中国银行业监督管理委员会行政处罚办法.docx

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