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Announcement of the China Banking Regulatory Commission on Requesting Public Comments on the Guidelines for the Administration of the Conduct of Practitioners of Banking Financial Institutions (Consultation Paper)
中国银监会关于《银行业金融机构从业人员行为管理指引(征求意见稿)》公开征求意见的公告
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Announcement of the China Banking Regulatory Commission on Requesting Public Comments on the Guidelines for the Administration of the Conduct of Practitioners of Banking Financial Institutions (Consultation Paper) 

中国银监会关于《银行业金融机构从业人员行为管理指引(征求意见稿)》公开征求意见的公告


To further regulate the conduct of practitioners of banking financial institutions, and strengthen the regulation of banking financial institutions' administration of the conduct of their practitioners, the China Banking Regulatory Commission has developed the Guidelines for the Administration of the Conduct of Practitioners of Banking Financial Institutions, on which public comments are hereby requested. The public may submit their comments in the following manners:
 
为进一步规范银行业金融机构从业人员行为,加强对银行业金融机构对其从业人员行为管理的监管,中国银监会制定了《银行业金融机构从业人员行为管理指引》,现向社会公开征求意见。公众可以通过以下途径反馈意见:

 
I. The comments may be sent by e-mail to gzzx@cbrc.gov.cn.   一、通过电子邮件将意见发送至:gzzx@cbrc.gov.cn

 
II. The comments may be sent by fax to 010-66299189.   二、通过传真将意见发送至:010-66299189

 
III. The comments may be sent by letter to the Prudential Regulation Bureau of the China Banking Regulatory Commission, Jia 15 Jinrong Street, Xicheng District, Beijing (postal code: 100140), and “Comments on the Guidelines for the Administration of the Conduct of Practitioners of Banking Financial Institutions” shall be indicated on the envelope.   三、通过信函方式将意见寄至:北京市西城区金融大街甲15号中国银监会审慎规制局(邮编:100140),并在信封上注明“银行业金融机构从业人员行为管理指引征求意见”字样。

Deadline for submission of comments: March 30, 2018.
 
意见反馈截止时间为2018年3月10日。

China Banking Regulatory Commission
 
中国银监会

February 11, 2018
 
2018年2月11日

Guidelines for the Administration of the Conduct of Practitioners of Banking Financial Institutions (Consultation Paper)
 
银行业金融机构从业人员行为管理指引

 
(征求意见稿)
Chapter I General Provisions 

 

第一章 总则

Article 1 (Legal Basis) To strengthen the regulation of banking financial institutions' administration of the conduct of their practitioners, and promote the safe and steady operation of the banking industry, these Guidelines are developed in accordance with the Law of the People's Republic of China on Commercial Banks, the Banking Supervision and Administration Law of the People's Republic of China and other laws and regulations. 

   第一条 (法律依据)为加强对银行业金融机构对其从业人员行为管理的监管,促进银行业安全、稳健运行,根据《中华人民共和国商业银行法》、《中华人民共和国银行业监督管理法》等法律法规制定本指引。
Article 2 (Scope of Application) For the purposes of these Guidelines, “banking financial institutions” means commercial banks, rural credit cooperatives and other financial institutions and policy banks absorbing public deposits which are formed within the territory of People's Republic of China. 

These Guidelines shall apply to thefinancial asset management companies, trust companies, finance companies and financial lease companies formed within the territory of the People's Republic of China and other financial institutions formed with the approval of the banking regulatory authority of the State Council.
   第二条 (适用范围)本指引所称银行业金融机构是指在中华人民共和国境内设立的商业银行、农村信用合作社等吸收公众存款的金融机构及政策性银行。

 
在中华人民共和国境内设立的金融资产管理公司、信托公司、财务公司、金融租赁公司以及经国务院银行业监督管理机构批准设立的其他金融机构适用本指引。
Article 3 (Definition of Practitioners) For the purpose of these Guidelines, “practitioners of banking financial institutions (hereinafter referred to as “practitioners”)” means in-service employees who have signed labor contracts with banking financial institutions in accordance with the Labor Contract Law of the People's Republic of China; members of the boards of directors (council members) and the boards of supervisors, and senior executives of banking financial institutions; and other personnel who are employed by banking financial institutions or have signed agreements with labor service agencies to directly engage in the financial business. 

   第三条 (从业人员定义)本指引所称银行业金融机构从业人员(以下简称从业人员)是指按照《中华人民共和国劳动合同法》规定,与银行业金融机构签订劳动合同的在岗人员;银行业金融机构董(理)事会成员、监事会成员及高级管理人员;以及银行业金融机构聘用或与劳务代理机构签订协议直接从事金融业务的其他人员。
Article 4 (Overall Requirements) Banking financial institutions shall assume the responsibility for the administration of the conduct of their practitioners. Banking financial institutions shall strengthen the administration of the conduct of their practitioners, so as to enable them to have good professional ethics, be honest and trustworthy, and diligent and responsible, adhere to legal and regulation-compliant operation, observe working disciplines and the confidentiality principle, and strictly implement various provisions on practicing integrity. 

   第四条 (总体要求)银行业金融机构对本机构从业人员行为管理承担主体责任。银行业金融机构应加强对从业人员行为的管理,使其保持良好的职业操守、诚实守信、勤勉尽责,坚持依法经营、合规操作,遵守工作纪律和保密原则,严格执行廉洁从业的各项规定。
Chapter II Governance Structure for the Administration of Practitioners' Conduct 

 

第二章 从业人员行为管理的治理架构

Article 5 (Organizational Structure) A banking financial institution shall, under the leadership of the Party organizations, establish the administration system for practitioners' conduct featuring full coverage, clear authorization and mutual checks and balances, and specify the division of work among the board of directors, the board of supervisors, senior management and relevant functional departments in the administration of practitioners' conduct. 

   第五条 (组织架构)银行业金融机构应在党组织领导下,建立全面覆盖、授权明晰、相互制衡的从业人员行为管理体系,并明确董事会、监事会、高级管理层和相关职能部门在从业人员行为管理中的职责分工。
Article 6 (Functions of the Board of Directors) The board of directors of a banking financial institution shall assume the ultimate responsibility for the administration of its practitioners' conduct, and perform the following functions: 

   第六条 (董事会职责)银行业金融机构董事会对从业人员的行为管理承担最终责任,并履行以下职责:
(1) Establishing the cultures of compliance with laws and regulations and honesty and trustworthiness for the administration of practitioners' conduct. 

 (一)建立依法合规、诚实守信的从业人员行为管理文化;
(2) Approving the code of conduct and the detailed rules thereof developed by the institution. 

 (二)审批本机构制定的行为守则及其细则;
(3) Supervising the senior management's administration of practitioners' conduct. 

The board of directors may authorize its relevant subordinate committees to perform part of its functions.
 (三)监督高级管理层实施从业人员行为管理。

 
董事会可授权下设相关委员会履行其部分职责。
Article 7 (Functions of the Board of Supervisors) The board of supervisors shall take charge of supervising and assessing the performance of functions by the board of directors and the senior management in the administration of practitioners' conduct. 

   第七条 (监事会职责)监事会负责对董事会和高级管理层在从业人员行为管理中的履职情况进行监督评价。
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