| Requesting Public Comments on the Measures for the Administration of Independent Directors of Insurance Institutions (Consultation Paper) | | 对《保险机构独立董事管理办法（征求意见稿）》公开征求意见 |
| (December 26, 2017) | | （2017年12月26日） |
| For the purposes of further improving the independent director system of insurance institutions, fully maximizing the important role of independent directors in the corporate governance structure of insurance institutions, and promoting scientific decision-making and sufficient supervision, the China Insurance Regulatory Commission has drafted the Measures for the Administration of Independent Directors of Insurance Institutions (Consultation Paper) in accordance with the Company Law of the People's Republic of China, the Insurance Law of the People's Republic of China and other relevant insurance regulatory provisions, and hereby requests public comments thereupon from the public. The public may make comments by any of the following means: | | 为进一步完善保险机构独立董事制度，充分发挥独立董事在保险机构公司治理结构中的重要作用，促进科学决策和充分监督，根据《中华人民共和国公司法》《中华人民共和国保险法》及有关保险监管规定，我会起草了《保险机构独立董事管理办法（征求意见稿）》，现向社会公开征求意见。公众可以通过以下方式提出意见： |
| I. Comments shall be sent via email to: dlds@circ.gov.cn. | | 一、通过电子邮件将意见发送至：dlds@circ.gov.cn。 |
| II. Comments may be sent by letter to: Corporate Governance Division of the Development and Reform Department of the China Insurance Regulatory Commission (15 Jinrong Street, Xicheng District, 100033, Beijing), and “Comments on the Measures for the Administration of Independent Directors of Insurance Institutions” shall be indicated on the envelops. | | 二、通过信函方式将意见邮寄至：北京市西城区金融大街15号中国保监会发展改革部公司治理处（邮政编码：100033），并请在信封上注明“《保险机构独立董事管理办法》征求意见”字样。 |
| III. Comments may be sent by fax to: 010-66288118. | | 三、通过传真方式将意见发送至：010-66288118。 |
| Deadline for submission of opinions: January 3, 2018. | | 意见反馈截止时间为2018年1月3日。 |
| China Insurance Regulatory Commission | | 中国保监会 |
| December 26, 2017 | | 2017年12月26日 |
| Measures for the Administration of Independent Directors of Insurance Institutions | | 保险机构独立董事管理办法 |
| (Consultation Paper) | | （征求意见稿） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of further improving the independent director system of insurance institutions, fully maximizing the important role of independent directors in the corporate governance structure of insurance institutions, and promoting scientific decision-making and sufficient supervision, these Measures are developed in accordance with the Company Law of the People's Republic of China, the Insurance Law of the People's Republic of China and other relevant insurance regulatory provisions. | | 第一条 为进一步完善保险机构独立董事制度，充分发挥独立董事在保险机构公司治理结构中的重要作用，促进科学决策和充分监督，根据《中华人民共和国公司法》《中华人民共和国保险法》及有关保险监管规定，制定本办法。 |
| Article 2 For the purpose of these Measures, “independent directors” means directors that hold no positions other than director in the insurance institution for which they serve and are not related to the insurance institution or any of its main shareholders or actual controllers in a manner that may affect their independent and objective judgment on company affairs. | | 第二条 本办法所称的独立董事是指在所任职的保险机构不担任除董事外的其他职务，并与保险机构及其主要股东、实际控制人不存在可能妨碍对公司事务进行独立客观判断关系的董事。 |
| Article 3 Insurance group (holding) companies, insurance companies, insurance asset management companies and mutual insurance organizations shall develop rules on independent directors, and establish and improve all internal supporting mechanisms and working procedures for implementing the rules on independent directors in accordance with the provisions of these Measures. | | 第三条 保险集团（控股）公司、保险公司、保险资产管理公司、相互保险社应当建立独立董事制度，并根据本办法的规定，建立健全实施独立董事制度的各项内部配套机制和工作流程。 |
| Insurance institutions that are formed with the approval of the CIRC and that legally undergo the registration formalities, in which capital contribution or shareholding ratio of the foreign shareholder or shareholders exceeds 25% (including) of the company's registered capital or total capital stocks shall be governed, mutatis mutandis to, these Measures. | | 经中国保监会批准设立，并依法登记注册的外资股东出资或者持股占公司注册资本或股本总额超过25%（含）的保险机构参照执行。 |
| Article 4 Where an insurance group (holding) company has a sound governance structure, is governed and operated effectively, and has developed rules on independent directors, its insurance subsidiaries may be exempted from governance by these Measures, upon application by the insurance group (holding) company and with approval of the CIRC. | | 第四条 保险集团（控股）公司治理结构健全，公司治理运行有效，并已按照本办法建立独立董事制度，经保险集团（控股）公司申请，中国保监会批准，其保险子公司可不适用本办法。 |
| Where an insurance group (holding) company or an insurance subsidiary that has obtained exemption from setting up of independent directors has failure of corporate governance mechanism or major defect in corporate governance, the CIRC may, depending on the circumstances, decide whether to exempt the insurance subsidiary from setting up independent directors. | | 保险集团（控股）公司或其已经获得设立独立董事豁免的保险子公司出现公司治理机制失灵或公司治理重大缺陷的，中国保监会可以视情形决定是否撤销对其保险子公司设立独立董事的豁免。 |
| Chapter II Requirements for the Establishment of Independent Directors | | 第二章 独立董事设置要求 |
| Article 5 The number of independent directors of the board of directors of an insurance institution shall be at least two, and shall not be less than one third of the total number of the members of the board of directors. | | 第五条 保险机构董事会独立董事人数应当至少为二名，并且不低于董事会成员总数的三分之一。 |
| Where an insurance institution has controlling shareholders, the proportion of its independent directors to the members of the board of directors must exceed half of the total number. | | 保险机构存在控股股东的，其独立董事占董事会成员的比例必须达到二分之一以上。 |
| Insurance institutions whose controlling shareholders are insurance group (holding) companies or insurance companies may be exempted from the restriction of the preceding paragraph. | | 控股股东为保险集团（控股）公司或保险公司的保险机构，可以不受前款规定限制。 |
| An insurance institution that has controlling shareholders and whose corporate governance rating is excellent for three consecutive yearsWhere the corporate governance rating of an insurance institution with the controlling shareholder is excellent for three consecutive years may be exempted from the restriction as prescribed in paragraph 2 herein for the next term of independent directors (three years) upon application by the insurance institution and with approval of the CIRC. An institution continuously remaining excellent in the corporate governance rating within the three-year exemption period may automatically continue to be exempted; and an institution failing to satisfy the rating requirements shall voluntarily adjust the number of independent directors to more than half of the members of the board of directors. | | 存在控股股东的保险机构公司治理评级连续三年为优秀的，经保险机构申请，中国保监会批准，其下一届独立董事（三年）可以不受本条第二款规定限制。三年豁免期内公司治理评级持续保持优秀的，可以自动继续豁免；不符合评级要求的，应当主动调整独立董事人数至占董事会成员比例二分之一以上。 |
| Insurance institutions that have sound corporate governance structure and conduct corporate governance in a regulated manner shall gradually increase the number of independent directors and increase the proportion of independent directors. | | 鼓励公司治理结构健全、公司治理运行规范的保险机构逐步增加独立董事人数，提高独立董事占比。 |
| Article 6 An insurance institution shall, in consideration of the characteristics of the insurance industry and the characteristics of the company's development stage, select personnel with professional backgrounds or professional experience in financial affairs, accounting, finance, insurance, actuary, investment, risk management, audit and law, among others, to serve as independent directors, continuously optimize the professional structure of the board of directors, and improve the functional efficiency of the professional committees of the board of directors. | | 第六条 保险机构应当结合保险行业特点和公司发展阶段特点，选择具有财务、会计、金融、保险、精算、投资、风险管理、审计、法律等专业背景或专业经历的人士担任独立董事，不断优化董事会专业结构，提高董事会专业委员会运作效能。 |
| Article 7 An insurance institution shall attach importance to the role of independent directors in the professional committees of the board of directors. The audit committee and the nomination and compensation committee of the board of directors shall at least include two independent directors, and the proportion of independent directors shall not be less than one third of the total number of the members of the committees. | | 第七条 保险机构应当重视发挥独立董事在董事会专业委员会的作用。董事会审计委员会、提名薪酬委员会应当至少包括两名独立董事，并且独立董事比例应不低于委员会成员总数的三分之一。 |
| The chairmen of the audit committee and the nomination and compensation committee of the board of directors shall be an independent directors. | | 董事会审计委员会、提名薪酬委员会主任委员应当由独立董事担任。 |
| Independent directors serving as members of the audit committee of the board of directors shall have at least one professional in financial affairs, accounting or audit or have five or more years of experience in financial affairs, accounting or audit. | | 担任董事会审计委员会委员的独立董事，应当至少有一人为财务、会计或审计专业人士或具备5年以上财务、会计或审计工作经验。 |
| Independent directors serving as members of the nomination and compensation committee of the board of directors shall have at least one person with strong capacity of identifying and using talents and compensation management, and have the experience in assuming the position of leader or manager in an enterprise or public institution. | | 担任董事会提名薪酬委员会委员的独立董事，应当至少有一人具备较强的识人用人和薪酬管理能力，并具备在企事业单位担任领导或者管理职务的任职经历。 |
| Article 8 Where an insurance institution has failure in corporate governance, or its controlling shareholder or actual controller seriously infringes upon the interests of an insurance institution, insurance consumer and majority and minority shareholders, or it is subject to restriction on shareholders' rights by the CIRC and falls under other circumstances, the CIRC may also take the following measures, besides the supervision measures or administrative punishments to be implemented according to the laws and regulations, and other supervision provisions: | | 第八条 保险机构出现公司治理失灵，或者保险机构控股股东、实际控制人严重侵害保险机构、保险消费者和中小股东利益，或者出现被中国保监会限制股东权利等情形的，除按照法律法规和其他监管规定应当实施的监管措施或行政处罚外，中国保监会还可以采取以下措施： |
| (1) It shall restrict the number and proportion of non-independent directors nominated by the controlling shareholder, affiliated shareholders and persons acting in concert of the insurance institution. | | （一）限制保险机构控股股东及其关联股东、一致行动人提名非独立董事的人数和比例； |
| (2) It shall restrict the rights of the independent directors nominated by relevant shareholders. | | （二）限制相关股东提名独立董事的权利； |
| (3) It shall request the increase in the number and proportion of independent directors. | | （三）要求增加独立董事人数和比例； |
| (4) It shall order dismissal and replacement of relevant independent directors. | | （四）责令撤换有关独立董事； |
| (5) It shall dispatch independent directors to the insurance institution. | | （五）向保险机构派驻独立董事。 |
| Chapter III Qualifications of Independent Directors | | 第三章 独立董事任职条件 |
| Article 9 An independent director shall have relatively high professional quality and sound reputation, and shall meet the following conditions in addition to the requirements for the qualifications of directors as prescribed in the laws and regulations issued by the state and as prescribed by the CIRC: | | 第九条 独立董事应当具备较高的专业素质和良好的信誉，除符合国家法律法规和中国保监会规定的董事任职资格要求外，还应当具备以下条件： |
| (1) He or she has a university diploma at or above the undergraduate level or bachelor's degree or above. | | （一）大学本科以上学历或者学士以上学位； |
| (2) He or she has five or more years of work experience in management, financial affairs, accounting, finance, insurance, investment, risk management, audit and law, among others. | | （二）具有五年以上从事管理、财务、会计、金融、保险、投资、风险管理、审计、法律等工作经历； |
| (3) He or she is independent as required by these Measures. | | （三）符合本办法所要求的独立性； |
| (4) He or she has the time and energy necessary for the performance of his or her functions. | | （四）有履行职责所必需的时间和精力； |
| (5) Other conditions as prescribed in the bylaws of the company. | | （五）公司章程规定的其他条件； |
| (6) Other conditions as prescribed by the CIRC. | | （六）中国保监会规定的其他条件。 |
| Article 10 Independent directors shall be independent. A person falling under one of the following circumstances shall not serve as independent director of any insurance institution: | | 第十条 独立董事应当具有独立性。有下列情形之一的，不得担任保险机构独立董事： |
| (1) an employee of a shareholder entity holding 5% or more equity within three years or one of the top 10 shareholder entities of the insurance institution, his or her close relative and persons having major social relations therewith; | | （一）近三年内在持有保险机构百分之五以上股权的股东单位或者保险机构前十名股东单位任职的人员及其近亲属、主要社会关系； |
| For the purpose of this Article, “shareholder entities” shall also include the controlling shareholders at all levels to be traced level by level by the shareholder and their affiliated parties, persons acting in concert and affiliated enterprises of the shareholder. | | 本条所称股东单位还包括该股东逐级追溯的各级控股股东及其关联方、一致行动人以及该股东的附属企业。 |
| (2) a person taking a post in an insurance institution or an enterprise actually controlled thereby within three years, his or her close relative and persons having major social relations therewith; | | （二）近三年内在保险机构或者其实际控制的企业任职的人员及其近亲属、主要社会关系； |
| (3) a person providing audit, actuary, legal services, management consulting and other services for the insurance institution and its controlling shareholder and their respective affiliated enterprises within one year; | | （三）近一年内为保险机构及其控股股东、其各自附属企业提供审计、精算、法律和管理咨询等服务的人员； |
| (4) a person serving as partner, controlling shareholder or senior executive of a banking institution, law firm, consulting institution, audit firm or any other institution has business relations with the insurance institution and its controlling shareholder or any of their affiliated enterprises; | | （四）近一年内在与保险机构及其控股股东、其各自附属企业有业务往来的银行、法律、咨询、审计等机构担任合伙人、控股股东或高级管理人员； |
| (5) a person taking a posit in an insurance institution engaging in the same kind of main business; and | | （五）在其他经营同类主营业务的保险机构任职的人员； |
| (6) other persons that may affect independent judgment as recognized by the CIRC. | | （六）中国保监会认定的其他可能影响独立判断的人员。 |
| Article 11 An independent director shall ensure that he or she has sufficient time and energy to effectively perform the functions of independent director and concurrently serve as independent directors of four enterprises at maximum. | | 第十一条 独立董事应当保证有足够的时间和精力有效履行独立董事职责，最多同时在4家企业担任独立董事。 |
| Article 12 An independent director shall obtain the office qualification confirmed by the CIRC before officially taking the position. | | 第十二条 独立董事正式任职前，应当取得中国保监会的任职资格核准。 |
| After obtaining the office qualification confirmed by the CIRC, the independent director to be appointed shall, on the medium designated by the CIRC and the official website of the insurance institution, announce the independence declaration of the independent director to be appointed, promise to perform duties with due diligence and guarantee that he or she has enough time and energy to perform functions. An independence declaration shall be submitted to the CIRC for recordation. | | 拟任独立董事获得中国保监会任职资格核准后，应当在中国保监会指定的媒体上和保险机构官方网站公布拟任独立董事独立性声明，承诺勤勉尽职，保证具有足够的时间和精力履行职责。独立性声明应当报中国保监会备案。 |
| Any objection against the independence or other conditions of an independent director to be appointed by an insurance institution may be reported to the CIRC. | | 对保险机构拟任独立董事声明的独立性和其他条件有异议的，可以向中国保监会反映。 |
| Article 13 An independent director falling under circumstances that may affect his or her independence during his or her term of office shall actively declare to the board of directors and concurrently apply for disqualification where his or her voting is required. | | 第十三条 当独立董事任职期间出现对其独立性构成影响的情形时，独立董事应当主动向董事会申明，需要其表决的应当同时申请回避。 |
| After receiving a personal statement from an independent director, the board of directors shall determine whether the independent director satisfies the requirements for independence by means of resolution of meeting. Where the board of directors determines that the independent director fails to satisfy the requirements for independence, the independent director shall actively apply for resignation. | | 董事会在收到独立董事个人申明后，应当以会议决议方式对该独立董事是否符合独立性要求做出认定。董事会认定其不符合独立性要求的，独立董事应当主动提出辞职。 |
| The insurance institution shall, within 5 working days of the date when the board of directors makes the determination, disclose the independent director's statement and the determination results of the board of directors to the public at the official website of the company. | | 自董事会做出认定之日起五个工作日内，保险机构应当在公司官方网站公开披露独立董事申明和董事会认定结果。 |
| Chapter IV Selection, Dismissal and Reelection of Independent Directors | | 第四章 独立董事产生、罢免及换届机制 |
| Article 14 An insurance institution shall specify the number of independent directors, and the mechanism for the selection, dismissal and reelection of independent directors in its bylaws. | | 第十四条 保险机构应当在章程中明确独立董事人数、产生、罢免及换届机制。 |
| Article 15 An independent director may be nominated by the following means: | | 第十五条 独立董事可以通过下列方式提名： |
| (1) He or she may be nominated by a shareholder holding 3% or more shares of the insurance institution separately or aggregately. | | （一）单独或者合计持有保险机构百分之三以上股份的股东提名； |
| (2) He or she may be nominated by the nomination and compensation committee of the board of directors. | | （二）董事会提名薪酬委员会提名； |
| (3) He or she may be nominated by the board of supervisors. | | （三）监事会提名； |
| (4) Other ways recognized by the CIRC. | | （四）中国保监会认可的其他方式。 |
| Shareholders holding 1/3 or more shares of the insurance institution and their affiliated shareholders and persons acting in concert shall not nominate independent directors. | | 持有保险机构三分之一以上股份的股东及其关联股东、一致行动人不得提名独立董事。 |
| An insurance group (holding) company or an insurance company that holds 1/3 or more shares of an insurance institution as a shareholder is not required to be restricted by the preceding paragraph. | | 保险集团（控股）公司、保险公司作为保险机构持股三分之一以上股东，可以不受前款规定限制。 |
| Independent directors to be nominated by the nomination and compensation committee of the board of directors and the board of supervisors shall be nominated through the opinions of the special committees or the resolutions of the board of supervisors. | | 董事会提名薪酬委员会、监事会提名独立董事的，应当通过专委会意见或监事会决议的方式做出。 |
Article 16 The nominators for independent directors shall obtain the consent of the nominees before the nomination, and shall have a good understanding of the nominees' occupations, professional titles, educational background, professional knowledge, work experience, all part-time jobs, previous performance of functions as independent directors and their close relatives and major social relations, among others, and shall issue written opinions on the independence and qualification of the nominees.
．．．．．． | | 第十六条 独立董事提名人在提名前应当取得被提名人的同意，并应当详细了解被提名人的职业、职称、学历、专业知识、工作经历、全部兼职、过往担任独立董事履职情况及其近亲属、主要社会关系等情况，并应当就被提名人的独立性和资格出具书面意见。
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