Circular of the SAFE on Organizing Special Inspection of Banks for Foreign Exchange Compliance | | 国家外汇管理局关于组织开展银行外汇业务合规经营专项检查的通知 |
| No. 55 [2014] of the State Administration of Foreign Exchange | | （汇发[2014]55号） |
| Industrial and Commercial Bank of China Limited (ICBC), Agricultural Bank of China Limited (ABC), Bank of China Limited (BOC), China Construction Bank Corporation (CCB), Bank of Communications Co., Ltd., China CITIC Bank Corporation Limited (CITIC) and China Merchants Bank Co., Ltd. (CMB): | | 中国工商银行股份有限公司、中国农业银行股份有限公司、中国银行股份有限公司、中国建设银行股份有限公司、交通银行股份有限公司、中信银行股份有限公司、招商银行股份有限公司： |
| To enhance internal controls and external supervision of banks, promote banks to enhance their foreign exchange compliance and curb foreign exchange incompliance and illegalities, the State Administration of Foreign Exchange (SAFE) decides to organize a special inspection of banks for foreign exchange compliance soon. The relevant particulars are hereby notified as follows: | | 为强化银行内部管控和外部监管，促进银行提高外汇业务合规经营水平，遏制外汇业务违规经营和违法犯罪行为，国家外汇管理局（以下简称外汇局）决定近期组织开展银行外汇业务合规性专项检查，现将有关事项通知如下： |
| I. Purposes of Inspection | | 一、检查目的 |
| (I) Identify the typical problems and hidden risks in banks' foreign exchange business and prevent and mitigate risks to make sure systematic and regional risks do not occur. | | （一）查找银行外汇业务经营中存在的突出问题和风险隐患，防范化解风险，坚守不发生系统性、区域性风险底线。 |
| (II) Identify banks' deficiency in implementing policies and regulations on foreign exchange administration, and promote banks to enhance internal controls and their foreign exchange compliance. | | （二）查找银行执行外汇管理政策法规的薄弱环节，促进银行加强内部管控，提高外汇业务合规经营水平。 |
| (III) Focus on identifying banks' illegitimate cross-market, cross-industry and cross-border arbitrages, and evasion or violation of regulatory rules with innovative foreign exchange products such as financial derivatives transactions and emerging foreign exchange settlement and sales on behalf of customers. | | （三）重点查处银行跨市场、跨行业及跨境违规套利行为，利用银行代客金融衍生品交易、结售汇新兴业务等外汇业务创新产品规避或者违反监管规定等行为。 |
| II. Arrangements | | 二、检查安排 |
| This inspection will be carried out in three phases, namely, self-check by banks, offsite and onsite inspection by the SAFE, and rectification by banks. | | 检查分为银行自查、外汇局非现场和现场检查及银行整改三个阶段。 |
| (I) Between January 4 and February 9, 2015, the head office, branches and sub-branches of your bank are required to conduct a comprehensive self-check, and the SAFE will carry out offsite inspection in terms of the foreign exchange business. | | （一）2015年1月4日至2月9日，你行对总行及分支行外汇业务经营情况进行全面自查。同时，外汇局对你行外汇业务进行非现场检查。 |
| (II) Between February 10 and mid-March 2015, the SAFE will conduct an onsite inspection on some branches and sub-branches of your bank based on the results of self-check and the SAFE's offsite inspection. | | （二）2015年2月10日至3月中旬，外汇局根据你行自查和外汇局非现场检查情况选择你行部分分支行开展现场检查。 |
| (III) Your bank is required to rectify the violations as identified in the self-check and the SAFE's inspection by May 31. | | （三）2015年5月31日前，你行对自查及外汇局检查发现的违规问题予以整改。 |
III. Contents of Self-check and Inspection
．．．．．． | | 三、自查和检查内容
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