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| Order of China Banking Regulatory Commission | | 中国银行业监督管理委员会令 |
(No. 1 [2006]) | |
（2006年第1号） |
The Provisions of China Banking Regulatory Commission on the Procedures for the Implementation of Administrative License, which were adopted at the 40th chairmen's meeting of China Banking Regulatory Commission on November 10, 2005, are hereby promulgated and shall come into force as of February 1, 2006. | |
《中国银行业监督管理委员会行政许可实施程序规定》已经2005年11月10日中国银行业监督管理委员会第40次主席会议通过。现予公布，自2006年2月1日起施行。 |
Chairman Liu Mingkang | |
主席 刘明康 |
January 12, 2006 | |
二00六年一月十二日 |
Provisions of China Banking Regulatory Commission on the Procedures for the Implementation of Administrative License | |
中国银行业监督管理委员会行政许可实施程序规定 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 For the purpose of regulating the acts of China Banking Regulatory Commission (CBRC) in implementing the administrative licensing policy, making clear the administrative licensing procedures, enhancing the administrative licensing efficiency and protecting the legitimate rights and interests of the applicant, these Provisions are formulated in accordance with the Banking Supervision Law of the People's Republic of China, Administrative License Law of the People's Republic of China, other laws, administrative regulations, and relevant decisions of the State Council. | | 第一条 为规范中国银行业监督管理委员会（以下简称银监会）及其派出机构实施行政许可行为，明确行政许可程序，提高行政许可效率，保护申请人的合法权益，根据《中华人民共和国银行业监督管理法》和《中华人民共和国行政许可法》等法律、行政法规及国务院有关决定，制定本规定。 |
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| Article 2 China Banking Regulatory Commission (hereinafter referred to as the CBRC) shall, in pursuance of the procedures as described in these Provisions, implement the administrative licensing to the financial institutions in the banking sector and other financial institutions supervised by the CBRC. The banking regulatory bureaus of the CBRC (hereinafter referred to as the banking regulatory bureaus) and branches of banking regulatory bureaus of the CBRC (hereinafter referred to as the branches of the banking regulatory bureaus) shall, within the scope of authorization of the CBRC, implement the administrative licensing according to the procedures as described in these Provisions. | | 第二条 银监会依照本规定的程序对银行业金融机构及银监会监督管理的其他金融机构实施行政许可。中国银行业监督管理委员会监管局（以下简称银监局）和中国银行业监督管理委员会监管分局（以下简称银监分局）在银监会授权范围内，依照本规定的程序实施行政许可。 |
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| Article 3 To implement the administrative licensing, the CBRC shall comply with the principle of openness, fairness, impartiality, efficiency and providing convenience for people. | | 第三条 银监会实施行政许可应当遵循公开、公平、公正、效率及便民的原则。 |
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| Article 4 All staff members of the CBRC and its dispatched institutions shall, during the course of implementing the administrative licensing, handle the matters in accordance with the law, shall be fair and clean, and shall not seek any improper benefits. | | 第四条 银监会及其派出机构的工作人员在实施行政许可过程中，应当依法办事，公正廉洁，不得谋取不正当利益。 |
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| Article 5 The administrative licensing items of the CBRC include the licensing items concerning the establishment, modification and termination of the banking financial institutions in the banking sector and other financial institutions supervised by the CBRC, businesses, qualifications of the directors and senior managers, and other licensing items decided by any law, administrative regulation and decision of the State Council. | | 第五条 银监会的行政许可事项包括银行业金融机构及银监会监督管理的其他金融机构设立、变更和终止许可事项，业务许可事项，董事和高级管理人员任职资格许可事项，法律、行政法规规定和国务院决定的其他许可事项。 |
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| Article 6 The procedures for the implementation of administrative licensing shall be classified into three links, i.e. application and acceptance, examination, as well as decision and service. | | 第六条 行政许可实施程序分为申请与受理、审查、决定与送达三个环节。 |
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| Article 7 The CBRC and its dispatched institutions shall implement administrative licensing according to the following operational flowchart: | | 第七条 银监会及其派出机构按照以下操作流程实施行政许可： |
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| (1)The CBRC, banking regulatory bureau or one of the branches of the banking regulatory bureau shall accept and examine it and make a decision; | | （一）由银监会、银监局或银监分局其中一个机关受理、审查并决定； |
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| (2)The banking regulatory bureau shall accept it and conduct preliminary examination, and submit it to the CBRC for examination and decision; | | （二）由银监局受理并初步审查，报送银监会审查并决定； |
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| (3)The branch of the banking regulatory bureau accepts it and submits it to the CBRC for examination and decision; and | | （三）由银监分局受理并初步审查，报送银监局审查并决定； |
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| (4)The CBRC accepts it, and examines it and makes a decision jointly with other administrative organs. | | （四）由银监会受理，与其他行政机关共同审查并决定。 |
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| Article 8 The administrative licensing items, conditions, concrete operational flow, time limit for examination and decision, etc. shall be governed by the Measures of China Banking Regulatory Commission for the Implementation of Administrative Licensing Items Concerning Chinese-funded Commercial Banks, the Measures of China Banking Regulatory Commission for the Implementation of Administrative Licensing Items Concerning Foreign-funded Financial Institutions, the Measures of China Banking Regulatory Commission for the Implementation of Administrative Licensing Items Concerning Non-banking Financial Institutions, and the Measures of China Banking Regulatory Commission for the Implementation of Administrative Licensing Items Concerning Cooperative Financial Institutions. | | 第八条 银行业金融机构及银监会监督管理的其他金融机构行政许可的事项、条件、具体操作流程、审查决定期限等适用《中国银行业监督管理委员会中资商业银行行政许可事项实施办法》、《中国银行业监督管理委员会外资金融机构行政许可事项实施办法》、《中国银行业监督管理委员会非银行金融机构行政许可事项实施办法》和《中国银行业监督管理委员会合作金融机构行政许可事项实施办法》等规章的规定。 |
| | 第二章 申请与受理 |
| Chapter II Application and Acceptance | |
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| | 第九条 申请人应按照《中国银行业监督管理委员会行政许可事项申请材料目录和格式要求》提交申请材料。 |
| Article 9 An applicant shall submit its application materials by observing the List and Format Requirements for the Application Materials of the Administrative Licensing Items of China Banking Regulatory Commission. | |
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| | 第十条 申请人向受理机关提交申请材料的方式为邮寄或当面递交至银监会办公厅、银监局办公室或银监分局办公室。 |
| Article 10 The applicant may submit its application materials to the General Office of the CBRC or general office of the branch of the Banking Regulatory Bureau by mail or personal delivery. | |
申请材料中应当注明详细、准确的联系方式和送达行政许可决定的邮寄地址。当面递交申请材料的，经办人员应当出示单位介绍信和合法身份证件；申请人为自然人的应当出示合法身份证件。 |
The application materials shall contain detailed and exact contact information and mailing address. If the application materials are submitted by personal delivery, the person who delivers them shall show the letter of introduction of the entity and his valid identity certificate. If the applicant is a natural person, he shall show his valid identity certificate. | |
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| | 第十一条 由下级机关受理、上级机关决定的申请事项，申请人应向受理机关提交申请材料，并提交受理申请书，简要说明申请事项。
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