中国银行业监督管理委员会行政处罚办法.docx
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中国银行业监督管理委员会行政处罚办法.docx
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中国银行业监督管理委员会行政处罚办法
中国银行业监督管理委员会行政处罚办法(2007修正)
AdministrativePunishmentMeasuresofChinaBankingRegulatoryCommission
(PromulgatedandimplementedaccordingtoOrderNo.7[2004]ofChinaBankingRegulatoryCommissionandrevisedaccordingtotheDecisionofChinaBankingRegulatoryCommissiononRevisingtheAdministrativePunishmentMeasuresofChinaBankingRegulatoryCommissionasadoptedatthe54thchairmen'sutivemeetingofChinaBankingRegulatoryCommissiononDecember8,2006)
ChapterIGeneralProvisions
Article1ForthepurposesofregulatingtheimpositionofadministrativepunishmentsbyChinaBankingRegulatoryCommission(hereinafterreferredtoastheCBRC)anditsdispatchedinstitutions,maintainingtheorderofthebankingindustryandprotectingthelegitimaterightsandinterestsofthefinancialinstitutionsinthebankingindustry,otherentitiesandindividuals,thepresentMeasuresareformulatedinaccordancewiththeAdministrativePunishmentLawofthePeople'sRepublicofChina,BankingSupervisionLawofthePeople'sRepublicofChina,LawofthePeople'sRepublicofChinaonCommercialBanksandotherrelevantlawsandadministrativeregulations.
Article2TheCBRCanditsdispatchedinstitutionsshallcomplywiththepresentMeasuresingivinganadministrativepunishmenttoafinancialinstitution,anyotherentityorindividualwhoviolatesanylaw,administrativeregulationorrule.
Article3TheCBRCanditsdispatchedinstitutionsshallbasetheirimpositionofadministrativepunishmentsonthelaws,administrativeregulationsaswellasrulesandregulations.Theregulatorydocumentsatalowerlevelthanrulesandregulationsshallnotestablishanyadministrativepunishment,normaytheybethebasisforanyadministrativepunishment.
Article4Anadministrativepunishmentshallcomplywiththeprincipleoflawfulness,impartialityandopenness.
Theimpositionofanadministrativepunishmentshallbebasedonfacts,andshallbeinmatchwiththefacts,natureandcircumstancesofanillicitactaswellastheextentofharmoftheillicitacttothesociety.
Anadministrativepunishmentwithoutstatutorybasisorwithoutfollowingthestatutoryproceedingsshallbeinvalidated.
Article5TheimpositionofadministrativepunishmentsbytheCBRCanditsdispatchedinstitutionsshallcomplywiththeprincipleofseparatinginvestigationfrompunishment.
ThesupervisionandinspectiondepartmentsoftheCBRCanditsdispatchedinstitutionsshallberesponsibleforacceptingandinvestigatingintotheadministrativepunishmentcases,putforwardpunishmentopinions;thelegaldepartmentsshallberesponsibleforreviewingthelawfulnessandappropriatenessofthepunishmentopinionsandorganizinghearings.Theperson-in-chargeorchairmen'smeeting(directors'meeting)oftheCBRCanditsdispatchedinstitutionsshallberesponsiblefordecidingtheadministrativepunishment.
Withoutbeingsubjecttothereviewofthecorrespondinglegaldepartment,noadministrativepunishmentmaybeimposed.
Article6WhentheCBRCoranyofitsdispatchedinstitutionsimposesanadministrativepunishmentuponabankingfinancialinstitution,itshallorderthisbankingfinancialinstitutiontoimposeadisciplinarysanctionuponthedirectlyliabledirector,seniormanagerialpersonnelandotherdirectlyliablepersons.Ifanycrimeisconstituted,itshalltransferthemtothejudicialorganforcriminalliabilities.
Article7Theadministrativepunishmentsconsistof:
(1)warning;
(2)monetarypenalty;
(3)confiscatingillegalgains;
(4)orderingthebankingfinancialinstitutioninvolvedtosuspendbusinessforrectification;
(5)revokingthefinancialbusinessoperationpermitofthebankingfinancialinstitutioninvolved;
(6)disqualifyingthedirectorsorseniormanagerialpersonnelfromtheircurrentpositions;
(7)otheradministrativepunishmentsasprovidedforbythelawsandadministrativeregulations.
Article8Abankingfinancialinstitution,anyotherentityorindividualshallhavetherighttostatementandtherighttodefensewhenit(he)isgivenanadministrativepunishmentbytheCBRCoranyofitsdispatchedinstitution.Ifit(he)refusestoaccepttheadministrativepunishment,it(he)shallbeentitledtoapplyforadministrativereconsiderationorlodgeanadministrativelawsuit.
Whereabankingfinancialinstitution,anyotherentityorindividualsuffersanydamagefromanadministrativepunishmentunlawfullyimposeduponit(him)bytheCBRCorbyanyofitsdispatchedinstitutions,it(he)shallbeentitledtoclaimcompensationspursuanttolaw.
ChapterIIJurisdictionandApplication
Article9TheCBRCshallimposeadministrativepunishmentsonthefollowingillicitacts:
(1)TheillicitactsconductedbythebankingfinancialinstitutionsandtheirworkingpersonnelthataresubjecttothedirectsupervisionoftheCBRC;
(2)Theillicitactsthathavenationwidebadconsequences;and
(3)OtherillicitactsthattheCBRCdeemsshouldbedirectlyinvestigatedandpunishedbyit.
Article10AninstitutiondispatchedbytheCBRCshallberesponsibleforimposinganadministrativepunishmentuponthefollowingillicitactsoccurwithinitsjurisdiction:
(1)Theillicitactsconductedbythebankingfinancialinstitutionsthataresubjecttoitssupervision;and
(2)Theillicitactsconductedbyotherentitiesandindividuals.
Article11Theadministrativepunishmentasrevokingafinancialbusinessoperationpermitshallbeimposedbythebankingsupervisoryinstitution,whichissuedthispermit.
Theadministrativepunishmentoforderingabankingfinancialinstitutiontosuspendbusinessforrectificationshallbeimposedbythebankingsupervisoryinstitution,whichratifiedtheestablishmentofthisbankingfinancialinstitution.
Article12WherethereisanyjurisdictionaldisputebetweentheinstitutionsdispatchedbytheCBRC,itshallbereportedtotheircommonorganatthenexthigherlevelfordesignatingjurisdiction.
Article13Thesuperordinatebankingsupervisoryinstitutionmaydirectlyinvestigateintoandpunishanillicitactthatoccurswithinthejurisdictionofasubordinatebankingsupervisoryinstitutionandthathascausedsevereconsequences.Itmayauthorizeasubordinatebankingsupervisoryinstitutiontoinvestigateintoandpunishanillicitactthatshouldbeinvestigatedandpunishedbythesuperiororgan.
Whereasubordinatebankingsupervisoryinstitutionconsidersthatanillicitact,whichshouldbeinvestigatedandpunishedbyit,isofgrossviolationandsevereconsequences,itmayrequestthesuperordinatebankingsupervisoryinstitutiontoinvestigateintoandpunishit.
Article14WhentheCBRCoranyofitsdispatchedinstitutionsimposesanadministrativepunishment,itshallorderthepartyconcernedtocorrecttheillicitactimmediatelyorwithinatimelimit.
Article15Whereapartyconcernedisunderanyofthefollowingcircumstances,it(he)shallbegivenalighterormitigatedadministrativepunishment:
(1)Voluntarilyeliminatingorlesseningtheseverityoftheharmresultedfromit(his)illicitact;
(2)Conductingtheillicitactundercoercion;
(3)DemonstratingmeritoriousserviceinhelpingtheCBRCanditsdispatchedinstitutiontoinvestigateintoandpunishtheillicitact;
(4)Anillicitactconductedbyapersonaged14-18yearsold;or
(5)Othercircumstanceswhichallowit(him)tobegivenalighterormitigatedadministrativepunishment.
Article16Ifanillicitactfailstobediscoveredwithin2years,noadministrativepunishmentmaybegivenunlessitisotherwiseprovidedforbythelaw.
ThetimelimitasprescribedintheprecedingParagraphshallbecomputedfromthedaywhentheillicitactisconducted.Iftheillicitactisconsecutiveorcontinuous,thetimelimitshallbecomputedfromthedaywhenitends.
ChapterIIIAcceptance,Investigation,ObtainingEvidenceandExamination
Article17IftheCBRCoranyofitsdispatchedinstitutionsdiscoversasuspectillicitactafteritreceivesanyexposureordelatiomaterialsintheprocessofsupervisionandadministration,andifitconsidersthatitshallimposeanadministrativepunishmentuponpreliminaryexamination,thesupervisionandinspectiondepartmentshallfilloutthecaseacceptanceexaminationandapprovalformandacceptthecase.
Whereacaseisaccepted,acaseacceptanceexaminationandapprovalformshallbefilledout.UndertheprovisionsinthepresentMeasuresregardingthejurisdiction,itshallbesubjecttoapprovaloftheperson-in-chargeofthesupervisionandinspectiondepartmentoftheCBRC,thebankingsupervisorybureauorabranchofthebankingsupervisorybureau.
IftheCBRCoranyofitsdispatchedinstitutionsdiscoversasuspectcommittinganyillicitactduringthecourseofanon-siteinspection,itssupervisionandinspectiondepartmentmayconductaninvestigationforcollectingtheevidenceinadvance,thenestablishitasacase.
Article18ThesupervisionandinspectiondepartmentoftheCBRCoranyofitsdispatchedinstitutionsshallcomprehensively,objectivelyandimpartiallyinvestigateintothesuspectillicitactinvolvedinacase,whichhasbeenacceptedbyit,soastogatherrelevantevidences.Wherenecessary,itmayconductanon-the-spotinspection.
Article19Whenconductinganinvestigationorinspection,thereshallnotbelessthan2supervisors.TheyshallshowthepartyconcernedorrelevantpersonsthevalidcertificatesissuedbytheCBRCoritsdispatchedinstitution.Thepartyconcernedorrelevantpersonsshallhonestlyanswertheirinquiries,helpthemintheirinvestigationandinspection,andshallnotobstructor
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