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金融許可證管理辦法.doc

'金融許可證管理辦法.doc'
?金融許可證管理辦法(2007修正)Measures for the Administration of Financial LicensesMeasures for the Administration of Financial Licenses ?。╳hich adopted by Order No.2 [2003] of China Banking Regulatory Commission, and amended in accordance with the Decision of China Banking Regulatory Commission on Amending the Measures for the Administration of Financial Licenses which was adopted on the 55th chairman's meeting of the CBRC on December 28th, 2006)  Article 1 For the purpose of strengthening the access administration of financial institutions and promoting the legal operation of financial institutions, these Measures are formulated in accordance with the Banking Regulation Law of the People's Republic of China, the Administrative License Law of the People's Republic of China and other relevant laws and regulations.  Article 2 The term "financial licenses" as mentioned in these Measures shall refer to the legal documents issued by China Banking Regulatory Commission (hereinafter referred to as CBRC) according to law to permit financial institutions to operate financial businesses.  The power to issue, replace, and revoke financial licenses shall remain with the CBRC, and no other entity or individual may exercise the aforesaid power.  Article 3 Financial licenses shall apply to financial institutions that are subject to the regulation by the CBRC and that have been approved to operate financial businesses.  Financial institutions include policy banks, commercial banks, rural cooperative banks, urban credit cooperatives, rural credit cooperatives, village banks, finance companies, rural fund cooperatives, financial assets management companies, trust companies, enterprise group finance companies, financial lease companies, auto financial companies and currency brokerage companies, etc.  Article 4 The CBRC applies to financial licenses the administration principles of level-by-level authorization, and appropriate separation of the power to examine and approve the institutions from the power to issue licenses.  1) the CBRC shall be responsible for the issuance and administration of the financial licenses of financial institutions qualified as corporation (policy-oriented banks, solely state-funded commercial banks, joint-stock commercial banks, financial assets management companies, trust and investment companies, enterprise group finance companies, and financial lease companies etc.) directly subject to its regulation; and be responsible for the issuance and administration of the financial licenses of foreign-funded financial institutions such as solely foreign-funded banks and the branches thereof, Chinese-foreign equity joint banks and the branches thereof, branches of foreign banks, solely foreign-funded finance companies, and Chinese-foreign equity joint finance companies.  2) Banking regulatory bureaus shall be responsible for the issuance and administration of the following institutions' financial licenses: 1. branches of policy banks,。省略部分。ntment document issued by the higher authority of the financial institution. A financial institution shall change the content to be publicized within 5 days upon any change in the business scope or of the principal in charge.  The CBRC or its dispatched office shall supervise and inspect the public display according to law.  Article 14 No entity or individual may forge or alter any financial license. And no financial institution may lease, rent, or transfer any financial license.  Article 15 The CBRC or its dispatched office shall strengthen the information administration of financial licenses, establish a sound archive system of institution administration, and disclose the relevant information about financial licenses according to law.  Article 16 Where any financial institution, in violation of the present Measures, commits any of the following acts, the CBRC shall order it to get right within a prescribed time limit and give it a warning; if the institution fails to get right within that time limit, it may be imposed on a fine of less than 30,000 Yuan; if the circumstances are serious, the senior managerial personnel directly in charge may be deprived of their post qualification:  1) Failing to replace the financial license according to the provisions;  2) Damaging the financial license;  3) Losing the financial license and failing to report the loss to the CBRC; or  4) Failing to display to the public the financial license at the business place;  Article 17 Any commercial bank that leases or lends the financial license shall be punished according to the relevant provisions of the Law of the People's Republic of China on Commercial Banks.  Article 18 Any entity or individual forging, altering or transferring financial licenses shall be transferred to the judicial organ and subject to corresponding criminal liabilities.  Article 19 Financial licenses shall be printed and managed by the CBRC in a unified way. The CBRC shall print financial licenses according to the coding method for financial licenses, and financial licenses are valid only if they are affixed with the official stamp of the CBRC or its dispatched office when they are issued.  Financial licenses shall be subject to the special management of important proofs. The functions of keeping, printing, and issuing financial license shall be separated from and restricted by each other, and the registration system of the issuance, withdrawal, and destroying of financial licenses shall be established as the same time.  The invalidated licenses, withdrawn old licenses, and licenses returned and revoked according to law during the administration of the issuance of financial licenses shall be affixed with the stamp of "invalidated", be put on archive as import blank proofs and be destroyed at fixed terms.  Article 20 The present Measures shall be implemented as of July 1, 2003. Where any other relevant provisions conflict with these Measures, the latter shall prevail.
關 鍵 詞:
管理 許可證 辦法 金融
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