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Notice of Shanghai Regulatory Bureau of CBRC on Issuing the “Bylaws of Shanghai Municipality on the Reporting of Emergencies of Foreign-funded Banks” [Expired]
中国银监会上海监管局关于印发《上海市外资银行突发事件报告制度》的通知 [失效]

Notice of Shanghai Regulatory Bureau of CBRC on Issuing the “Bylaws of Shanghai Municipality on the Reporting of Emergencies of Foreign-funded Banks” 


(No. 75 [2006])

All foreign-capital banks, foreign-capital financial companies, and representative offices of foreign-funded financial institutions in Shanghai:

In accordance with the relevant provisions of CBRC, we have formulated the “Bylaws of Shanghai Municipality on the Reporting of Emergencies of Foreign-funded Banks”, which have been printed and are hereby distributed to you. Please comply with and implement them.

Contact: Zhang Yun (Division of Non-on-site Supervision of Foreign-funded Banks); Tel: 58881000-8179; Fax: 58404972

Contact: He Hui (Division of On-site Inspection of Foreign-funded Banks); Tel: 58881000-5447; Fax: 68885169
联系人:何晖(外资银行现场检查处);联系电话:58881000- 5447;传真:68885169

Annex: Bylaws of Shanghai Municipality on the Reporting of Emergencies of Foreign-funded Banks

Shanghai Regulatory Bureau of China Bank Regulatory Commission

September 11, 2006


Bylaws of Shanghai Municipality on Reporting Emergencies of Foreign-funded Banks

Article 1 The present Bylaws are formulated in accordance with relevant provisions of China Bank Regulatory Commission for the purpose of timely and appropriately dealing with the emergencies of foreign-funded financial institutions in Shanghai, effectively prevent and eliminate banking risks, and maintaining financial and social stability.   第一条 为及时、妥善处置上海市外资金融机构的突发事件,切实防范和化解银行业风险,维护金融和社会稳定,根据中国银行业监督管理委员会的有关规定,特制定本制度。

Article 2 The objects of report of emergencies shall be all foreign-funded banks, foreign-funded financial companies, representative offices of foreign-funded financial institutions and other foreign-funded financial institutions approved by CBRC within Shanghai (hereinafter referred to as foreign-funded banks).   第二条 突发事件报告对象为上海市各外资银行、外资财务公司、外资金融机构代表处以及其他经中国银监会批准的外资金融机构。(以下简称外资银行)。

Article 3 Emergencies as mentioned in the present Bylaws shall refer to the various incidents which involve the business operation, management and development of foreign-funded banks, and might arouse banking risks or seriously affect financial and social stability.   第三条 本制度所称突发事件,是指涉及外资银行经营、管理和发展,可能会引发银行业风险或者严重影响金融和社会稳定的各类事件。

The standards for submission of emergencies shall be the contents prescribed in Article 4 through Article 12 of the present Bylaws.

Article 4 Incidents of bank run.   第四条 金融挤兑事件。

Article 5 Incidents of gathering people to appeal to, petition to, sit in before, or demonstrate before, or even assault or besiege foreign-funded banks.   第五条 聚众到外资银行上访、请愿、静坐、示威,甚至冲击、围攻的事件。

Article 6 Cases of robbing, stealing or defrauding foreign-funded banks.   第六条 抢劫、盗窃、诈骗外资银行案件。

Article 7 Directors, senior managers or other working staff that are under either of the following circumstances:   第七条 董事、高级管理人员以及其他工作人员有下列情形的:

(1) incidents in which 1 or more directors or senior managers, or 3 or more other working staff are kidnapped or restricted of their personal freedom, are missing or died abnormally, or defect to a foreign country,; or (一)董事和高级管理人员1人以上(合1人),其他工作人员3人以上(含3人)被绑架或被限制人身自由,叛逃、失踪或非正常死亡的事件;

(2) they are suspected to have committed the duty-related crime of taking bribes, misappropriating funds, encroaching upon money or properties, etc., and have been arrested upon approval of the judicial organ. (二)涉嫌受贿、挪用、侵占等职务犯罪被司法机关批捕的;

Article 8 Fund risks and work system breakdowns which are under any of the following circumstances:   第八条 资金风险和业务系统故障有下列情形的:

(1) heavy losses of credit assets or non-credit assets having resulted; (一)重大的信贷资产或非信贷资产损失;

(2) any new major violation of rules to engage in business, provide guaranty or borrow loans having occurred or having been found; (二)新发生或者新发现重大违规经营、违规担保、违规拆借的情况;

(3) having incurred any incidents of causing any important data of a foreign-funded bank to be seriously damaged or to be missing; and (三)造成外资银行重要数据严重损毁、丢失的事件;

(4) having incurred any incidents of causing discontinuity to the payment and settlement system or other work system of a foreign-funded bank, and thus seriously affecting the normal carryout of the work. (四)造成外资银行支付结算系统或其他业务系统中断,严重影响正常工作开展的事件。

Article 9 An accident or natural disaster which is under any of the following circumstances:   第九条 发生事故、自然灾害有下列情形的:

(1) an accident or natural disaster that has caused heavy economic losses to a foreign-funded bank; (一)造成外资银行较大经济损失的事故、自然灾害;

(2) an incident of stealing, selling, divulging or losing confidential information, which might affect financial stability, and cause economic disorderliness; (二)盗窃、出卖、泄漏或丢失涉密资料;可能影响金融稳定,造成经济秩序混乱的事件;

(3) an incident that has caused a foreign-funded bank's important account books and blank vouchers seriously damaged or missing; and (三)造成外资银行重要账册、空白凭证严重损毁、丢失;

(4) an incident that has caused injury or death to more than one employee of a foreign-funded bank. (四)造成外资银行职工多人伤亡事件。

Article 10 The information on the inspection made by an administrative department for industry and commerce, that of taxation, or other regulatory department on foreign-funded banks, its regulatory suggestions or opinions, penalty decisions and results.   第十条 工商、税务等其他监管部门对外资银行进行检查的情况、监管建议或意见、处罚决定及结果。

Article 11 Other incidents which might arouse systematic banking risks within the banking industry, or might seriously affect financial and social stability, or which are considered by Shanghai Regulatory Bureau as important, and are required thereby to be submitted in time by the foreign-funded bank concerned.   第十一条 其他可能引发系统内系统性银行业风险或严重影响金融和社会稳定以及上海银监局认为事关重大,要求外资银行及时报送的事件。

Article 12 The major emergencies occurring in sensitive areas at a sensitive time and involving sensitive people shall not be restricted by the contents prescribed in Article 4 through Article 11 of the present Bylaws.   第十二条 发生在敏感地区、敏感时间,涉及敏感人物的重大突发事件不受本制度第四条至第十一条内容的限制。

Article 13 The emergencies of all foreign-funded banks in Shanghai shall be directly reported to Shanghai Regulatory Bureau.   第十三条 上海市各外资银行的突发事件直接向上海银监局报告。

Article 14 A foreign-funded bank shall, within 24 hours after the occurrence of an incident, report the relevant information to Shanghai Regulatory Bureau, pay attention to the development of the state of affairs at any time, and submit the follow-up information in time. An institution meeting with a bank run incident shall, before the incident completely calms down, report the progress of the incident every day, and shall report the progress of other risks once every 10 days. The principal reporting bank of a foreign-funded bank in Shanghai shall perform its duties, pay active attention to the emergencies of other domestic branches, and any other branch shall also submit its emergencies, if any, to Shanghai Regulatory Bureau immediately.   第十四条北大法宝,版权所有 外资银行应于事发后24小时内将有关情况报上海银监局,并随时关注事态发展,及时报送后续情况。发生挤提事件的机构,在事件完全平息之前,应每天上报事件的进展情况,其他风险情况应每10天上报一次进展情况。上海市的外资银行主报告行应履行主报告行职责,积极关注国内其他分行突发事件发生情况,一旦其他分行有突发事件发生也应立即报送上海银监局。

Article 15 Foreign-funded bank shall submit their emergencies by fax uniformly in the form of “Report of Emergencies” (see attachment), provided that confidential contents may be submitted by confidential fax or by direct service, etc.   第十五条 外资银行统一以《突发事件报告》形式(附后),通过传真上报突发事件,涉密内容可以通过保密传真、直接送达等方式上报。

Article 16 The contents of a “Report of Emergencies” shall contain complete elements, specify the information such as the cause, time and place of the incident, the present situation, the measures taken, forecast on the development of the state of affairs, the influences, etc. If there are any casualties or property losses, it shall particularly specify the number of casualties and the amount of losses. For a bank run incident, the report shall particularly specify the number of people attending the bank run, the changes with savings in the institution getting in a bank run, the assets and liabilities, the position, and the spread of risks; for an incident of gathering people to appeal to the higher authority or to besiege the foreign-funded bank, the report shall particularly specify the number of participants, and time that lasts, the on-site order and the influences; for an incident of losing or damaging important vouchers or confidential information, or for a system breakdown, etc., the report shall particularly specify the possible consequences and the measures to be taken; for any of the aforementioned cases, the report shall specify the time, place, people, matter and results, and for a natural disaster, the report shall specify the basic information and account books, important blank vouchers, the kind, quantity and amount of property losses and the extent of injuries to the people, and so on.   第十六条 《突发事件报告》内容应要素齐全,应说明事件的起因、时间、地点、当前的情况、已采取的措施、事态发展预测、造成的影响等情况。有伤亡及财产损失的,应特别说明伤亡人数和损失金额,金融挤兑事件应特别说明参加挤兑的人数、被挤兑机构存取款变化、资产负债、头寸情况及风险蔓延情况;聚众上访、围攻事件应特别说明参与的人数,持续的时间、现场秩序情况和造成的影响;重要凭证、保密资料丢失或损毁及系统故障等事件,应特别说明可能引发的后果和拟采取的措施;案件要说明何时、何地,何人、何事、何果,自然灾害情况要说明基本情况以及账册、重要空白凭证、财产损失的种类、数量、金额以及人员受伤害程度等。

Article 17 A foreign-funded bank's emergency report shall be signed and issued by the principal person-in-charge of the institution handling the incident, be affixed with the bank's seal and then be submitted. If the principal person-in-charge is unable to sign and issue the report due to any particular reason, another person-in-charge may, upon authorization of the principal person-in-charge, sign and issue it. The emergency report of any other domestic branch may be signed by the principal person-in-charge of the principal reporting bank, be affixed with the bank's seal and then be submitted.   第十七条 外资银行突发事件的报送由事件发生机构的主要负责人签发并加盖单位公章后上报,主要负责人因特殊原因无法签发的,经主要负责人授权,可由其他负责人签发,其他国内分行的突发事件可由主报告行主要负责人签字并加盖公章后上报。

Article 18 An institution to which a case occurs shall, after the reported emergency calms down, timely summarize the process, cause, disposal measures and lessons, etc. of the whole incident, form an entire emergency risk disposal report, and submit the formal text to Shanghai Regulatory Bureau.   第十八条 案发机构应在所报告的突发事件平息后,及时对整个事件的发生过程、原因、处置措施以及教训等进行总结,并形成完整的突发事件风险处置报告,正式行文上报上海银监局。

Article 19 An accountability system shall be adopted to the report of emergencies of foreign-funded banks. Any person held directly liable or any relevant responsible person who violates the present Bylaws by delaying the reporting, omitting, concealing or misreporting a major emergency and thus causes serious consequences shall, in accordance with the relevant provisions in the “Banking Supervision Law of the People's Republic of China” and “Regulation of the People's Republic of China on the Administration of Foreign-funded Financial Institutions聊五分钱的天吗”, be given disciplinary sanctions by the bank, or be directly given corresponding administrative penalties; if any crime is constituted, he shall be subject to criminal liabilities according to law.   第十九条 外资银行突发事件的报告实行问责制。对违反本规定迟报、漏报、瞒报、误报重大突发事件造成严重后果的直接责任人和相关负责人,根据《中华人民共和国银行业监督管理法》、《中华人民共和国外资金融机构管理条例》的相关规定,可责令银行给予纪律处分,或者直接给予相应的行政处罚,构成犯罪的,依法追究刑事责任。

Article 20 A foreign-funded bank shall establish a special archive on report of emergencies, and shall conduct follow-up management of such archives.   第二十条 外资银行应建立突发事件报告专项档案,并进行跟踪管理。

Article 21 The present Bylaws shall be applicable to all foreign-funded banks which are located in Shanghai and are directly supervised by Shanghai Regulatory Bureau.   第二十一条 本制度适用于上海银监局直接监管的上海市各外资银行。

Article 22 The present Bylaws shall come into force as of the date of printing and distribution.   第二十二条 本制度自印发之日起实施。

Article 23 The power and responsibility to interpret the present Bylaws shall remain with Shanghai Regulatory Bureau.   第二十三条 本制度由上海银监局负责解释。


Report of Emergency

[200 ] Issue No. ___
[200 ]第××期

Reported by:______              Signed and Issued by:______
报告单位:××××××                        签发人:××


Report on ___________

Shanghai Regulatory Bureau:

________ (Date) ______ (Month) _______ (Year)
年  月  日



Contact:___________               Tel:___________
联系人:××××                          联系电话:××××
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