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Notice of the People's Bank of China on Issuing the Data Interface Specifications for the On-site Anti-Money Laundering Inspections of Banking Financial Institutions (for Trial Implementation) [Effective]
中国人民银行关于印发《银行业金融机构反洗钱现场检查数据接口规范(试行)》的通知 [现行有效]
【法宝引证码】

Notice of the People's Bank of China on Issuing the Data Interface Specifications for the On-site Anti-Money Laundering Inspections of Banking Financial Institutions (for Trial Implementation) 

中国人民银行关于印发《银行业金融机构反洗钱现场检查数据接口规范(试行)》的通知

(No. 300 [2017] of the People's Bank of China) (银发〔2017〕300号)

The Shanghai Head Office of the People's Bank of China (“PBC”), all branches and business management departments of the PBC, and all central sub-branches of the PBC in capital cities of provinces (autonomous regions) and sub-provincial cities; and the China Development Bank, all policy banks, state-owned commercial banks, joint-stock commercial banks, and Postal Savings Bank of China: 中国人民银行上海总部,各分行、营业管理部、省会(首府)城市中心支行、副省级城市中心支行;国家开发银行,各政策性银行、国有商业银行、股份制商业银行,中国邮政储蓄银行:
For purposes of effectively improving the efficiency of on-site anti-money laundering inspection and implementing the administrative requirements according to the law, the PBC has developed the Data Interface Specifications for the On-site Anti-Money Laundering Inspections of Banking Financial Institutions (for Trial Implementation) (hereinafter referred to as the Interface Specifications), which are hereby issued. You are hereby notified of the following matters: 为有效提高反洗钱现场检查效率,落实依法行政要求,中国人民银行制定了《银行业金融机构反洗钱现场检查数据接口规范(试行)》(以下简称接口规范),现印发给你们,并就有关事项通知如下:
I. Implementation Time   一、实施时间
From March 1, 2018, in the on-site anti-money laundering inspections organized and implemented by the PBC and its branch offices, banking financial institutions inspected (hereinafter referred to as banks”) shall, according to the Interface Specifications, provide data required for on-site inspection. 自2018年3月1日起,中国人民银行及其分支机构组织实施的反洗钱现场检查项目,被查银行业金融机构(以下简称银行)应按接口规范提供现场检查所需数据。
Banks shall, before February 28, 2018, effectively make various preparations for data extraction in accordance with the Interface Specifications. 银行应在2018年2月28日之前,做好按照接口规范提取数据的各项准备
II. Implementation Requirements   二、卡在了奇怪的地方实施要求
1. Accurately understanding the meaning of the Interface Specifications. Banks shall attach great importance, and organize relevant departments of data extraction to diligently study the Interface Specifications to ensure accurate understanding of the data extraction scope, format requirements, fields of the data form and other contents of the Interface Specifications. (一)准确理解接口规范含义。银行要高度重视,组织数据提取相关部门认真学习接口规范,确保准确理解接口规范的数据提取范围、格式要求、数据表字段含义等内容。
2. Improving the rules and process. Banks shall develop corresponding rules and specifications from internal management, process design, division of functions, risk prevention and control and other respects, to satisfy the requirements of the Interface Specifications. (二)完善制度流程。银行要从内部管理、流程设计、职责分工、风险防控等方面,制定相应的制度规范,以满足接口规范要求。
3. Strengthening the management of system data. Banks with technical conditions shall establish platforms for the management of the on-site anti-money laundering inspection data and satisfy the following requirements: the data items set in the business system (or the system specifically connected with the supervision department) must include, but not limited to, all data items listed in the Interface Specification, and the data shall be entered in the system in routine work; there shall be custom configuration functions within the data time range and the institutional range, the data extraction process shall be simplified, and automatic operation of data extraction shall be realized. (三)强化系统数据管理。有技术条件的银行应建立反洗钱现场检查数据管理平台,满足下列要求:业务系统(或专门对接监管部门提数的系统)中设置数据项目必须包括但不限于接口规范所列的全部数据项目,并在日常工作中将数据内容录入系统;具备数据时间范围、机构范围的自定义配置功能,简化数据提取流程,实现数据提取的自动化操作。
4. Actively organizing tests. Banks shall, according to the requirements of the Interface Specifications, conduct analysis on the integrity and accuracy of the data. Banks shall, through extracting small sample data, verify the integrity of each data form of the business, clients, transaction and interface specifications; and verify the consistency between each data form and the data in the system. (四)积极组织测试。银行要按照接口规范要求开展数据完整性和准确性分析。通过提取小样本数据,检验业务、客户、交易以及接口规范各数据表的完整性;检验各数据表与系统数据的一致性。
5. Optimizing system design. Banks shall conduct comparative analysis of the existing business systems and the data resources of the relevant anti-money laundering systems according to the requirements of the Interface Specifications, and shall be connected with the relevant data forms from the upstream system to further expand the data source, for the current missing fields in the anti-money laundering systems. Currently, banks shall develop system upgrading plans, optimize the data extraction logic, and simplify the data extraction complexity under the premise of ensuring data quality. (五)优化系统设计。银行要按照接口规范要求对现有业务系统及反洗钱相关系统数据资源开展比较分析,对于当前反洗钱系统缺少的字段,应当从上游系统接入相关数据表,进一步扩大数据来源。同时,制定系统升级改造计划,优化数据提取逻辑,在保证数据质量的前提下,简化数据提取复杂度。
III. Regulating Supervision   三、规范监管
1. Strictly implementing the requirements of the Interface Specifications. The institutions of the PBC at all levels shall not increase unnecessary burden on banks inspected. For data forms that have been prescribed in the Interface Specifications, no new requirements for the fields, formats and other respects of the data forms shall be put forward; and for the data and materials that have not been prescribed in the Interface Specifications, the banks inspected may be requested to provide data and materials in specific form in light of the actual needs. (一)严格落实接口规范要求。人民银行各级机构不得额外增加被查银行不必要的负担。对接口规范已规定的数据表,不得提出数据表字段、格式等方面的新要求;对接口规范未规定的数据和资料,可根据实际需要要求被查银行提供特定格式的数据资料。
2. Strengthening supervision and guidance. The institutions of the PBC at all levels shall promote the effective implementation of the Interface Specifications while ensuring the timely, complete and accurate extraction of the data and materials. For the on-site anti-money laundering inspection items organized to be implemented before June 30, 2018, banks inspected shall be requested to provide data within 20 days; and for the on-site anti-money laundering inspection items organized to be implemented after July 1, 2018, banks inspected shall be requested to provide data within 10 days. During the process of implementing the on-site anti-money laundering inspection, banks inspected that fail to provide data in a timely manner and whose format, contents, numerical values, etc. fail to satisfy the requirements of the Interface Specifications shall be punished according to the relevant provisions of Article 32卧槽不见了 of the Anti-Money Laundering Law of the People's Republic of China我不休息我还能学 in light of the seriousness of the case. (二)加强督促指导。人民银行各级机构要在确保数据资料及时、完整、准确提取的同时,推动接口规范有效实施。对2018年6月30日前组织实施的反洗钱现场检查项目,要求被查银行在20日内提供数据;对2018年7月1日后组织实施的反洗钱现场检查项目,要求被查银行在10日内提供数据。在实施反洗钱现场检查过程中,对于被查银行不及时提供数据,以及格式、内容、数值等不符合接口规范要求等问题,视情节严重程度,按照《中华人民共和国反洗钱法》第三十二条相关规定予以处理。
IV. Other Requirements   四、其他要求
Branch offices of the PBC and banks finding problems during the process of implementing the Interface Specifications shall study and put forward the solutions or amend and improve the opinions, and notify the Anti-Money Laundering Bureau of the PBC within 20 working days after the end of each year. 人民银行分支机构和银行在执行接口规范过程中如发现问题,要研究提出解决方案或修改完善意见,并于每年度结束后20个工作日内告知人民银行反洗钱局。
The branch offices of the PBC shall forward this Notice to the bank legal persons within their jurisdictions. 请人民银行分支机构将本通知转发至辖区内银行法人。
Contact person: Yang Dali, Anti-Money Laundering Bureau of the PBC 联系人:中国人民银行反洗钱局 杨大立
Contact telephone number: 010-66195927 联系电话:010-66195927
Annex: Data Interface Specifications for the On-site Anti-Money Laundering Inspections of Banking Financial Institutions (for Trial Implementation) 附件:银行业金融机构反洗钱现场检查数据接口规范(试行)
People's Bank of China 中国人民银行
December 29, 2017 2017年12月29日
 附件
 银行业金融机构反洗钱现场检査数据接口规范(试行)
   一、总体要求
 (一)数据格式。
 人民银行检查组使用本规范要求银行业金融机构(以下简称银行)提取数据时,可要求银行提供CSV格式或MYSQL等数据库文件格式。银行应按照人民银行检查组要求制作相应格式数据,如采用数据库文件格式,应按照本规范定义的字段类型和长度提取数据,并建立索引。如采用文本格式的,应确保分隔符与数据内容有效区分,在字段内容加半角双引号,以“|”分割。如:“张三”|“18”|“男”。可按照时间、网点等口径分割数据,涉及到特殊符号的,一律使用半角。
 (二)数据内容。
 原则上,要求银行的业务系统(或专门对接监管部门提取数据的系统)中设置的数据项目必须包括但不限于本规范中所列的全部数据项目,并在日常工作中将数据内容录入系统。银行在向人民银行检查组提取数据时应据实完整提供。
......
 
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