| Notice by the General Office of the China Banking and Insurance Regulatory Commission of Further Improving the Work on Anti-Money Laundering and Counter-Terrorism Financing in Banking and Insurance Sectors | | 中国银保监会办公厅关于进一步做好银行业保险业反洗钱和反恐怖融资工作的通知 |
| (No. 238 [2019] of the General Office of the China Banking and Insurance Regulatory Commission) | | （银保监办发[2019]238号） |
| All local offices of the China Banking and Insurance Regulatory Commission (“CBIRC”); all policy banks, large banks, and joint-stock banks; Postal Savings Bank of China; foreign-funded banks; financial asset management companies; insurance companies and insurance asset management companies: | | 各银保监局，各政策性银行、大型银行、股份制银行，邮储银行，外资银行，金融资产管理公司，保险公司，保险资产管理公司： |
| For the purposes of strengthening the work on anti-money laundering and counter-terrorism financing in banking and insurance sectors and raising the anti-money laundering and counter-terrorism financing work level of banking and insurance institutions, you are hereby notified of the relevant matters as follows: | | 为加强银行业保险业反洗钱和反恐怖融资工作， 提升银行保险机构反洗钱和反恐怖融资工作水平，现将有关事项通知如下： |
| I. The CBIRC and its local offices shall, in accordance with the provisions of relevant laws, administrative regulations and rules, effectively carry out anti-money laundering and counter-terrorism financing examination work in terms of market access of banking and insurance institutions, and disapprove the market access of those that fail to meet the relevant conditions. | | 一、银保监会及其派出机构应当按照相关法律、行政法规及规章的规定，做好银行保险机构市场准入环节的反洗钱和反恐怖融资审查工作，对于不符合条件的，不予批准。 |
| II. The CBIRC and its local offices shall include the work on anti-money laundering and counter-terrorism financing in the scope of routine regulation of banking and insurance institutions, and supervise banking and insurance institutions in establishing and improving their internal control mechanism for anti-money laundering and counter-terrorism financing. | | 二、银保监会及其派出机构应当将反洗钱和反恐怖融资工作情况纳入机构日常监管工作范围，督促银行保险机构建立健全反洗钱和反恐怖融资内部控制机制。 |
| III. The CBIRC and its local offices shall implement the regulatory requirements for anti-money laundering and counter-terrorism financing during on-site inspection, and shall focus on inspecting institutions' establishment and implementation of the internal control rules for anti-money laundering and counter-terrorism financing during on-site inspection. | | 三、银保监会及其派出机构应当在现场检查工作中贯彻反洗钱和反恐怖融资监管要求，现场检查工作要重点对机构反洗钱和反恐怖融资内控制度建立和执行情况进行检查。 |
| IV. The CBIRC and its local offices shall strengthen communication and collaboration with the People's Bank of China (“PBC”) and its branch offices, and strengthen communication and coordination in the development of rules, on-site inspection, off-site regulation and administrative punishments, so as to promote the formation of joint regulatory efforts. | | 四、银保监会及其派出机构应当加强与人民银行及其分支机构的沟通协作，在规则制定、现场检查、非现场监管及行政处罚工作中加强沟通协调，推动形成监管合力。 |
| V. Banking and insurance institutions shall reinforce organizational guarantee, increase investment in resources for anti-money laundering and counter-terrorism financing, strengthen employees' training in anti-money laundering and counter-terrorism financing, and improve their work capabilities for anti-money laundering and counter-terrorism financing. | | 五、银行保险机构应当强化组织保障，加大反洗钱和反恐怖融资资源投入，加强对从业人员的反洗钱和反恐怖融资培训，提高反洗钱和反恐怖融资工作能力。 |
VI. Each banking or insurance institution shall, within 20 working days after the end of each year, submit its annual report on anti-money laundering and counter-terrorism financing for the previous year to the CBIRC or its local office at the place where the said institution is located in the template set out in Annex 1, and complete and submit the relevant attached tables.
．．．．．． | | 六、各银行保险机构应当于每年度结束后20个工作日内，按照附件1规定的模板向银保监会或属地银保监局报送上年度反洗钱和反恐怖融资年度报告并填报相关附表。
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