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【法宝引证码】
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- Issuing authority：
Instrumentalities of the State Council,All Commissions,State Development & Reform Commission (incl. former State Development Planning Commission),All Banks,People's Bank of China,China Banking Regulatory Commission (dissolved),China Securities Regulatory Commission,China Insurance Regulatory Commission (dissolved),Supreme People's Court,Departments and Institutions of the CPC Central Committee,Publicity Department of the Central Committee of the Communist Party of China (Publicity Department, CCCPC),State Commission Office for Public Sector Reform ,Office of Spiritual Civilization Development Steering Commission of the Central Committee of the Communist Party of China,Other Institutions,Others,All Groups (others),Office of the Central Leading Group for Cyberspace Affairs (replaced),All Ministries,Ministry of Industry & Information Technology,Ministry of Finance,Ministry of Human Resources & Social Security,Ministry of Commerce,State-owned Asset Supervision & Administration Commission of the State Council,All Agencies,General Administration of Customs,All Administrations,State Taxation Administration,State Administration for Industry & Commerce (dissolved),State Administration of Quality Supervision, Inspection & Quarantine (dissolved),All Administrations (others),All Other Centers,State Administration of Foreign Exchange
- Document Number：
No. 454 [2017] of the National Development and Reform Commission
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Date issued：
03-09-2017
- Effective date：
03-09-2017
- Level of Authority：
Departmental Regulatory Documents
- Area of Law：Government Affairs
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| Notice of the National Development and Reform Commission, the People's Bank of China, the China Banking Regulatory Commission, the China Securities Regulatory Commission, the China Insurance Regulatory Commission, the Supreme People's Court, the Publicity Department of the CPC Central Committee, the State Commission Office for Public Sector Reform, the Central Civilization Affairs Office, the Office of the Central Cyberspace Affairs Commission, the Ministry of Industry and Information Technology, the Ministry of Finance, the Ministry of Human Resources and Social Security, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the General Administration of Customs, the State Administration of Taxation, the State Administration for Industry and Commerce, the General Administration of Quality Supervision, Inspection and Quarantine, the State Administration for Civil Service, and the State Administration of Foreign Exchange on Issuing the Memorandum of Cooperation on Imposing Joint Punishment on Persons with Serious Financial Dishonesty | | 国家发展改革委、人民银行、银监会、证监会、保监会、最高人民法院、中央宣传部、中央编办、中央文明办、中央网信办、工业和信息化部、财政部、人力资源社会保障部、商务部、国资委、海关总署、税务总局、工商总局、质检总局、公务员局、外汇局印发《关于对涉金融严重失信人实施联合惩戒的合作备忘录》的通知 |
| (No. 454 [2017] of the National Development and Reform Commission) | | （发改财金规〔2017〕454号） |
| The relevant departments and institutions of all provinces, autonomous regions, municipalities directly under the Central Government, and Xinjiang Production and Construction Corps: | | 各省、自治区、直辖市和新疆生产建设兵团有关部门、机构： |
| For the purposes of further implementing the spirit of the 18th CPC National Congress and the Third, Fourth and Fifth Plenary Sessions of the 18th CPC Central Committee, fulfilling the relevant requirements in the Notice of the State Council on Issuing the Outline of the Plan for Building the Social Credit System (2014-2020) (No. 21 [2014], the State Council) and the Guiding Opinions of the State Council on Establishing and Improving the System of Joint Incentive for Honesty and Joint Punishment for Dishonesty and Accelerating the Advancement of Social Integrity (No. 33 [2016], the State Council), accelerating steps to promote the construction of social credit system in the financial sector, establishing and improving the system of imposing joint punishment on financial dishonesty, following the principle of “praising honesty and punishing dishonesty”, severely cracking down on illegal and dishonest acts in the financial sector, and creating a market environment with fair competition and natural selection, the National Development and Reform Commission, the People's Bank of China, the China Banking Regulatory Commission, the China Securities Regulatory Commission, the China Insurance Regulatory Commission, the Supreme People's Court, the Publicity Department of the CPC Central Committee, the State Commission Office for Public Sector Reform, the Central Civilization Affairs Office, the Office of the Central Cyberspace Affairs Commission, the Ministry of Industry and Information Technology, the Ministry of Finance, the Ministry of Human Resources and Social Security, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the General Administration of Customs, the State Administration of Taxation, the State Administration for Industry and Commerce, the General Administration of Quality Supervision, Inspection and Quarantine, the State Administration for Civil Service, and the State Administration of Foreign Exchange have jointly signed the Memorandum of Cooperation on Imposing Joint Punishment on Persons with Serious Financial Dishonesty, which is issued to you for your earnest implementation. | | 为深入贯彻党的十八大和十八届三中、四中、五中全会精神，落实《国务院关于印发社会信用体系建设规划纲要（2014-2020年）的通知》（国发〔2014〕21号）和《国务院关于建立完善守信联合激励和失信联合惩戒制度加快推进社会诚信建设的指导意见》（国发〔2016〕33号）有关要求，加快推进涉金融领域信用体系建设，建立健全涉金融失信联合惩戒机制，按照“褒扬诚信、惩戒失信”的原则，严厉打击涉金融违法失信行为，营造公平竞争、优胜劣汰的市场环境，国家发展改革委、人民银行、银监会、证监会、保监会、最高人民法院、中央宣传部、中央编办、中央文明办、中央网信办、工业和信息化部、财政部、人力资源和社会保障部、商务部、国资委、海关总署、税务总局、工商总局、质检总局、公务员局、外汇局等部门联合签署了《关于对涉金融严重失信人实施联合惩戒的合作备忘录》。现印发给你们，请认真贯彻执行。 |
| Annex: Memorandum of Cooperation on Imposing Joint Punishment on Persons with Serious Financial Dishonesty | | 附件：关于对涉金融严重失信人实施联合惩戒的合作备忘录 |
| National Development and Reform Commission | | 国家发展改革委 |
| People's Bank of China | | 人民银行 |
| China Banking Regulatory Commission | | 银监会 |
| China Securities Regulatory Commission | | 证监会 |
| China Insurance Regulatory Commission | | 保监会 |
| Supreme People's Court | | 最高人民法院 |
| Publicity Department of the CPC Central Committee | | 中央宣传部 |
| State Commission Office for Public Sector Reform | | 中央编办 |
| Central Civilization Affairs Office | | 中央文明办 |
| Office of the Central Cyberspace Affairs Commission | | 中央网信办 |
| Ministry of Industry and Information Technology | | 工业和信息化部 |
| Ministry of Finance | | 财政部 |
| Ministry of Human Resources and Social Security | | 人力资源社会保障部 |
| Ministry of Commerce | | 商务部 |
| State-owned Assets Supervision and Administration Commission | | 国资委 |
| General Administration of Customs | | 海关总署 |
| State Administration of Taxation | | 税务总局 |
| State Administration for Industry and Commerce | | 工商总局 |
| General Administration of Quality Supervision, Inspection and Quarantine | | 质检总局 |
| State Administration for Civil Service | | 公务员局 |
| State Administration of Foreign Exchange | | 外汇局 |
| March 9, 2017 | | 2017年3月9日 |
| Memorandum of Cooperation on Imposing Joint Punishment on Persons with Serious Financial Dishonesty | | 关于对涉金融严重失信人实施联合惩戒的合作备忘录 |
| For the purposes of further implementing the spirit of the Third, Fourth and Fifth Plenary Sessions of the 18th CPC Central Committee, fulfilling the spirit in such documents as the Several Opinions of the State Council on Promoting Fair Market Competition and Maintaining the Normal Market Order (No. 20 [2014], the State Council) and the Notice of the State Council on Issuing the Outline of the Plan for Building the Social Credit System (2014-2020) (No. 21 [2014], the State Council) and the general requirements for “praising honesty and punishing dishonesty”, promoting the information sharing and integration based on big data, and improving the innovation-driven social credit system, the National Development and Reform Commission, the People's Bank of China, the China Banking Regulatory Commission, the China Securities Regulatory Commission, the China Insurance Regulatory Commission, the Supreme People's Court, the Publicity Department of the CPC Central Committee, the State Commission Office for Public Sector Reform, the Central Civilization Affairs Office, the Office of the Central Cyberspace Affairs Commission, the Ministry of Industry and Information Technology, the Ministry of Finance, the Ministry of Human Resources and Social Security, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the General Administration of Customs, the State Administration of Taxation, the State Administration for Industry and Commerce, the General Administration of Quality Supervision, Inspection and Quarantine, the State Administration for Civil Service, and the State Administration of Foreign Exchange have reached the following consensus on imposing joint punishment on persons with serious financial dishonesty in accordance with the Notice of Strengthening the Supervision and Administration of the List of Persons with Serious Financial Dishonesty: | | 为深入贯彻党的十八届三中、四中、五中全会精神，落实《国务院关于促进市场公平竞争维护市场正常秩序的若干意见》（国发〔2014〕20号）、《国务院关于印发社会信用体系建设规划纲要（2014-2020年）的通知》（国发〔2014〕21号）等文件精神及“褒扬诚信、惩戒失信”的总体要求，促进大数据信息共享融合，创新驱动健全社会信用体系，根据《关于加强涉金融严重失信人名单监督管理工作的通知》规定，国家发展改革委、人民银行、银监会、证监会、保监会、最高人民法院、中央宣传部、中央编办、中央文明办、中央网信办、工业和信息化部、财政部、人力资源和社会保障部、商务部、国资委、海关总署、税务总局、工商总局、质检总局、公务员局、外汇局等部门就针对涉金融领域严重失信者开展联合惩戒工作达成如下一致意见： |
| I. Targets for joint punishment | | 一、联合惩戒对象 |
| “Targets for joint punishment” mean the parties listed as persons with serious financial dishonesty. If the party involved is an enterprise, the target for joint punishment shall be the enterprise and its legal representative, actual controller, a director, supervisor or senior executive who assumes personal liability or direct leadership liability for the enterprise, and a practitioner held directly responsible; if the party involved is a social organization, the target for joint punishment shall be the social organization and its legal representative, and a staff member held directly responsible; and if the party involved is a natural person, the target for punishment shall be the natural person himself or herself. | | 联合惩戒对象为列入涉金融严重失信人名单的当事人。当事人为企业的，联合惩戒对象为企业及其法定代表人，实际控制人、负有个人责任或直接领导责任的董事、监事、高级管理人员，负有直接责任的从业人员；当事人为社会组织的，联合惩戒对象为社会组织及其法定代表人和负有直接责任的工作人员；当事人为自然人的，惩戒对象为自然人本人。 |
| II. Joint punishment mechanism | | 二、联合惩戒机制 |
The departments creating the list of persons with serious financial dishonesty shall, through the national credit information sharing platform, report such information as the names, unified social credit codes, dishonest acts, and punishment decisions regarding dishonest persons to the National Development and Reform Commission (“NDRC”) in a consistent format. The NDRC shall establish a system of administering the list of persons with serious financial dishonesty, and distribute the relevant information to all departments signing the Memorandum through the national credit information sharing platform. All the signing departments shall, according to laws and regulations, implement or assist in implementing the punishment measures as prescribed in the Memorandum, and give feedback to the NDRC through the same platform on a quarterly basis.
．．．．．． | | 涉金融严重失信人名单列入部门通过全国信用信息共享平台按照统一格式向国家发展改革委报送失信人名称、统一社会信用代码、失信情形、处罚决定等信息。国家发展改革委建立涉金融严重失信人名单管理系统，并通过全国信用信息共享平台向各备忘录签署部门推送相关信息。各备忘录签署部门依据法律法规对列入涉金融严重失信人名单的当事人，执行或协助执行本备忘录规定的惩戒措施，并按季度将执行情况通过该系统反馈给国家发展改革委。
．．．．．． |
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