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Notice by the China Banking Regulatory Commission of Issuing the Guidelines for the Management of Conduct of Practitioners of Banking Financial Institutions [Effective]
中国银监会关于印发银行业金融机构从业人员行为管理指引的通知 [现行有效]
【法宝引证码】

Notice by the China Banking Regulatory Commission of Issuing the Guidelines for the Management of Conduct of Practitioners of Banking Financial Institutions 

中国银监会关于印发银行业金融机构从业人员行为管理指引的通知

(No. 9 [2018] of the China Banking Regulatory Commission) (银监发〔2018〕9号)

All local offices of the China Banking Regulatory Commission (“CBRC”); all departments of the CBRC; all policy banks, large banks, and joint-stock banks; Postal Savings Bank of China; foreign-funded banks; financial assets management companies; and other financial institutions administered by the CBRC: 各银监局,机关各部门,各政策性银行、大型银行、股份制银行,邮储银行,外资银行,金融资产管理公司,其他会管金融机构:
The Guidelines for the Management of Conduct of Practitioners of Banking Financial Institutions are hereby issued to you for your compliance and implementation. 现将《银行业金融机构从业人员行为管理指引》印发给你们,请遵照执行。
March 20, 2018 2018年3月20日
Guidelines for the Management of Conduct of Practitioners of Banking Financial Institutions 银行业金融机构从业人员行为管理指引
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of urging banking financial institutions to strengthen the management of conduct of their practitioners, and promoting 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 为督促银行业金融机构加强从业人员行为管理,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 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 the People's Republic of China.   第二条 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。
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. 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 For the purposes 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 dispatch agencies to engage in auxiliary financial services.   第三条 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派遣机构签订协议从事辅助性金融服务的其他人员。
Article 4 Banking financial institutions shall assume the responsibility for the management of conduct of their practitioners. Banking financial institutions shall strengthen the management of 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 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 Framework for the Management of Practitioners' Conduct 

第二章 从业人员行为管理的治理架构

Article 5 A banking financial institution shall establish a management 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 management of practitioners' conduct.   第五条 银行业金融机构应建立覆盖全面、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 The board of directors of a banking financial institution shall assume the ultimate responsibility for the management of its practitioners' conduct, and perform the following functions:   第六条 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) Cultivating the cultures of compliance with laws and regulations and honesty and trustworthiness for the management of practitioners' conduct. (一)培育依法合规、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 management of practitioners' conduct. (三)监督高级管理层实施从业人员行为管理。
The board of directors may authorize its relevant subordinate committees to perform part of its functions. 董事会可授权下设相关委员会履行其部分职责。
Article 7 The board of supervisors shall take charge of supervising and evaluating the performance of functions by the board of directors and the senior management in the management of practitioners' conduct.   第七条 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。
Article 8 The senior management shall assume the responsibility for conducting the management of practitioners' conduct, execute the resolutions of the board of directors, and perform the following functions:   第八条 高级管理层承担从业人员行为管理的实施责任,执行董事会决议,履行以下职责:
(1) Establishing an all-round management system for practitioners' conduct, and specifying the scope of functions of the relevant conduct management departments. (一)建立覆盖全面的从业人员行为管理体系,明确相关行为管理部门的职责范围;
(2) Developing the code of conduct and detailed rules thereof, and guaranteeing the implementation thereof. (二)制定行为守则及其细则,并确保实施;
(3) Reporting the results on the assessment of practitioners' conduct to the board of directors each year.
......
 (三)每年将从业人员行为评估结果向董事会报告;
......

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