| Order of the China Banking Regulatory Commission | | 中国银监会令 |
| (No. 4 [2017]) | | （2017年第4号） |
| The Measures for the Supervision and Administration of the Agricultural Development Bank of China, as adopted at the 8th chairman's meeting of the China Banking Regulatory Commission in 2017, are hereby issued, and shall come into force on January 1, 2018. | | 《中国农业发展银行监督管理办法》已经中国银监会2017年第8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 9, 2017 | | 2017年11月9日 |
| Measures for the Supervision and Administration of the Agricultural Development Bank of China | | 中国农业发展银行监督管理办法 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of strengthening the supervision and administration of the Agricultural Development Bank of China (“ADBC”), urging the implementation of the national strategies and policies, regulating the business operations, and 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 为加强对中国农业发展银行（以下简称农发行）的监督管理，督促落实国家战略和政策，规范经营行为，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 The ADBC 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 financial institutions, strengthen capital constraint, and realize the long-term sustainable development. | | 第二条 农发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、银行业金融机构审慎经营规则，强化资本约束，实现长期可持续发展。 |
| Article 3 The ADBC shall, by closely centering on serving the national strategies, establish a market-oriented operation and constraint mechanism, and develop itself into a policy-based financial institution featuring specific positioning, prominent functions, clear business, adequate capital, standardized governance, strict internal control, safe operation and good services. | | 第三条 农发行应当紧紧围绕服务国家战略，建立市场化运行、约束机制，发展成为定位明确、功能突出、业务清晰、资本充足、治理规范、内控严密、运营安全、服务良好的政策性金融机构。 |
| Article 4 The China Banking Regulatory Commission (“CBRC”) and its local offices shall supervise and administer the ADBC 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农发行实施监督管理。 |
| Chapter II Marketing Positioning | | 第二章 市场定位 |
| Article 5 The ADBC shall rely on the credit of the state and serve the key fields and weak links of economic and social development. It shall mainly serve such fields as protection of national food security, poverty alleviation, implementation of the strategy of rural rejuvenation, promotion of modernization of agriculture and rural areas, and improvement of rural infrastructure construction, and maximize its main role and backbone role in the rural financial system. | | 第五条 农发行应当依托国家信用，服务经济社会发展的重点领域和薄弱环节。主要服务维护国家粮食安全、脱贫攻坚、实施乡村振兴战略、促进农业农村现代化、改善农村基础设施建设等领域，在农村金融体系中发挥主体和骨干作用。 |
| Article 6 The ADBC shall stick to the policy-based financial positioning, and carry out policy-based business and proprietary trading according to the service fields and business scope determined according to the law. | | 第六条 农发行应当坚守政策性金融定位，根据依法确定的服务领域和经营范围开展政策性业务和自营性业务。 |
| Article 7 The ADBC shall insist on carrying out business activities dominated by the policy-based business, follow the market order, and establish complementary cooperative relationships with commercial financial institutions. | | 第七条 农发行应当坚持以政策性业务为主体开展经营活动，遵守市场秩序，与商业性金融机构建立互补合作关系。 |
| Article 8 The ADBC shall innovate on the financial service mode, maximize the policy-based financial role, strengthen and improve the inclusive financial services in rural areas, and provide financial services for micro and small enterprises and microfinance for poverty alleviation by means of cooperating with other banking financial institutions. | | 第八条 农发行应当创新金融服务模式，发挥政策性金融作用，加强和改进农村地区普惠金融服务，可通过与其他银行业金融机构合作的方式开展小微企业金融服务和扶贫小额信贷业务。 |
| Article 9 The board of directors of the ADBC shall, every three years or when necessary, develop plans for adjusting the business scope and business allocation, and perform the relevant procedures as required. | | 第九条 农发行董事会应当每三年或必要时制订业务范围及业务划分调整方案，按规定履行相关程序。 |
| Chapter III Corporate Governance | | 第三章 公司治理 |
| Article 10 The Party committee of the ADBC 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. | | 第十条 农发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 11 The ADBC shall establish a corporate governance structure consisting of the board of directors, the senior management and the board of supervisors, follow the basic 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. | | 第十一条 农发行应当构建由董事会、高级管理层和监事会组成的公司治理架构，遵循各治理主体独立运作、有效制衡、相互合作、协调运转的基本原则，形成决策科学、执行有力、监督有效的公司治理机制。 |
| Article 12 The board of directors of the ADBC consists of executive directors and non-executive directors. | | 第十二条 农发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 the ADBC. The term “non-executive directors” means directors that do not hold positions in the ADBC 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. | | 执行董事指在农发行担任董事长、行长和其他高级管理职务的董事。非执行董事指在农发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 13 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 the ADBC. The main functions shall include, but not be limited to the following matters: | | 第十三条 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）制订业务范围及业务划分调整方案、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 business plans and investment plans, annual bond issuance plans, capital management plans, plans for the issuance of capital replenishment instruments and plans for setting up the remuneration and performance assessment system, among others. | | （二）审议批准中长期发展战略、年度经营计划和投资方案、年度债券发行计划、资本管理规划方案、资本补充工具发行方案、薪酬和绩效考核体系设置方案等； |
| (3) It shall develop the annual financial budget programs and final account programs, and profit distribution and loss recovery plans. | | （三）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； |
| (4) It shall deliberate and approve the risk management, internal control and other basic management rules. | | （四）审议批准风险管理、内部控制等基本管理制度； |
| (5) It shall deliberate and approve the internal audit bylaws, institution and annual work plans. | | （五）审议批准内部审计章程、机构和年度工作计划； |
| (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 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. | | （七）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； |
| (8) 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, division, combination, changes in capital fund, and other matters of the tier-one subsidiary banks (subsidiary companies), and deliberate the bylaws of the subsidiaries. | | （八）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，对一级子行（子公司）的设立、分立、合并、资本金变动等事项作出决议，审议子公司章程； |
| (9) 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. | | （九）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； |
| (10) It shall make decisions on employment, dismissal or no longer renewing the employment of the accounting firm undertaking the audit business of the ADBC. | | （十）决定聘用、解聘或者不再续聘承办农发行审计业务的会计师事务所； |
| (11) It shall develop the information disclosure policies and rules, and deliberate and approve the annual reports. | | （十一）制定信息披露政策及制度，审议批准年度报告； |
| (12) It shall actively maximize the role of inter-ministerial coordination and regularly solicit comments from the commercial financial institutions, enterprises, government departments and other parties. | | （十二）积极发挥部际协调作用，定期听取商业性金融机构、企业和政府部门等各方意见； |
| (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 14 The board of directors shall bring into full play its role in implementing the state policies, developing business strategies, improving corporate governance, developing risk management and capital management strategies, and making decisions on major items and other respects, and supervise and ensure that the senior management effectively performs its management functions. | | 第十四条 董事会应当充分发挥在落实国家政策、制定经营战略、完善公司治理、制定风险管理及资本管理战略、决策重大项目等方面的作用，监督并确保高级管理层有效履行管理职责。 |
| Article 15 A director shall, in accordance with the relevant laws and regulations, and the bylaws of the bank, perform his or her functions with diligence. A director shall attend at least two thirds of meetings of the board of directors each year. | | 第十五条 董事应当依照相关法律法规及本行章程，勤勉专业履职。董事每年应当至少出席三分之二的董事会会议。 |
| 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 meeting on his or her behalf; and in the event of leaving a post, transferring to another post or retirement and other circumstances under which the director appointed by a ministry or commission is unsuitable to continuously perform the functions, the board of directors shall, in a timely manner, request the dispatching ministry or commission to determine a 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；出现离职、调任或退休等不适合继续履职情况的，由董事会及时提请派出部委确定继任人选。 |
| Article 16 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, in respect of the senior management. | | 第十六条 董事会应当建立对高级管理层的授权制度，明确对高级管理层的授权范围、授权限额和职责要求等。 |
| Article 17 The board of directors shall set up special committees to be responsible for providing professional advices for the board of directors or making decisions on professional matters upon authorization of the board of directors. Special committees mainly include 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 include directors appointed by ministries and commissions. | | 第十七条 董事会下设专门委员会，负责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。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应当包含部委董事。 |
| (1) The strategic development and investment management committee. It shall be responsible for developing the business management objectives and long-term development strategies of the ADBC, supervising and inspecting the implementation of the annual business plans and investment plans, conducting research on the implementation of the policy-based business and supporting policies, and offering policy suggestions to the board of directors. | | （一）战略发展和投资管理委员会。负责制定农发行经营管理目标和长期发展战略，监督、检查年度经营计划、投资方案的执行情况，对政策性业务开展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 be responsible for 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 management policies, management conditions and risk tolerance on a regular basis, and offering opinions on improving the risk management and internal control. | | （二）风险管理委员会。负责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，并对风险管理政策、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。 |
| (3) The audit committee. It shall, upon authorization of the board of directors, be responsible for reviewing the bylaws of internal audit and other important rules and work reports, and approving the medium- and long-term audit plans and annual audit plans. It shall direct, assess and evaluate the internal audit work, examine the risks and compliance situation, accounting policies, financial reporting procedures and financial status, and offer suggestions of hiring and replacing an external auditing agency. | | （三）审计委员会。经董事会授权，负责审核内部审计章程等重要制度和工作报告，审批中长期审计规划和年度审计计划。指导、考核和评价内部审计工作，检查风险及合规状况、会计政策、财务报告程序和财务状况，提出外部审计机构聘请与更换建议。 |
| (4) The personnel and remuneration committee. 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. It shall be responsible for deliberating the remuneration management 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. | | （四）人事与薪酬委员会。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。负责审议全行薪酬管理制度和政策，拟定执行董事和高级管理层成员的薪酬方案，向董事会提出薪酬方案建议，并监督方案实施。 |
| (5) The affiliated transaction control committee. It shall be responsible for the management, examination and approval of the affiliated transactions, and controlling the risks in affiliated transactions. | | （五）关联交易控制委员会。负责关联交易的管理、审查和批准，控制关联交易风险。 |
| Article 18 The members of a special committee shall have the professional knowledge and work experience commensurate with the functions of the special committee. In principle, a person in charge of a special committee shall not serve as the person in charge of another special committee concurrently. | | 第十八条 专门委员会成员应当具有与专门委员会职责相适应的专业知识和工作经验。各专门委员会负责人原则上不宜相互兼任。 |
| The members of the audit committee shall have professional knowledge on and work experience in finance, audit and accounting. The person in charge of the risk management committee shall have experience in judging and managing various risks. | | 审计委员会成员应当具有财务、审计和会计等专业知识和工作经验。风险管理委员会负责人应当具有对各类风险进行判断与管理的经验。 |
| Article 19 The board of supervisors of the ADBC shall be set up and managed according to the Interim Regulation on the Board of Supervisors of Major State-Owned Financial Institutions, and relevant laws and regulations, be dispatched by the State Council, and be responsible to the State Council. | | 第十九条 农发行监事会依照《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。 |
| Article 20 The board of supervisors of the ADBC shall fulfill the functions in accordance with the Interim Regulation on the Board of Supervisors of Major State-Owned Financial Institutions, and other laws and regulations, supervise the ADBC's asset quality and preservation and appreciation of the ADBC's state-owned assets on behalf of the state, supervise and evaluate the performance of functions and due diligence of directors and senior executives, direct the work of the internal audit department, supervision department and other internal supervision departments of the ADBC, have the right to request the aforesaid internal supervision departments to assist the board of supervisors in fulfilling the functions of supervision and inspection, supervise and inspect decision-making for operation, risk management and internal control, among others, and urge the rectification. | | 第二十条 农发行监事会依照《国有重点金融机构监事会暂行条例》等法律法规履行职责，代表国家对农发行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履职行为和尽职情况进行监督和评价，指导农发行内部审计和监察等内部监督部门的工作，并有权要求上述内部监督部门协助监事会履行监督检查职责，对经营决策、风险管理和内部控制等情况进行监督检查并督促整改。 |
| The board of supervisors 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. | | 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 21 The senior management shall consist of president, vice president(s), assistant to president, board secretary and other senior executives subject to administrative licensing of the CBRC. In light of the actual needs, such positions of senior executives as chief financial officer, chief risk officer, chief auditor, and chief information officer may be set up. To replace the chief risk officer, the ADBC shall obtain the approval of the board of directors and report the reasons for replacement to the CBRC.
．．．．．． | | 第二十一条 高级管理层由行长、副行长、行长助理、董事会秘书及银监会行政许可的其他高级管理人员组成，可根据实际需要设置首席财务官、首席风险官、首席审计官、首席信息官等高级管理人员职位。农发行调整首席风险官应当得到董事会批准，并向银监会报告调整原因。
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