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The State Administration of Financial Supervision was released

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The State Administration of Financial Supervision and Administration issued the "Implementation Measures

The State Administration of Financial Supervision and Administration issued the “Implementation Measures for Administrative Penalty Tailors”

In order to regulate the administrative penalty of the administrative penalty, promote strict and fair law enforcement, and maintain the industry order, the State Administration of Finance and Administration drafted the “Implementation Measures for the Implementation of Administrative Penalty Tailoring (Draft for Opinions)” (hereinafter referred to as the “Measures”).It is now officially released and implemented from May 1, 2024.

From December 11, 2023 to January 10, 2024, the State Administration of Finance Supervision and Administration publicly solicited opinions from the “Measures” to the society. After in -depth evaluation and demonstration, the “Measures” was further modified and improved.

The full text of the “Measures” has a total of 4 chapters and 32. The main contents include: First, strictly regulate law enforcement behaviors, clarify the definition of administrative penalties for tailoring, and implement the basic principles such as punishment, equivalent punishment, and legal procedures.The second is to refine the tailoring order and applicable situation.Clarify the basic connotation of reducing, light, moderate, and heavy punishment.Implement the requirements of the new revision of the “Administrative Penalty Law”, and further refine the applicable situation of non -punishment, reduce punishment, light punishment, and from heavy punishment.Clarify the factors that should be considered by personnel responsibility. When punishing multiple responsible persons, the responsibility should be distinguished.The third is to regulate the standards for the application of fines and confiscation of illegal income.Clarify the banking insurance industry from light, moderate, heavy fines, and the identification of illegal income, and calculation methods.The fourth is that if the “Measures” may have obvious improper improper, failed fairness, or the objective situation of the right to punish the discipline right, it can be adjusted.

In the next step, the State Administration of Finance and Administration will strengthen supervision and guidance and do a good job of implementing the “Measures”.

The person in charge of the relevant Division Bureau of the State Administration of Finance and Administration answered the reporter asked about the “Implementation Measures for the Implementation of Administrative Penalties”

In order to regulate the administrative penalty of tailoring, and to promote strict and fair law enforcement, the State Administration of Finance and Administration has formulated and issued the “Implementation Measures for the Administrative Penalty Tailors” (hereinafter referred to as the “Measures”).The person in charge of the relevant Division of the General Administration of Finance answered questions from reporters on the relevant questions.

1. What is the background of the “Measures”?

Standardizing the tailoring of administrative penalties is of great significance to improving the transparency of law enforcement, enhancing the credibility of law enforcement, and maintaining fairness and fairness.The newly revised the “Administrative Penalty Law” stipulates that “administrative organs can formulate the standards for administrative penalties in accordance with the law and standardize the exercise of administrative penalties. The standard for administrative penalties should be announced to the society.The formulation of the “Measures” is an important measure to implement the requirements of the newly revised administrative penalty law and other documents, and it is also an institutional arrangement that further meets the actual needs of the punishment work.In recent years, the State Administration of Finance and Administration has continuously strengthened the construction of the system of punishment for tailoring, and has accumulated some effective tailoring experience in the practice of penalties, and the level of standardization of law enforcement has been significantly improved.On the basis of summing up the practical results of solidified punishment tailoring, the “Measures”, the crowd of penalties involves key issues and key links. Through refinement of tailoring standards, standardize the scope, types, and amplitude of the tailoring, improve the quality of punishment cases, promote the laws of regulatory lawThe regulations are implemented in depth.

2. What is the situation of adopting opinions on the society publicly?

From December 11, 2023 to January 10, 2024, the State Administration of Finance Supervision and Administration publicly solicited opinions from the “Measures” and collected 110 opinions.The feedback is mainly concentrated in the application of further improvement of tailoring, standardization of fines and confiscation of illegal income settings, and improving concept definition.Most of the opinions have been adopted to absorb, increasing the scope of bank insurance institutions, improving non -punishment, reducing punishment, light punishment, applicable to the application of heavy penalties, regulating the determination of the responsible person and setting the fines.The remaining suggestions involved in increasing regulatory measures, deleting or modifying punishment time, and adjustment of the application of tailoring are not adopted because it is not a punishment tailoring scope or conflict with laws and regulations such as the Administrative Penalty Law.

3. What are the main contents of the Measures?

“Measures” total 4 chapters and 32 articles, which mainly include the following: First, strictly regulate law enforcement behaviors.Clarify the definition of penalties for punishment, and exercise of punishment tailoring shall follow basic principles such as punishment, equivalent punishment, and legal procedures.Clarify the applicable rules such as “from the old and the light” and the timing of punishment.The second is to refine the tailoring order and applicable situation.Clarify the basic connotation of reducing, light, moderate, and heavy punishment.Implement the requirements of the new revision of the punishment law, further refine the applicable situation of non -punishment, reduce punishment, light punishment, and from heavy punishment.It is clear that the responsibility of personnel shall comprehensively examine factors such as the responsibilities of the parties, the correlation between the correlation with illegal acts, and the consequences of actual harm; when punishing multiple responsible persons, the responsibility should be distinguished.The third is to regulate the standards for the application of fines and confiscation of illegal income.Clarify the bank industry insurance industry from light, moderate, heavy fines, and the standards and calculation methods of illegal income.When calculating the illegal income, the parties have refunded the pay in accordance with the law and should be deducted in the illegal income. The parties provide relevant bills, account books, etc. to prove direct related taxes and other legal and necessary expenditures, which can be deducted.Fourth, in accordance with the requirements of the “Opinions of the General Office of the State Council on Further Regulating the Founding and Management of Administrative Tailors”, it is clear that the regulatory bureaus can combine the local economic and social development status, and to make reasonable details on the order, amplitude, and application of administrative penalties within their jurisdictions.Quantitative.If the “Measures” may have obvious improper, fair and fair, or the objective situation of the right to punish the rights of the rights, it can be adjusted.If the abuse of punishment is tailored, the punishment shall be given in accordance with the law and constitutes a crime shall be investigated for criminal responsibility in accordance with the law.

4. What are the provisions of the “Measures” in implementing the new administrative punishment law?

The new revised administrative penalty law stipulates that “administrative organs can formulate the standards for administrative penalties in accordance with the law and standardize the exercise of administrative penalties.The formulation of the “Measures” is an important measure for the General Administration to implement the administrative punishment law and detailed the relevant content involving the right to tailor the right.For example: In terms of the time limit for punishment, the time limit for prosecution that involves financial security and harmful consequences has been extended to five years, and the criteria for judging the continuity of illegal acts and continuing status;From the specific application of light punishment and the specific application of heavy punishment, improve the operationability of law enforcement; in terms of the type of punishment, considering the high frequency of fines and confiscation of illegal income, clarify the standard for fines, the identification and calculation standards of illegal income, etc.EssenceIn terms of strengthening its own constraints, illegal violations such as abuse of authority in the process of exercising the discipline of punishment, abuse of power, fraud, negligence, and discipline, and laws and disciplines are held in accordance with the law.

“Implementation Measures for Administrative Penalties and Tailoring”

Implementation Measures for the Administrative Penalties of the State Administration of Finance and Administration

(March 29, 2024 The State Administration of Finance and Administration Order Order of the General Administration of Finance and Administration announced on the 5th of 2024 from May 1, 2024)

Chapter 1 General Principles
Article 1 In order to regulate the administrative penalties of the State Administration of Finance and the Government of the State Financial Supervision and Management Institutions, safeguard the market order of the banking insurance industry, and protect the legitimate rights and interests of administrative counterparts, in accordance with the “People’s Republic of China Administrative Penalty Law” and “People’s Republic of China Banking Industry SupervisionThe Management Law “Law of the People’s Republic of China Commercial Banking Law” and “The Insurance Law of the People’s Republic of China” and other relevant laws formulated these measures.
Article 2 The right to decide the administrative penalties in these Measures refers to the fact that the State Administration of Finance and Administration and its dispatch agencies in accordance with laws, administrative regulations, and bank insurance supervision regulations when implementing administrative penalties., Harmful consequences and subjective faults, decide whether to give administrative punishment, the types of administrative penalties and the extent of the penalty.
Bank insurance institutions, other units and individuals (hereinafter referred to as parties) violated laws, administrative regulations, and bank insurance supervision regulations. If the State Administration of Financial Supervision and Administration and its dispatch agencies give administrative penalties in accordance with the law, they will exercise administrative penalties in accordance with these measures.Legal, administrative regulations, and the State Administration of Finance and Administration, except as otherwise stipulated.
Article 3 Whether the types and extent of administrative penalties and administrative penalties shall be matched with the facts, nature, plot, harmful consequences, and subjective fault of the facts of illegal acts.
Article 4 The exercise of punishment and tailoring shall strictly abide by the legal procedures, and give administrative penalties to the complicated or major illegal acts, and the person in charge of the State Administration of Finance and Administration shall collectively discuss and decide.Without legal procedures, no unit or individual may make or change the decision of administrative penalties without authorization.
Article 5 The implementation of administrative penalties shall be implemented, and laws, administrative regulations, and bank insurance supervision regulations shall be applied to the occurrence of illegal acts.However, when the administrative penalty decision is made, laws, administrative regulations and relevant regulatory regulations have been revised or abolished, and the new regulations are lighter or do not consider it illegal. New regulations are applicable.
Article 6 If two or more parties shall jointly implement illegal acts, they shall distinguish the main role of their joint illegal acts and implement corresponding administrative penalties.
Article 7 In accordance with the provisions of laws, administrative regulations, and bank insurance supervision, if administrative penalties are not imposed before they are not corrected, they shall first or order the parties to make corrections within a time limit and do not correct them within the time limit.Correcting the time limit should be clear and reasonable.
Article 8 If the parties are suspected of committing a crime, they shall be transferred to the judicial organs or disciplinary inspection and supervision agencies in accordance with relevant regulations, and shall be investigated for criminal responsibility in accordance with the law.When illegal acts constitute a crime, when the people’s court has already fined fines, the administrative organs have not given a fine to the parties and no fines are given.
Article 9 If illegal acts have not been discovered within two years, administrative penalties are no longer given; if financial security and harmful consequences are extended to five years.Except for other provisions.
The deadline stipulated in the preceding paragraph is calculated from the date of the occurrence of illegal acts; if the illegal act is continuous or continued, it is calculated from the date of the behavior.
The continuous state of illegal acts refers to the situation that continuously implements several independent illegal acts based on the same illegal intentional intention, and violates the same regulatory provisions.
The continued state of illegal acts refers to the illegal state of the behavior of the illegal act after the implementation of an illegal act.
Chapter 2 Tailors and Application Situations
Article 10 The reduction of penalties in accordance with the law refers to the types of punishment and its penalties stipulated in laws, administrative regulations, and rules below their amplitude, except for the applicable warnings, notifications, criticism, and confiscation of illegal income.
If there is no specification, the minimum fine is only stipulated in the maximum fine, and the fine is not applied.
Article 11: Light punishment in accordance with the law refers to a lighter punishment in the types of penalties stipulated in laws, administrative regulations, and rules, except for the applicable warnings, notifications, criticism, and confiscation of illegal income.
Article 12 The heavy punishment in accordance with the law refers to a heavier punishment in the types of punishment stipulated in laws, administrative regulations and rules, except for the applicable warnings, notifications, criticism, and confiscation of illegal income.
Article 13 If one of the following circumstances, no penalty is given according to law:
(1) The illegal behavior is slight and corrected in time, which does not cause the consequences of harm;
(2) If the parties have evidence enough to prove that there is no subjective fault, if the law and administrative regulations have other regulations, from their regulations;
(3) illegal acts have exceeded the timeliness of legal punishment;
(4) Other situations stipulated in laws and administrative regulations that do not give administrative penalties.
If the first illegal and harmful consequences are mild and corrected in time, you may not be punished.
If administrative penalties are not imposed in accordance with the law, the parties shall be educated.
Article 14 If the parties have one of the following circumstances, the punishment shall be reduced according to law:
(1) Those who are severely coerced or severely deceived by others;
(2) Cooperating with the State Administration of Finance and Administration and its dispatched agencies to investigate and deal with illegal acts, there is a major performance of illegal acts;
(3) If the State Financial Supervision and Administration Administration and its dispatch agencies actively confess to illegal acts that have not yet mastered the supervision;
(4) If the State Financial Supervision and Administration Administration and its dispatch agencies actively eliminate or reduce the harmful consequences of illegal behavior;
(5) The parties take the initiative to refund the compensation to eliminate the consequences of the harm of illegal acts;
(6) Law, administrative regulations, and rules stipulate that other punishment is reduced according to law.
Article 15 If the parties have one of the following circumstances, they shall be punished by lightly:
(1) Those who are coerced or deceived by others;
(2) Cooperate with the State Administration of Finance and Administration and its dispatch agencies to investigate and deal with illegal acts;
(3) In order to actively confess illegal acts that have not been grasped before the end of the State Administration of Finance and Administration and its dispatched agencies;
(4) If the State Administration of Finance and Administration and its dispatch agencies actively eliminate or reduce the consequences of the harm of illegal behavior before the end of the inspection;
(5) The parties take the initiative to refund the compensation to reduce the consequences of the harm of illegal acts;
(6) Laws, administrative regulations, and rules stipulate that other penalties are punished in accordance with the law.
The illegal behavior is slight, the subjective fault is small, or the amount involved is significantly lower or the number of occurrences is significantly, and the harmful consequences can be punished lightly.
Those who play a secondary role in common illegal acts can be punished lightly.
Article 16 If one of the following circumstances, it shall be punished according to law:
(1) Seriously violated the rules of prudential business, which has caused or may cause cases or major risk events;
(2) seriously violate market fair competition regulations and affect the stable order of the financial market;
(3) seriously infringe consumer rights, high social attention, and bad impact;
(4) Those who do not cooperate with regulatory law enforcement according to law;
(5) The same responsible entity is subject to administrative penalties for administrative penalties of the State Administration of Financial Supervision and its dispatched institutions within five years after being ordered to correct the same type of illegal acts that violate the same type of basis;
(6) The internal control of the organization is seriously lacking or seriously invalid, and the illegal acts involve a wide range of faces, which has a large degree of influence or a universal and group characteristics;
(7) Obthytective behaviors have been implemented many times, the duration of illegal acts is long, the amount involved in the case is large or the illegal business accounts for relatively large;
(8) Those who seduce, instructions or coerced others to violate the law or assume legal responsibility on their behalf;
(9) The reporter, witnesses, inspectors, or other regulators will be retaliated;
(10) Other circumstances with bad nature, serious plots, and social harm.
Article 17 Except for administrative penalties in accordance with the law, there is no reducing or minor punishment specified in these Measures, and a moderate punishment according to law.
Article 18 If there are situations such as light or reduction, and severe punishment at the same time, the parties may follow the specific situation of the case and the level of local law enforcement practice and the level of economic and social development.Other factors, determine the final tailoring order.
Article 19 At the same time that the administrative punishment of bank insurance institutions shall be given administrative penalties in accordance with laws, administrative regulations, and rules, the person in charge shall be punished by the person in charge of the person in accordance with the law.Reasons for punishment.
Article 20 The responsible person should comprehensively examine factors such as the responsibilities and performance of the parties and the duties of the parties, the correlation between the harm of illegal acts, the consequences of the harm of illegal acts, the implementation of the implementation of the violations or the correction of illegal acts.
When the same matters are punished by multiple responsible persons, they should distinguish the responsibility of the responsibility, and shall give a heavier penalty for managers who are directly responsible or play a decisive role in illegal acts.
When identifying the responsibility of the responsible person, he must not be directly engaged in business management activities, insufficient ability, no related career background, controlled by shareholders, actual controllers, or other external intervention as reasons for not punishing.
Chapter III Fineence and Confliciated illegal Increase
Article 21 If the amount of fines has a certain range, it is divided into light fines, moderate fines, and heavy fines within the corresponding range.
Article 22 The fines of the banking industry shall be determined in accordance with the following standards:
(1) The legal fine is 50,000 to 500,000 yuan, according to the standards of 50,000 to less than 200,000 yuan, less than 200,000 yuan to less than 350,000 yuan, and 350,000 yuan to 500,000 yuan, respectively grasp the lightness, light, and light, respectively.Moderate, from heavy fines;
(2) If the statutory fine is 100,000 to 300,000 yuan, the standards are based on 100,000 yuan to less than 150,000 yuan, 150,000 to less than 250,000 yuan, and 250,000 yuan to 300,000 yuan.Moderate, from heavy fines;
(3) If the legal fine is 200,000 yuan to 500,000 yuan, the standards of less than 200,000 yuan to less than 300,000 yuan, 300,000 yuan to 400,000 yuan, and 400,000 yuan to 500,000 yuan are grasped respectively.Moderate, from heavy fines;
(四)法定罚款幅度为50万元至200万元的,按照50万元至100万元以下、100万元至150万元以下、150万元至200万元的标准,分别把握从轻、Moderate and heavy fines.
Article 23 In principle, the fines of the insurance industry shall be determined in accordance with the following standards:
(1) Feming the minimum penalty amount from the legal minimum and the maximum fine of 40%of the legal minimum fine;
(2) Moderate fines, a fine of more than 40%of the legal maximum fines and less than 70%;
(3) From heavy fines, a fine at the legal maximum fine, not exceeding the legal maximum fine.
Article 24 The same illegal act of the parties shall not be given administrative penalties for more than two fines.If multiple legal norms that violate the same illegal act shall be fined, a fine shall be imposed in accordance with the high amount of fines.
Article 25: illegal income refers to the amount obtained from the implementation of illegal acts, including the actual amount received and expenditure due to the reduction of illegal acts. The obtaining this money shall have a direct causal relationship with the implementation of illegal acts.
Article 26 If the parties have obtained illegal income, in principle, in accordance with the following standards:
(1) The money obtained by the implementation of illegal acts, deduct the balance after the legal and necessary expenditure, is confiscated as an illegal income;
(2) The parties who have refunded the compensation before the administrative penalty decision have been refunded before the decision to make the administrative penalty decision shall be deducted in illegal income.When the fines obtained by the law are generally not included in the calculation base of illegal income, except that the nature of the illegal behavior is bad and the harmful consequences are serious.
(3) The parties provide relevant bills, accounts, etc. to prove direct related taxes and other legal and necessary expenditures, which can be deducted in illegal income.
Chapter 4
Article 27 The provincial -level dispatch institutions of the State Administration of Finance and Administration can combine the economic and social development status of various places and make reasonable and quantitative order, amplitude, and applicable situation in accordance with these measures.
Article 28 If the applicable measures may have obvious improper, failed fairness, or the objective situation of the right to punish the right to discrete the rights, it can be adjusted after approval or collective discussion of the principals of the State Administration of Finance and Administration.Materials or collective discussion records should be preserved as part of the law enforcement papers.If the provincial -level dispatch agencies adjust the application of these measures, they shall be reported to be approved by the State Administration of Finance and Administration.
Article 29: The person who abuses power abuse of power in the process of exercising administrative penalties, abuse of power, fraud, neglecting duties, and personnel who changes administrative punishment decisions without authorization.Be held criminally responsible.
Article 30 The meaning of some of these Measures is defined as follows:
(1) “Urgent or deceived by others” refers to the situation that the parties are threatened by others may cause a large reputation or property loss, or they are seduced, blinded or deceived by others.”It refers to the situation of being threatened that can cause personal damage, or major reputation, property loss, etc.;” serious deception “refers to the situation where the parties are blinded or deceived, and are based on major errors and lead to illegal acts.
(2) “Performance performance” refers to the report of illegal acts or case clues of the State Financial Supervision and Administration Administration and other people or other institutions that have not been mastered by its dispatched institutions, which are verified; “major merit performance” refers toIf there is a major breakthrough in the case, or report the major illegal acts or clues of the State Financial Supervision and Administration Administration and other people or other institutions that have not been grasped by its dispatched institutions, it is verified that the reality is verified.
(3) “Before inspection” means that before the State Administration of Finance Supervision and Management and its dispatched agencies officially conducts audit, inspection, and investigation, it should generally be delivered before the “On -site Inspection Notice” or other formal audit, inspection, and investigation notifications.”Before the end of the inspection” refers to the State Administration of Finance and Administration and its dispatched agencies to inspect, inspect, and investigate the departure.
(4) “Ignorance and law enforcement in accordance with the law” refers to the supervision and inspection work of the State Administration of Finance and Management and its dispatch agencies by adopting negative methods such as delay, slackness, and evasion in accordance with the law.Examination “behavior.
(5) The “above” in these measures contains the number, and the “below” does not contain the number.
Article 31 The bank insurance institutions mentioned in these Measures refer to financial institutions such as commercial banks, rural cooperative banks, and rural credit cooperatives established in accordance with the law of the People’s Republic of China in accordance with the law, as well as developed financial institutions, developed financial institutions, policy banks, and policy banks, policy banks, and policy banks.Insurance Group (Holdings) company, insurance company, insurance asset management company, insurance intermediary agency.
Financial asset management companies, financial asset investment companies, trust companies, financial leasing companies, financial companies, consumer finance companies, auto finance companies, monetary brokerage companies, wealth management companies, financial holding companies, and national financial supervision and management established by the People’s Republic of ChinaThese measures are applicable to the General Administration and other institutions that have sent institutions.
Article 32 These Measures shall be explained by the State Administration of Finance and Administration, and will be implemented from May 1, 2024.
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