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Notice of the General Office of the China Banking and Insurance Regulatory Commission on Verifying the Practice Registration Data on Sales Personnel of Insurance Companies [Effective]
中国银保监会办公厅关于开展保险公司销售从业人员执业登记数据清核工作的通知 [现行有效]
【法宝引证码】

Notice of the General Office of the China Banking and Insurance Regulatory Commission on Verifying the Practice Registration Data on Sales Personnel of Insurance Companies 

中国银保监会办公厅关于开展保险公司销售从业人员执业登记数据清核工作的通知

(No. 71 [2019] of the General Office of the China Banking and Insurance Regulatory Commission) (银保监办发〔2019〕71号 )

All local offices of the China Banking and Insurance Regulatory Commission and all insurance companies: 各银保监局,各保险公司:
Practice registration is of vital importance for managing the practices of sales personnel of insurance companies (hereinafter referred to as “sales personnel”). In some insurance companies, the responsibilities of practice registration are unclear, the management of practices is not solid, the registration standards are inaccurate, the information filled out is incomplete, the new employees are not registered promptly, and the employees leaving their positions are not deregistered in time, resulting in a huge difference between the number of registered sales personnel and their actual number, and seriously impacting the authenticity, accuracy and completeness of the industry's basic data. Therefore, the China Banking and Insurance Regulatory Commission (“CBIRC”) decides to check, verify, and rectify the practice registration data on sales personnel of insurance companies as of March 15, 2019 in accordance with the Insurance Law of the People's Republic of China, the Measures for the Supervision and Administration of Insurance Sales Personnel, the Integration Standards of China Insurance Statistics Information System, and other laws and regulations. Relevant matters are hereby notified as follows: 执业登记是落实保险公司销售从业人员(以下简称从业人员)执业管理的重要基础。部分保险公司执业登记责任虚化、执业管理有名无实,登记上口径把握不准、信息填报不全,维护上不及时登记新进人员、不及时清除离职人员,导致从业人员执业登记人数与实际人数出现较大偏差,严重影响行业基础数据的真实、准确和完整性。依据《中华人民共和国保险法》《保险销售从业人员监管办法》《中国保险统计信息系统对接标准》等法律法规和有关规定,中国银保监会决定,自2019年3月15日起开展保险公司从业人员执业登记数据清核整顿工作。现将有关事项通知如下:
I. Purposes   一、清核目的
1. Improving the data quality of sales personnel at the data sources, building a more solid data base, and strengthening the management of basic data; 1.提高从业人员源头数据质量,夯实数据基础,加强基础数据管理。
2. Getting the information and actual conditions of the team of sales personnel, and analyzing the structure and characteristics of the team; and 2.摸清从业人员队伍状况,掌握从业人员队伍实情,分析从业人员队伍结构和特点。
3. Supporting insurance companies in fulfilling the responsibilities for the supervision of sales personnel, and intensifying the management of practices of sales personnel. 3.落实保险公司对从业人员的管控责任,强化从业人员执业管理。
II. Personnel subject to verification   二、清核对象
All sales persons of insurance companies, including insurance sales agents of all insurance channels (e.g. individual insurance, group insurance, and bancassurance), as well as the staff, dispatched laborers, and non-full-time employees who engage in insurance sales. 保险公司从事保险销售的所有人员,应涵盖个险、团险、银保等所有渠道的代理制从业人员,以及从事保险销售的员工、劳务派遣人员、非全日制用工人员等。
III. Standards   三、清核标准
1. Having all sales personnel registered. All sales personnel of insurance companies shall, based on the standard formats, obtain practice registration in the subsystem of management of practices, which is an insurance intermediary supervision information system (hereinafter referred to as the “intermediary system”). 1.全面登记无遗漏。保险公司从事保险销售的所有人员均应按规定格式在保险中介监管信息系统-执业管理子系统(以下简称中介系统)进行执业登记。
2. Filling out the complete information accurately. Each salesperson shall fill out his or her entire personal information and ensure the authenticity, completeness and accuracy of the information. 2.全面填准无差错。每名从业人员名下的各项信息填全填准,确保真实、完整、准确。
3. Verifying all the information for consistency. With the same standards of statistics, insurance companies shall ensure that the data of their sales personnel in four aspects including the intermediary system, the statistics information system of the CBIRC (hereinafter referred to as the “statistics information system”), the personnel management system of insurance companies, and public disclosure (hereinafter referred to as the “four data”) are basically consistent. 3.全面核对无差异。在同口径统计前提下,保险公司应确保其在中介系统、中国银保监会统计信息系统(以下简称统信系统)、保险公司自身人员管理系统以及对外公开披露这四个方面的从业人员数据(以下简称“四个数据”)基本一致。
IV. Procedures   四、清核步骤
1. Phase I: self-inspection and rectification of insurance companies. Upon receiving this Notice, insurance companies shall work to have their new employees registered, self-inspect and verify the practice registration of all their sales personnel in the intermediary system, and properly arrange the schedule of checking and verifying the data so as to prevent the system from congestion due to a large quantity of information filled out right before the end of self-inspection. More than 50% of the self-inspection task shall be completed before April 30, 2019, and the rest shall be completed before May 31. The task shall focus on the following areas: (一)第一阶段:保险公司自查整改。自收到本通知之日起,应在做好新入司从业人员执业登记的同时,对本公司所有从业人员在中介系统执业登记进行自查清核,并合理安排清核进度,避免在自查结束前集中填报造成系统拥堵。2019年4月30日前完成自查任务的50%以上,5月31日前完成全部自查清核工作。自查清核重点包括以下方面:
(1) Checking the information of all valid staff: (i) Checking the list of all valid staff, self-inspecting the data in the personnel management system, and, based on which, checking and verifying the data in the intermediary system. The efforts shall be made to remove the sales persons who are falsely reported or added at the basic level to evade taxes or swindle money, and to eliminate the false names in the intermediary system; (ii) Verifying if the number of insurance sales agents of all insurance channels (e.g. individual insurance, group insurance, and bancassurance) is reported according to the requirements set forth in the Integration Standards of China Insurance Statistics Information System. “Valid staff” means the personnel who have signed valid sales agency agreements or labor contracts with insurance companies and will certainly continue to engage in insurance sales activities in their respective companies.
......
 1.全面核查有效人员。(1)全面清查核对有效人员名单,自查自身人员管理系统数据,以此为基础对中介系统数据进行清核。要重点关注并清除基层机构违规避税、套取费用而虚挂虚增的人员,消除中介系统中的虚假人员。(2)核对报送统信系统数据是否按照《中国保险统计信息系统对接标准》的要求,全口径报送个险、团险、银保等所有渠道在内的代理制人员数量。有效人员指与保险公司签订有效代理协议、劳动合同等,被认定将继续在本公司从事保险销售的人员。
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