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| Notice of the State Administration of Foreign Exchange on Issuing the Measures for the Evaluation of Banks' Implementation of Provisions on Foreign Exchange Administration | | 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》的通知 |
(July 29, 2010 No.38 [2010] of the State Administration of Foreign Exchange) | |
（二0一0年七月二十九日 汇发〔2010〕38号） |
The branches and foreign exchange administrative departments of the State
Administration of Foreign Exchange in all provinces, autonomous regions and
municipalities directly under the Central Government; the branches of the State
Administration of Foreign Exchange in Shenzhen, Dalian, Qingdao, Xiamen and
Ningbo; and all national designated foreign exchange 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；各中资外汇指定银行： |
Since the Measures for the Evaluation of Banks' Implementation of Provisions on Foreign Exchange Administration came into force on August 1, 2009, they have played a satisfactory role in encouraging banks to implement the provisions on foreign exchange administration and promoting the regulatory compliance and lawful business operations of banks. To further promote the smooth progress of evaluation work and make this work more scientific and fair, the State Administration of Foreign Exchange has amended the Measures for the Evaluation of Banks' Implementation of Provisions on Foreign Exchange Administration (see Annex, hereinafter referred to as the “Measures”). You are hereby notified of the relevant matters as follows: | |
《银行执行外汇管理规定情况考核办法》自2009年8月1日正式实施以来，在激励银行贯彻和实施外汇管理规定，促进银行依法合规经营方面起到了良好效果。为进一步推进考核工作的顺利开展，提高考核工作的科学性和公平性，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（见附件，以下简称《办法》）。现就有关问题通知如下： |
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| I. After receiving this Notice, all branches and foreign exchange administrative departments of the State Administration of Foreign Exchange shall immediately forward this Notice to the central sub-branches, sub-branches, urban commercial banks, rural commercial banks, wholly foreign-funded banks, Chinese-foreign equity joint venture banks, branches of foreign banks and rural cooperative financial institutions within their respective jurisdictions, complete as soon as possible the operational training for the central sub-branches and sub-branches within their respective jurisdictions, and in strict accordance with the Measures, carry out fair and just evaluation of the banks within their respective jurisdictions. | | 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考核工作。 |
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| II. All Chinese-funded designated foreign exchange banks shall forward this Notice to their branches as soon as possible, earnestly implement the relevant requirements of the Measures, and conduct various businesses in accordance with the relevant laws and regulations. | | 二、各中资外汇指定银行应尽快转发所辖分支机构，认真落实《办法》的相关要求，依法合规办理各项业务。 |
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| III. From the date of issuance of this Notice, the Notice of the State Administration of Foreign Exchange on Issuing the Measures for the Evaluation of Banks' Implementation of Provisions on Foreign Exchange Administration (No.33 [2009] of the State Administration of Foreign Exchange) shall be abolished. The evaluation of banks' implementation of provisions on foreign exchange administration in 2010 shall be governed by the relevant provisions of these Measures. | | 三、本通知下发之日起，《国家外汇管理局关于印发＜银行执行外汇管理规定情况考核办法＞的通知》（汇发[2009]33号）废止。2010年度银行执行外汇管理规定情况考核工作依照本《办法》相关规定办理。 |
If you have any problem during the implementation of these Measures, please report it to the relevant departments of the State Administration of Foreign Exchange in a timely manner. Tel: 010-68402129 (Department of General Affairs), 010-68402464 (Department of Balance of Payments), 010-68402280 (Department of Current Account Administration), 010-68402366 (Department of Capital Account Administration), 010-68402361 (Department of Administration and Inspection) | |
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：010-68402129（综合司），010-68402464（国际收支司），010-68402280（经常项目司），010-68402366（资本项目司），010-68402361（管理检查司）。特此通知。 |
Annex: | |
附件： |
Measures for the Evaluation of Banks' Implementation of Provisions on Foreign Exchange Administration | |
银行执行外汇管理规定情况考核办法 |
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| Article 1 To encourage banks to earnestly implement the provisions on foreign exchange administration, promote the regulatory compliance and lawful business operations of banks, and enhance the effectiveness of the foreign exchange administration, these Measures are formulated in accordance with the Regulation of the People's Republic of China on Foreign Exchange Administration, the Measures for the Punishment of Illegal Financial Acts 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，促进银行依法合规经营，提升外汇管理工作有效性，根据《中华人民共和国外汇管理条例》、《金融违法行为处罚办法》等相关规定，制定本办法。 |
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| Article 2 The State Administration of Foreign Exchange and its branches and sub-branches (hereinafter referred to as the “foreign exchange authorities”) shall annually evaluate banks' implementation of the provisions on foreign exchange administration. The evaluation period shall be from January 1 to December 31 each year. | | 第二条 国家外汇管理局及其分支局（以下简称外汇局）对银行执行外汇管理规定的综合情况按年度进行考核。考核周期为每年1月1日至12月31日。 |
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| Article 3 The evaluation contents, methods and criteria shall be uniformly determined by the State Administration of Foreign Exchange. The foreign exchange authorities shall set up evaluation work teams responsible for the specific evaluation work. | | 第三条 考核内容、方法和标准由国家外汇管理局统一制定。外汇局设立考核工作小组，负责具体实施考核工作。 |
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| Article 4 Evaluation contents and points: | | 第四条 考核内容及分值： |
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| 1. Regulatory compliance evaluation indictors, for evaluating a bank's implementation of current provisions on foreign exchange administration, which shall be classified into three categories: | | （一）合规性考核指标，考核银行对于现行外汇管理规定的执行情况，共分为三类： |
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| (1) Business regulatory compliance: 60 points, evaluating whether a bank has complied with the provisions on foreign exchange administration in conducting the relevant business. | | 1.业务合规，共60分。考核银行按外汇管理规定办理相关业务情况。 |
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(2) Data quality: 30 points, evaluating whether a bank has submitted the relevant data, information and statements in a timely, accurate and complete way according to the provisions on foreign exchange administration.
．．．．．． | | 2.数据质量，共30分。考核银行按外汇管理规定及时、准确、完整报送相关数据、信息和报表情况。
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