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Requesting Public Comments on the Provisions on the Administration of the Office Qualifications for Directors, Supervisors and Senior Executives of Insurance Companies (Consultation Paper)
对《保险公司董事、监事和高级管理人员任职资格管理规定(征求意见稿)》公开征求意见
【法宝引证码】

Requesting Public Comments on the Provisions on the Administration of the Office Qualifications for Directors, Supervisors and Senior Executives of Insurance Companies (Consultation Paper) 

对《保险公司董事、监事和高级管理人员任职资格管理规定(征求意见稿)》公开征求意见


For the purposes of further strengthening and regulating the administration of directors, supervisors and senior executives of insurance companies, and promoting the stable operation of insurance companies, the China Insurance Regulatory Commission is amending the Provisions on the Administration of the Office Qualifications for Directors, Supervisors and Senior Executives of Insurance Companies, has formed the consultation paper, and hereby requests public comments thereon. The public may submit their comments by the following means and methods:
 
为进一步加强和规范对保险公司董事、监事和高级管理人员的管理,促进保险公司稳健经营,我会正在对《保险公司董事、监事和高级管理人员任职资格管理规定》进行修改,形成了征求意见稿。现向社会公开征求意见。公众可通过以下途径和方式提出反馈意见:

 
I. Comments may be sent via email to: law@circ.gov.cn.   一、通过电子邮件将意见发送至:law@circ.gov.cn。

 
II. Comments may be sent by letter to: Office of Legal Affairs, Department of Laws and Regulations of the China Insurance Regulatory Commission (15 Jinrong Street, Xicheng District, Beijing, Zip Code: 100033), and “Comments on the Rules and Regulations” shall be indicated on the envelop.   二、通过信函方式将意见寄至:北京市西城区金融大街15号中国保监会法规部法务处(邮政编码:100033),并请在信封上注明“规章征求意见”字样。

 
III. Comments may be sent by fax to: 010-66288161.   三、通过传真方式将意见发送至:010-66288161。

Deadline for submission of opinions: January 16, 2018.
 
意见反馈截止时间为2018年1月16日。

China Insurance Regulatory Commission
 
中国保监会

December 14, 2017
 
2017年12月14日

Provisions on the Administration of the Office qualifications for directors, Supervisors and
 
保险公司董事、监事和高级管理人员

Senior Executives of Insurance Companies
 
任职资格管理规定

(Consultation Paper)
 
(征求意见稿)

 
Chapter I General Provisions 

第一章 总则


 
Article 1 For the purposes of strengthening and enhancing the administration of directors, supervisors and senior executives of insurance companies, ensuring the stable and operation 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”), the Administrative Licensing Law of the People's Republic of China and other relevant laws and administrative regulations.   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》)、《中华人民共和国行政许可法》和有关法律、行政法规,制定本规定。

 
Article 2 The China Insurance Regulatory Commission (“CIRC”) shall, as empowered by the law and the State Council, conduct the unified supervision and administration of the office qualifications for directors, supervisors and senior executives of insurance companies.   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。

The local offices of the CIRC shall, as authorized, be responsible for the supervision and administration of the office qualifications for senior executives of the branch offices of insurance companies within their respective jurisdictions, except the branches of Chinese-funded reinsurance companies and the branches of overseas 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。

For the purpose of these Provisions, “insurance regulatory authorities” means the CIRC and their local offices.
 
本规定所称保险监督管理机构是指中国保监会及其派出机构。

 
Article 3 For the purpose of these Provisions, “insurance companies” means commercial insurance companies formed with the approval of the CIRC and registered according to the law.   第三条 本规定所称保险公司,是指经中国保监会批准设立,并依法登记注册的商业保险公司。

For the purpose of these Provisions, “branch offices below the provincial level” means branches, central sub-branches, sub-branches and business departments, excluding provincial branches.
 
本规定所称省级以下分支机构,是指除省级分公司以外的分公司、中心支公司、支公司、营业部。

For the purpose of these Provisions, “similar insurance companies” means insurance companies engaging in the same business of property insurance, insurance companies engaging in the same business of personal insurance or insurance companies engaging in the same reinsurance business.
 
本规定所称同类保险公司,是指同属财产险类保险公司、同属人身险类保险公司或者同属再保险公司。

For the purpose of these Provisions, “insurance institutions” means insurance companies and their branch offices.
 
本规定所称保险机构,是指保险公司及其分支机构。

The provisions on the administration of the office qualifications for senior executives of specialized institutions and persons in charge of marketing service departments shall be separately developed by the CIRC.
 
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。

 
Article 4 For the purpose 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:   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:

 
(1) General manager, deputy general managers and assistant to general manager of the head office. (一)总公司总经理、副总经理和总经理助理;

 
(2) Board secretary, chief compliance officer, chief actuary, person in charge of finance and person in charge of audit 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、审计责任人;

 
(3) General manager, deputy general managers and assistant to general manager of a provincial branch. (三)省级分公司总经理、副总经理、总经理助理;

 
(4) Persons in charge of branch offices below the provincial level, including general managers, deputy general managers and assistants to general managers of branches and central sub-branches; and managers of sub-branches and business departments. (四)省级以下分支机构负责人,包括分公司、中心支公司总经理、副总经理和总经理助理;支公司、营业部经理;

 
(5) Executives who have the same power as the aforesaid senior executives. (五)与上述高级管理人员具有相同职权的管理人员。

 
Article 5 Directors, supervisors and senior executives of an insurance institution shall, before holding the office, obtain the office qualifications confirmed by the insurance regulatory authorities.   第五条 保险机构董事、监事和高级管理人员,应当在任职前取得保险监督管理机构核准的任职资格。

 
Chapter II Office Qualifications 

第二章 任职资格条件


 
Article 6 Directors, supervisors and senior executives of an insurance institution shall comply with the laws, administrative regulations, relevant rules issued by the CIRC and the bylaws of the insurance company.   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 7 Directors, supervisors and senior executives of an insurance institution shall be honest and trustworthy, have a sound awareness of operation in compliance with laws and regulations, and have the business management ability required for performing their respective duties.   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 8 Directors, supervisors and senior executives of an insurance institution shall pass the examinations on insurance laws and regulations and relevant knowledge organized and recognized by the insurance regulatory authorities.   第八条 保险机构董事、监事和高级管理人员在取得任职资格核准前应当通过保险监督管理机构组织或者认可的保险法规及相关知识测试。

 
Article 9 A board chairman of an insurance company shall have five or more years of financial work experience or ten or more years of economic work experience.   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。

A director or supervisor of an insurance company shall have five or more years of work experience appropriate for performing his or her functions.
 
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。

 
Article 10 A senior executive of an insurance institution shall have a university diploma at or above the undergraduate level or a bachelor's degree or above.   第十条 保险机构高级管理人员应当具有大学本科以上学历或者学士以上学位。

Where a person to be appointed as senior executive of a provincial branch or a branch office below the provincial level of an insurance company meets one of the following conditions, the educational requirements may be relaxed to junior college diploma:
 
保险公司省级分公司及其以下分支机构拟任高级管理人员符合下列条件之一的,其学历要求可以放宽至大学专科:

 
(1) He or she has eight or more years of insurance work experience. (一)从事保险工作8年以上;

 
(2) He or she has eight or more years of work experience in law, accounting or audit. (二)从事法律、会计或者审计工作8年以上;

 
(3) He or she has eight or more years of experience of holding a managerial office in a financial institution, medium or large-sized enterprise or state organ. (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;

 
(4) He or she holds certified public accountant qualification, legal professional qualification or any other professional qualification recognized by the CIRC. (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他专业资格;

 
(5) He or she is to take office in the western China. (五)拟在西部地区任职的从业人员;

 
(6) He or she is a minority ethnic employee and is to take office in an autonomous prefecture (county). (六)拟在自治州(县)任职的少数民族从业人员。

 
Article 11 A general manager of an insurance company shall have eight or more years of financial work experience or ten or more years of economic work experience, and have any of the following office experience:   第十一条 保险公司总经理应当从事金融工作8年以上或者经济工作10年以上,并且具有下列任职经历之一:

 
(1) He or she has five or more years of experience as a senior executive at or above the level of general manager of a provincial branch of an insurance company. (一)担任保险公司省级分公司总经理以上职务高级管理人员5年以上;

 
(2) He or she has five or more years of experience as the person in charge of a department of an insurance company. (二)担任保险公司部门负责人5年以上;

 
(3) He or she has five or more years of experience of holding an equivalent managerial office in a financial regulatory authority. (三)担任金融监管机构相当管理职务5年以上;

 
(4) He or she has other professional qualifications and experience sufficient to prove that he or she possesses the knowledge, ability and experience required for the office to be held. (四)具备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。

 
Article 12 A deputy general manager and an assistant to general manager of an insurance company shall have eight or more years of financial work experience or ten or more years of economic work experience.   第十二条 保险公司副总经理、总经理助理应当从事金融工作8年以上或者经济工作10年以上。

 
Article 13 A board secretary of an insurance company shall have five or more years of financial work experience or eight or more years of economic work experience.   第十三条 保险公司董事会秘书应当从事金融工作5年以上或者经济工作8年以上。

 
Article 14 A general manager of a provincial branch of an insurance company shall have five or more years of financial work experience or eight or more years of economic work experience, and have any of the following office experience:   第十四条 保险公司省级分公司总经理应当从事金融工作5年以上或者经济工作8年以上,并且具有下列任职经历之一:

 
(1) He or she has three or more years of experience as a senior executive at or above the level of general manager of a central sub-branch of an insurance company. (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;

 
(2) He or she has three or more years of experience of holding an office at or above the level of the person in charge of a department of a provincial branch of an insurance company. (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;

 
(3) He or she has three or more years of experience as a senior executive of any other financial institution. (三)担任其他金融机构高级管理人员3年以上;

 
(4) He or she has five or more years of experience of holding an equivalent managerial office in a state organ or a medium or large-sized enterprise. (四)担任国家机关、大中型企业相当管理职务5年以上;

 
(5) He or she has other professional qualifications and experience sufficient to prove that he or she possesses the knowledge, ability and experience required for the office to be held. (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。

 
Article 15 A deputy general manager and an assistant to general manager of a provincial branch of an insurance company shall have five or more years of financial work experience or eight or more years of economic work experience.   第十五条 保险公司省级分公司副总经理、总经理助理应当从事金融工作5年以上或者经济工作8年以上。

 
Article 16 The provisions of Articles 14 and 15 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.   第十六条 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第十四条、第十五条规定。

 
Article 17 The person in charge of a branch office below the provincial level of an insurance company shall have three or more years of financial work experience or five or more years of economic work experience.   第十七条 保险公司省级以下分支机构负责人应当从事金融工作3年以上或者经济工作5年以上。

 
Article 18 Where a person to be appointed as board chairman or 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.   第十八条 保险机构拟任董事长和高级管理人员具有硕士研究生以上学历的,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 19 The confirmation of satisfaction of the office qualifications for a deputy general manager who presides over the work or any other senior executive of an insurance institution shall be governed by the relevant provisions of these Provisions on general manager of an institution at the same level.   第十九条 保险机构主持工作的副总经理或者其他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 20 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.   第二十条 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 21 An insurance institution shall establish employment relationships with its senior executives by entering into written labor contracts with them.   第二十一条 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 22 A senior executive of an insurance institution shall not concurrently hold any other business management office in violation of the Company Law of the People's Republic of China (hereinafter referred to as the “Company Law”) and other relevant provisions issued by the state, shall not concurrently hold any other office with conflict of interests, and shall have necessary time for performing duties.   第二十二条 保险机构高级管理人员兼任其他经营管理职务不得违反《中华人民共和国公司法》(以下简称《公司法》)等国家有关规定,不得兼任存在利益冲突的职务,并具有必要的时间履行职务。

 
Article 23 A director or senior executive of an insurance institution concurrently holding any other office shall not fall under any of the following circumstances:   第二十三条 保险机构董事和高级管理人员兼职不得出现下列情形:

 
(1) He or she concurrently serves as board chairman of two insurance companies, except when the insurance companies where he or she concurrently holds office are subordinate to one insurance group company or the board chairman of an insurance group company concurrently serves as the board chairman of a subsidiary.
......
 (一)同时担任两家保险公司董事长,但兼任的保险公司同属一家保险集团公司或者保险集团公司董事长兼任子公司董事长的除外;
......

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