| Notice of the General Office of the China Banking Regulatory Commission on Further Effectively Ensuring the Corrective Action and Accountability with Respect to the Follow-Up Inspection of "Tightening Internal Control and External Regulation and Curbing Irregular Operations, Violations, and Crime" | | 中国银行业监督管理委员会办公厅关于进一步做好“两个加强、两个遏制”回头看整改问责工作的通知 |
| (No. 38 [2017] of the General Office of the China Banking Regulatory Commission) | | （银监办发[2017]38号） |
| All local offices of the China Banking Regulatory Commission ("CBRC"); all departments of the CBRC; all policy banks, large-sized banks, and joint-stock banks; postal savings banks; foreign-funded banks; and financial asset management companies: | | 各银监局，机关各部门，各政策性银行、大型银行、股份制银行，邮 储银行，外资银行，金融资产管理公司： |
| For the purposes of consolidating the achievements in the follow-up inspection of "tightening internal control and external regulation and curbing irregular operations, violations, and crime" (hereafter referred to as the "follow-up inspection"), according to the arrangements of the CBRC for the work in 2017, you are hereby notified of further effectively ensuring the corrective action and accountability with respect to the follow-up inspection. | | 为深化“两个加强、两个遏制”回头看（以下简称“回头看”）工作成果，按照银监会2017年工作部署，现就进一步做好“回头看”整改问责工作通知如下。 |
| I. Main tasks | | 一、主要任务 |
| The corrective action and accountability are an integral part of the follow-up inspection and the embodiment of the final achievements in the follow-up inspection. Whether the corrective action and accountability can be effectively effected is relevant to whether the building of regulatory capability is continuously intensified, whether the internal control of banking financial institutions has been effectively improved, and whether irregular operations, violations, and crime have been effectively contained. Banking financial institutions and the regulatory authorities at all levels shall fully understand the importance of the work, implement the top leader responsibility system in an escalating manner, carry out the work seriously, and conduct the advancement in a down-to-earth manner, so as to ensure actual effect. | | 整改问责工作是“回头看”工作的重要组成部份，是“回头看”工作的最终成果体现。能否切实做好整改问责工作，关涉监管能力建设是否持续得到加强，关涉银行业金融机构内部管控是否得到有效完善、违规经营与违法犯罪是否得到有效遏制。银行业金融机构和各级监管部门要充分认识此项工作的重要性，逐级实行一把手负责制，严肃开展，扎实推进，确保实效。 |
| 1. Conscientiously procuring the corrective action and accountability | | （一）认真整改问责 |
| Banking financial institutions and the regulatory authorities at all levels shall, according to the problems list and corrective action ledgers in relation to the earmarked follow-up inspection, procure corrective action and accountability comprehensively and on an entry-by-entry basis to ensure effective corrective action, corrections, resolution, and punishment. Banking financial institutions shall assume the primary responsibility for risk management and control, and the regulatory authorities at all levels shall assume the primary responsibility for risk regulation and earnestly heighten their awareness of responsibility so as to ensure the assumption of responsibility, fulfillment of duties, and enforcement of the accountability for negligence of duties. | | 银行业金融机构和各级监管部门要对照本次“回头看”专项工作的问题清单和整改台账，全面、逐条开展整改问责，做到整改纠正到位、处理处罚到位。银行业金融机构要承担风险管控的主体责任，各级监管部门要承担风险监管的主体责任，切实强化责任意识，做到“守土有责、履职负责、失职问责”。 |
| The final results of the corrective action and accountability work shall be in principle not less impressive than those in the corrective action ledger and accountability proposal developed previously. If the corrective action and accountability are not effected in respect of problems discovered in the follow-up inspection, the reasons shall be stated in detail on a problem-by-problem basis; and if the accountability and punishment are not as effective as contemplated in the original proposal, the regulatory authorities in all level shall adhere to the awareness of assumption of responsibility for "daring to draw their swords, reveal cases, and deal with the difficulties," and intensify punishment as required by the latest situation of banking regulation, so as to serve as the watchdogs reassuring the country and the people. | | 本次整改问责工作的最终结果原则上不低于前期制定的整改台账和问责方案。对于“回头看”工作中发现问题不予进行整改问责的，要逐条详细说明原因；对原有方案中问责处罚不到位的，各级监管部门要坚持“敢于亮剑、敢于揭盖子、敢于硬碰硬”的责任担当意识，按照银行业监管的最新形势要求加大处罚力度，做让国家和人民放心的看门人和守夜人。 |
| 2. Take powerful measures | | （二）采取有力措施 |
| First, if banking financial institutions discover problems in self-inspection but bring about ineffective corrective action and accountability, the regulatory authorities at all levels shall take measures in accordance with the law; and if repeat non-compliance is discovered in inspections, or the corrective action and accountability in respect of serious irregularities are ineffective, downgrading regulatory ratings, restricting market access, raising the frequency of on-site inspections, and other comprehensive regulatory measures shall be taken. | | 一是对银行业金融机构自查发现问题整改问责不到位的，各级监管部门要依法采取措施；对于屡查屡犯、违规问题严重且整改问责不力的，要采取下调监管评级、限制市场准入、加大现场检查频率等综合监管措施。 |
Second, the regulatory authorities at all levels shall resolve and punish the problems found in the regulatory inspection. For serious irregularities and problems with hidden risks or leading to cases, relevant institutions, related responsible persons, and irregularities shall be punished, and illegal income shall be confiscated, so as to ensure whatever and whoever are punishable are punished.
．．．．．． | | 二是各级监管部门对监管检查发现的问题要依法处理处罚。对于严重违规、存在重大风险隐患或发生案件的问题，既要处理相关机构也要处理相关责任人、既要处罚违规行为也要罚没违法收入，切实做到应处必处，应罚尽罚。
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