Local & Central Government Policy
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May
2011
People’s governments of provinces, autonomous regions and municipalities directly under the Central Government, and ministries and commissions of and institutions directly under the State Council, Since this year, the western area ha
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May
2011
Chapter 1 General Provisions Article 1 For the purpose of facilitating consumer financial industry and regulating the practices of non-bank financial institutions with respect to consumer finance business, the Measures herein have been f
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May
2011
Chapter IV Supervision over Compliance Risks Article 26 A commercial bank shall report its internal regulations such as compliance policies, formalities for compliance management as well as compliance guidelines to China Banking Regulato
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May
2011
Chapter III Functions and Duties of the Compliance Management Department Article 18 The compliance management department shall, under the guidance of its person-in-charge, assist the senior management to effectively recognize and manage
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May
2011
Chapter II Compliance Management Functions and Duties of the Board of Directors Board of Supervisors and Senior Management Article 8 A commercial bank shall establish a system of compliance management in line with its business scope, or
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May
2011
Chapter I General Provisions Article 1 For the purpose of strengthening the compliance risk management of commercial banks and maintaining commercial banks operating safely and stably, these Guidelines are instituted in accordance with the
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May
2011
Chapter VII Supplementary Provisions Article 133 In case any foreign-funded bank violates the present Detailed Rules, it shall be punished by the CBRC under the Regulations and other relevant provisions. Article 134 The present Detaile
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May
2011
Chapter VI Termination and Liquidation Article 110 The phrase "terminate… by itself" as mentioned in Article 58 of the Regulations refers to: (1) The business term as provided for in the articles of association of the so
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May
2011
Chapter V Supervision and Administration Article 78 A business institution of a foreign-invested bank shall establish an internal control system and business operating procedures which satisfy the demands of the development of its Chinese
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May
2011
Chapter IV Administration on Post-holding Qualifications Article 63 The term "senior managerial personnel" as mentioned in the Regulations and in the present Detailed Rules refers to the managerial personnel of a foreign-invested
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May
2011
Chapter III Business Scope Article 47 The phrase "purchasing/sell government bonds, financial bonds and other foreign currency negotiable securities other than stocks" as mentioned in Article 29 (4) and Article 31 (4) of the Regu
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May
2011
Article 37 A foreign bank may file a preliminary application to the CBRC and submit the following application materials if it plans to change the name of any of its branch institutions within China due to merger or split-up. (1) An applic
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