中英对照2021金融控股公司董事、监事、高级管理人员任职备案管理暂行规定.docx

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1、(2021)第 2 号)金融控股公司董事、监事、高级管理人员任职备案管理 暂行规定已经2021年3月11日中国人民银行2021年第 2次行务会议审议通过，现予发布，自2021年5月1日起 施行。行长：易纲2021年3月31日金融控股公司董事、监事、高级管理人员任职备案管理暂 行规定InterimProvisionsontheAdministrationofRecordationfortheOffice-HoldingofDirectors,Supervisors,andSeniorExecutivesofFinancialHoldingCompaniesDocumentNumber：Order

2、No.22021oflhePeoplesBankofChinaAreaofLaw:GeneralProvisionsonBanking1.evelofAuthority：DepartmentalRulesIssuingAuthority：PeoplesBankofChinaDateIssued：03-31-2021EffectiveDate05-01-2021Status：EffectiveOrderofthePeoplesBankofChina中国人民银行令(No.22021)TheInterimProvisionsontheAdministrationofRecordationforthe

3、Office-HoldingofDirectors,Supervisors,andSeniorExecutivesofFinancialHoldingCompanies,asdeliberatedandadoptedatthesecondexecutivemeetingofthePeoplesBankofChinafor2021onMarch11,2021,areherebyissuedandshallcomeintoforceonMay1,2021.Governor:YiGangMarch3L2021InterimProvisionsontheAdministrationofRecordat

4、ionfortheOffice-HoldingofDirectors,Supervisors,andSeniorExecutivesofFinancialHoldingCompanies第一章总则ChapterIGeneralProvisionsArticle 3 The People,s Bank of China (PBC) shall be第三条 中国人民银行负责对金融控股公司董事、Article1ForthepurposesofstrengtheningtheadministrationofIheoffice-holdingofdirectors,supervisors,andseni

5、orexecutivesoffinancialholdingcompanies,regulatingtheoperationoffinancialholdingcompanies,andpreventingoperatingrisks,theseProvisionsaredevelopedinaccordancewiththeDecisionoftheStateCouncilontheImplementationoftheAccessAdministrationOfFinancialHoldingCompanies(No.122020,StateCouncil),theInterimMeasu

6、resfortheSupervisionandAdministrationofFinancialHoldingCompanies(OrderNo.42020,PBC),andotherrelevantlawsandregulations.Article2Theadministrationoftheoffice-holdingofdirectors,supervisors,andseniorexecutivesofnancialholdingcompaniesshallbegovernedbytheseProvisions.ForthepurposesoftheseProvisions,seni

7、orexecutivesmeanspersonswithdecision-makingpowerorsignificantinfluenceoverthebusinessoperationandmanagement,andriskcontroloffinancialholdingcompanies,including:generalmanager,deputygeneralmanager,assistanttogeneralmanager,boardsecretary,personinchargeofriskmanagement,personinchargeofcompliance,perso

8、ninchargeoffinance,personinchargeofaudit,otherseniorexecutivesofthesameofficialranks,andpersonswhoactuallyperformthedutiesoftheaforesaidpositions.第一条为了加强对金融控股公司董事、监事、高级管理人员的任职管理，规范金融控股公司运作，防范经营风险，根据国务院关于实施金融控股公司准入管理的决定(国发(2020)12号)、金融控股公司监督管理试行办法(中国人民银行令(2020)第4号发布)及有关法律法规，制定本规定。第二条对金融控股公司董事、监事、高级管理

9、人员的任职管理，适用本规定。本规定所称高级管理人员，是指对金融控股公司经营管理、风险控制具有决策权或者重大影响的人员，包括：总经理、副总经理、总经理助理、董事会秘书、风险管理负责人、合规负责人、财务负责人、审计负责人、同职级的其他高级管理人员，以及实际履行上述职务职责的人员。responsiblefortherecordation,supervisionandadministrationoftheoffice-holdingofdirectors,SUPerViSorSandseniorexecutivesoffinancialholdingcompanies.ThePBCbranchoffi

10、cesatorabovethelevelofacentralsub-branchofasub-provincialcity(hereinafterreferredtoasthe“PBCbranchoffices)shallcarryoutrelevantworkaccordingtotheseProvisions.Article4Directors,supervisorsandseniorexecutivesoffinancialholdingcompaniesshallcomplywiththerelevantprovisionsofthelawsandadministrativeregul

11、ations,andhavetheofficequalificationsasprescribedbythePBC.Afinancialholdingcompanyshallnotappointanypersonwhodoesnothavetheofficequalificationstoserveasitsdirector,supervisororseniorexecutive,orauthorizeanypersonwhodoesnothavetheofficequalificationstoactuallyexercisetherelevantfunctionsandpowersofdi

12、rectors,supervisorsorseniorexecutives.Article5Directors,supervisors,andseniorexecutivesoffinancialholdingcompaniesshallcomplywiththelawsandadministrativeregulations,therelevantprovisionsofthePBC,andthebylawsoffinancialholdingcompanies,followtheprincipleofgoodfaith,andeffectivelyperformtheduties,with

13、outtakingadvantageoftheirpositionstoseekillicitprofits.监事、高级管理人员的任职进行备案和监督管理。中国人民银行副省级城市中心支行以上分支机构（以下简称中国人民银行分支机构）依照本规定开展相关工作。第四条金融控股公司董事、监事、高级管理人员应当符合法律、行政法规的相关规定以及中国人民银行规定的任职条件。金融控股公司不得任用不符合任职条件的人员担任董事、监事、高级管理人员，不得授权不符合任职条件的人员实际行使董事、监事、高级管理人员的相关职权。Chapter II Office Qualifications第二.章任职条件第五条金融控股公司董

14、事、监事、高级管理人员应当遵守法律、行政法规和中国人民银行有关规定，遵守金融控股公司章程，遵循诚信原则，切实履行职责，不得利用职务之便牟取非法利益。Article6Toserveasadirector,supervisor,orseniorexecutiveofafinancialholdingcompany,apersonshallmeetthefollowingconditions:(1) Thepersonhasafullcapacityforcivilconduct.(2) Thepersonhasagoodrecordofcompliancewithlawsandregulation

15、s.(3) Thepersonhasgoodcharactersandreputation.(4) Thepersonhasauniversitydiplomaatorabovetheundergraduateleveloradegreeatorabovethebachelorsdegree.(5) Thepersonhasfiveormoreyearsoffinancialworkexperienceoreightormoreyearsofrelevanteconomicworkexperienceandexperienceinotherworkappropriatetothedutiesp

16、erformedbyhim,andhassoundpracticingrecord.(6) Thepersonhastheknowledge,experience,competenceappropriatetohisfunctions.Article7Apersonwhoservesasboardchairman,viceboardchairman,chairmanoftheboardofsupervisors,generalmanagerordeputygeneralmanagerofafinancialholdingcompanyorwhoactuallyperformsthedutiesoftheaforesaidpositionsshallhaveeightormoreyearsoffinancialworkex