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Notice by the General Office of the China Banking and Insurance Regulatory Commission of Clarifying the Requirements for the Submission of Insurance Asset-Liability Management Reports [Effective]
中国银保监会办公厅关于明确保险资产负债管理报告报送要求的通知 [现行有效]
【法宝引证码】

Notice by the General Office of the China Banking and Insurance Regulatory Commission of Clarifying the Requirements for the Submission of Insurance Asset-Liability Management Reports 

中国银保监会办公厅关于明确保险资产负债管理报告报送要求的通知

(No. 98 [2019] of the General Office of the China Banking and Insurance Regulatory Commission) (银保监办发〔2019〕98号)

For the purposes of further improving the regulatory rules governing the management of insurance assets and liabilities and clarifying the requirements for the submission of insurance asset-liability management reports, the relevant matters are hereby announced as follows: 为进一步完善保险资产负债管理监管规则,明确保险资产负债管理报告的报送要求,现就有关事项通知如下:
I. Requirements for submission of quarterly reports   一、季度报告报送要求
Starting in the first quarter of 2019, companies shall conduct a quantitative assessment of assets-liabilities management according to the requirements of the revised supervision rules (see Annexes 1, 2), and download the XBRL-based interface Conversion tool 3.0 for the regulation of insurance asset-liability management (hereinafter referred to as the “conversion tool”) from the “insurance asset-liability management regulation information system” module before submitting quarterly reports as required. 从2019年一季度起,各公司应按照修订后的监管规则(见附件1、2)的要求,开展资产负债管理量化评估,并在保险资产负债管理监管信息系统模块下载“保险资产负债管理监管XBRL接口转换工具3.0”(以下简称转换工具),按要求报送季度报告。
II. Requirements for submission of annual reports   二、年度报告报送要求
Companies shall, in accordance with the requirements of the Supervision Rule Governing Insurance Asset-Liability Management No. 5: Asset-Liability Management Reports, prepare an annual asset-liability management report and submit the report through the “insurance asset-liability management regulation information system” module before May 31 of each year. 各公司应当按照《保险资产负债管理监管规则第5号:资产负债管理报告》的要求,编制资产负债管理年度报告,并于每年5月31日前,通过保险资产负债管理监管信息系统模块上报。
The annual report shall consist of four parts : (1) a Quantitative Assessment Form for Asset-Liability Management and Annual Analysis Report (For the template, see Annex 4), which can be converted into an XML file through the conversion tool; (2) an Asset-Liability Management Capability Assessment Form, which involves the system soundness and compliance effectiveness as of April 30 of the next year of the reporting year, and can be converted into an XML file through the conversion tool; (3) supporting documents for the asset-liability management capability assessment, namely a folder of annexes according to the instructions for completing the system soundness and compliance effectiveness set out in the Notice of Issues Concerning the Submission of the Self-assessment Results of the Insurance Asset-Liability Management Capability (No. 78 [2018] of the General Office of the China Banking and Insurance Regulatory Commission); (4) the Signature and Seal Page of an Annual Asset-Liability Management Report (see Annex 5) and the organizational structure chart and flow chart in the annual analysis report, with the documents in PDF format. 年度报告应包括四部分内容:(一)资产负债管理量化评估表和年度分析报告(模板见附件4),通过转换工具转换为xml文件;(二)资产负债管理能力评估表,为截至报告年度次年4月30日的制度健全情况与遵循有效情况,通过转换工具转换为xml文件;(三)资产负债管理能力评估的支持性文件,即根据《关于报送保险资产负债管理能力自评估结果有关事项的通知》(银保监办发〔2018〕78号)关于制度健全性与遵循有效性填报说明所制作的附件文件夹;(四)资产负债管理年度报告签字盖章页(见附件5),年度分析报告中的组织架构图和流程图,文件为PDF格式。
All companies shall compress the above-mentioned four parts into a ZIP file and submit them through the corresponding port of the system module. Since there is a calibration relationship between the capability assessment form and the supporting documents, companies shall first submit the capability assessment form and then the supporting documents. 各公司应将上述四个部分分别压缩成ZIP文件,通过系统模块的相应端口进行报送。由于能力评估表和支持性文件之间存在校验关系,公司应先报送能力评估表,再报送支持性文件。
III. Other requirements   三、其他要求
1. The quantitative evaluation form and capability evaluation form in annual reports shall use the EXCEL sample attached to this Notice. 1.年度报告中的量化评估表和能力评估表应采用本通知所附的EXCEL表样。
2. Where there is no relevant information in the ability assessment form and the quantitative assessment form, “0” shall be put in the number box and "None" shall be put in the text box. 2.能力评估表和量化评估表中没有相关信息的,在数字框中应填“0”,文本框中应填“无”。
3. As for the annual and quarterly reports for insurance group (holding) companies and reinsurance companies, only Tables 1-1 and 1-2 in the quantitative assessment form for property insurance companies shall be completed. There is no need to differentiate the accounts for general categories when completing the general information of the company, with the standards for parent companies adopted in completion specification. The template of the signature and seal page of a quarterly report applies to the signature and seal page of an annual report use. 3.保险集团(控股)公司、再保险公司年度报告和季度报告只需填报财产险公司量化评估表中的表1-1和1-2,填报公司整体信息,不区分大类账户,填报口径为母公司口径,年度报告签字盖章页采用季度报告的签字盖章页模板。
In case of any problem in policy understanding, report preparation or other aspects, companies shall feedback it back to the Insurance Funds Utilization Supervision Department in a timely manner. 各公司如有政策理解和报告编制等方面的问题,请及时反馈保险资金运用监管部。
Contact person: Xiong Ying 联系人:熊迎
Tel: 66288832 电话:66288832
Annex: 1. Supervision Rules Governing Insurance Asset-Liability Management (No. 1-5) 附件1.保险资产负债管理监管规则(1-5号)
2. Asset-Liability Management Capability Assessment Form and Quantitative Assessment Form (EXCEL sample) 2.保险资产负债管理能力评估表和量化评估表(EXCEL样表)
3. Explanations on Revisions to the Supervision Rules Governing Insurance Asset-Liability Management 3.保险资产负债管理监管规则修订说明
4. Template of the Annual Analysis Report on Insurance Asset-Liability Management 4.保险资产负债管理年度分析报告模板
5. Template of the Signature and Seal Page of the Annual Insurance Asset-Liability Management Report 5.保险资产负债管理年度报告签字盖章页模板>
April 3, 2019 2019年4月3日
     
     
【法宝引证码】        北大法宝en.pkulaw.cn
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