初步审核并向董事会提出建议。
(5) The affiliated transaction control committee. It shall mainly be responsible for the management, examination and approval of the affiliated transactions, controlling the risks in affiliated transactions, and ensuring that the affiliated transactions between CDB and its affiliated institutions are conducted under the principles of honesty, credibility and fairness. (五)关联交易控制委员会。主要负责关联交易的管理、审查和批准,控制关联交易风险,确保开发银行与其附属机构之间的关联交易符合诚实信用及公允原则。
Article 16 The board of supervisors of CDB shall be set up and managed according to the Interim Regulation on the Board of Supervisors of Major State-Owned Financial Institutions, and other relevant laws and regulations , be dispatched by the State Council, and be responsible to the State Council.   第十六条 开发银行监事会依照《国有重点金融机构监事会暂行条例》等有关法律法规设置和管理,由国务院派出,对国务院负责。
The board of supervisors of CDB shall, as the representative of the state, supervise the financial management, asset quality, and value preservation and appreciation of state-owned assets of CDB, supervise the fulfillment of functions and due diligence by the directors and senior executives, and examine and supervise CDB's business decisions, risk management and internal control, among others. 开发银行监事会代表国家对开发银行的财务管理、资产质量及国有资产保值增值情况实施监督,对董事和高级管理人员的履职行为、尽职情况进行监督,对开发银行经营决策、风险管理和内部控制等情况进行检查监督。
The board of supervisors of CDB shall, during the process of fulfilling functions, have the right to request the board of directors and senior management to provide necessary information, mainly including the audit reports, internal control assessment reports and major risk event reports. The chairman of the board of supervisors may, according to the needs of supervision and inspection, attend or appoint another member of the board of supervisors to attend the board meetings and other relevant meetings as a nonvoting delegate, and may hire an external agency to provide professional assistance in relevant work. 开发银行监事会在履职过程中有权要求董事会和高级管理层提供必要信息,主要包括审计报告、内控评价报告和重大风险事件报告等。监事会主席根据监督检查的需要,可以列席或者委派监事会其他成员列席董事会会议和其他有关会议,可以聘请外部机构就相关工作提供专业协助。
Article 17 The senior management shall consist of the president, vice president(s), secretary of the board of directors of the head office and other senior executives approved by the CBRC. CDB may, according to the business management needs, set up such positions as chief risk officer, chief audit officer, chief financial officer, and chief information officer to assist the president.   第十七条 高级管理层由总行行长、副行长、董事会秘书以及银监会行政许可的其他高级管理人员组成。开发银行根据经营管理需要可设置首席风险官、首席审计官、首席财务官、首席信息官等职位协助行长工作。
The senior management shall, according to the bylaws of CDB and upon the authorization of the board of directors, carry out business management activities and be responsible to the board of directors. 高级管理层按照本行章程及董事会授权开展经营管理活动,对董事会负责。
Chapter IV Risk Management 

第四章 风险管理

Article 18 CDB shall, under the principles of clear division of responsibilities, specific functions, mutual balance and efficient operation, establish a comprehensive risk management system compatible with development-oriented finance and covering various types of risks and businesses, develop and improve the risk management rules, and establish an effective risk management mechanism to ensure that all types of business risks are effectively identified, measured, monitored and controlled.
......
   第十八条 开发银行应当按照分工明确、职责清晰、相互制衡、运行高效的原则构建与开发性金融相适应、覆盖各类风险和业务的全面风险管理体系,制定完善风险管理制度,构建有效的风险管理机制,确保各类业务风险得到有效的识别、计量、监测、控制。
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