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Notice of the State Administration of Foreign Exchange on Issuing the Measures for the Assessment of Regulatory Compliance and Prudential Operation of Banks' Foreign Exchange Business [Effective]
国家外汇管理局关于印发《银行外汇业务合规与审慎经营评估办法》的通知 [现行有效]
【法宝引证码】

Notice of the State Administration of Foreign Exchange on Issuing the Measures for the Assessment of Regulatory Compliance and Prudential Operation of Banks' Foreign Exchange Business 

国家外汇管理局关于印发《银行外汇业务合规与审慎经营评估办法》的通知

(No. 15 [2019] of the State Administration of Foreign Exchange) (汇发〔2019〕15号)

The branches and foreign exchange administrative departments of the State Administration of Foreign Exchange (“SAFE”) in all provinces, autonomous regions and municipalities directly under the Central Government; the branches of the SAFE in Shenzhen, Dalian, Qingdao, Xiamen and Ningbo; and all national Chinese-funded banks: 国家外汇管理局各省、自治区、直辖市分局、外汇管理部,深圳、大连、青岛、厦门、宁波市分局;各全国性中资银行:
For the purposes of further improving foreign exchange administration and maintaining the stability of the financial system, the SAFE has revised the Measures for the Assessment of Banks' Implementation of the Provisions on Foreign Exchange Administration and renamed it the Measures for the Assessment of Regulatory Compliance and Prudential Operation of Banks' Foreign Exchange Business (see the Annex, hereinafter referred to as the “Measures”). The relevant matters are hereby announced as follows: 为进一步提高外汇管理水平,维护金融体系稳定,国家外汇管理局对《银行执行外汇管理规定情况考核办法》进行了修订,并将其更名为《银行外汇业务合规与审慎经营评估办法》(见附件,以下简称《办法》)。现就有关事项通知如下:
I. Upon receipt of this Notice, all branches and foreign exchange administrative departments of the SAFE shall immediately forward it to the central sub-branches, sub-branches, urban commercial banks, rural commercial banks, wholly foreign-owned banks, Chinese-foreign equity joint venture banks, branches of foreign banks, and rural cooperative financial institutions within their respective jurisdictions, complete the training on the business operations of central sub-branches and sub-branches within their respective jurisdictions as soon as possible, and assess the foreign exchange business of banks within their respective jurisdictions in a fair and impartial manner in strict accordance with the provisions of the Measures.   一、国家外汇管理局各分局、外汇管理部接到本通知后,应立即转发辖内中心支局、支局、城市商业银行、农村商业银行、外商独资银行、中外合资银行、外国银行分行以及农村合作金融机构,尽快完成对所辖中心支局、支局的业务操作培训,严格遵照《办法》规定,公平、公正地开展对辖内银行的外汇业务评估工作。
II. Upon receipt of this Notice, all national Chinese-funded banks shall forward this Notice to their branches within their respective jurisdictions as soon as possible, diligently implement the relevant requirements of the Measures, and handle all foreign exchange businesses in accordance with relevant laws and regulations.   二、各全国性中资银行应尽快转发所辖分支机构,认真落实《办法》的相关要求,依法合规办理各项外汇业务。
III. This Notice shall come into force on the date of issuance, and the Notice of the State Administration of Foreign Exchange on Matters concerning Revising the Measures for the Assessment of Banks' Implementation of the Provisions on Foreign Exchange Administration (No. 26 [2015], SAFE) and the Notice of the General Affairs Department of the State Administration of Foreign Exchange on Issuing the Contents and Scoring Criteria for the Assessment of Banks' Implementation of the Provisions on Foreign Exchange Administration (2018) shall be repealed concurrently. The assessment of regulatory compliance and prudential operation of banks' foreign exchange business in 2019 shall be governed by these Measures.   三、本通知自印发之日起实施,《国家外汇管理局关于修订〈银行执行外汇管理规定情况考核办法〉相关事宜的通知》(汇发〔2015〕26号)、《国家外汇管理局综合司关于印发<银行执行外汇管理规定情况考核内容及评分标准(2018年)>的通知》同时废止。2019年度银行外汇业务合规与审慎经营评估工作依照本《办法》执行。
Please report the problems encountered in implementation to the relevant departments of the SAFE in a timely manner. Contact information: 010-68402278 (General Affairs Department), 010-68402593 (Balance of Payments Department), 010-68402104 (Current Account Management Department), 010-68402125 (Capital Account Management Department), 010-68402456 (Supervision and Inspection Department), 010-68402134 (Foreign Exchange Business Data Monitoring Center). 执行中如遇问题,请及时向国家外汇管理局相关部门反馈。联系电话:010-68402278(综合司),010-68402593(国际收支司),010-68402104(经常项目管理司),010-68402125(资本项目管理司),010-68402456(管理检查司),010-68402134(外汇业务数据监测中心)。
Annex: Measures for the Assessment of Regulatory Compliance and Prudential Operation of Banks' Foreign Exchange Business 特此通知。
State Administration of Foreign Exchange 附件:银行外汇业务合规与审慎经营评估办法
May 15, 2019 国家外汇管理局
Annex 2019年5月15日
Measures for the Assessment of Regulatory Compliance and Prudential Operation of Banks' Foreign Exchange Business 附件
 银行外汇业务合规与审慎经营评估办法
Article 1 For the purposes of encouraging banks to conscientiously implement the provisions on foreign exchange administration, promoting regulatory compliance and prudential operation, and maintaining the stability of the financial system, these Measures are developed in accordance with the Regulation of the People's Republic of China on Foreign Exchange Administration, the Measures for the Administration of the Foreign Exchange Settlement and Sale Business of Banks and other relevant provisions. 
   第一条 为激励银行认真贯彻和实施外汇管理规定,促进合规与审慎经营,维护金融体系稳定,根据《中华人民共和国外汇管理条例》和《银行办理结售汇业务管理办法》等相关规定,制定本办法。
Article 2 The SAFE and its branches and sub-branches (hereinafter referred to as “foreign exchange authorities”) shall assess the regulatory compliance and prudential operation of banks' foreign exchange business on an annual basis. The assessment period shall last from October 1 of the last year to September 30 this year. 
   第二条 国家外汇管理局及其分支局(以下简称外汇局)对银行外汇业务合规与审慎经营情况按年度进行评估。评估周期为上年10月1日至本年9月30日。
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