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Notice by the General Office of the China Banking and Insurance Regulatory Commission of Issues Concerning Further Strengthening the Administration of Shareholders' Commitments of Banking and Insurance Institutions [Effective]
中国银保监会办公厅关于进一步加强银行保险机构股东承诺管理有关事项的通知 [现行有效]
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Notice by the General Office of the China Banking and Insurance Regulatory Commission of Issues Concerning Further Strengthening the Administration of Shareholders' Commitments of Banking and Insurance Institutions 

中国银保监会办公厅关于进一步加强银行保险机构股东承诺管理有关事项的通知

(No. 100 [2021] of the General Office of the China Banking and Insurance Regulatory Commission) (银保监办发〔2021〕100号)

All local offices of the China Banking and Insurance Regulatory Commission (“CBIRC”); all large-scale banks, joint-stock banks, foreign-funded banks, direct banks, financial assets management companies, financial asset investment companies, and wealth management companies; and all insurance group (holding) companies, insurance companies, insurance assets management companies, and other pension management companies: 各银保监局,各大型银行、股份制银行、外资银行、直销银行、金融资产管理公司、金融资产投资公司、理财公司,各保险集团(控股)公司、保险公司、保险资产管理公司、养老金管理公司:
For the purposes of further effectively regulating shareholders' commitments of banking and insurance institutions, regulating matters of shareholder commitment, enhancing the binding force of shareholders' commitments, consolidating the foundation of corporate governance of banking and insurance institutions, and promoting the development of financial practice rules advocating commitment and honesty, the relevant matters are hereby notified as follows: 为进一步做好银行保险机构股东承诺监管工作,规范股东承诺事项,提升股东承诺约束力,夯实银行保险机构公司治理基础,推动建立重诺守信的金融从业规矩,现就有关事项通知如下:
I. The CBIRC and its local offices may, in accordance with the relevant laws and regulations, require major shareholders of banking and insurance institutions to make and fulfill their commitments. Shareholders' commitments may be divided into three categories: declaration, compliance, and due diligence. “Declaration commitments” means shareholders' confirmation or declaration of a certain factual status in the past or at present, such as the fact that the source of their own funds is true and legal, the information provided is true, accurate and complete, and there is no record of major violations of laws and regulations in recent years. “Compliance commitments” means shareholders' commitments to carry out certain activities in compliance with laws and regulations in the future, such as not interfering in the operation of banking and insurance institutions, standardizing affiliated transactions, standardizing equity pledges, and not transferring their equities within a specified period. “Due diligence commitments” means shareholders' commitments to fulfill corresponding responsibilities and obligations in the future, including risk relief commitments and commitments made in accordance with other regulatory requirements. “Risk relief commitments” means shareholders' commitments to cooperate in the implementation of risk relief measures if necessary, such as capital replenishment, liquidity support, and cooperation in the implementation of recovery and disposal plans.   一、银保监会及其派出机构可根据有关法律法规,要求银行保险机构主要股东作出并履行承诺。股东承诺可分为声明类、合规类、尽责类三类。声明类承诺指股东对过去或现在某项事实状态的确认或声明,如自有资金来源真实合法、提供信息真实准确完整、近年无重大违法违规记录等。合规类承诺指股东对未来依法合规开展某项活动的承诺,如不干预银行保险机构经营、规范开展关联交易、规范股权质押、规定期限内不转让所持股权等。尽责类承诺指股东对未来履行相应责任和义务的承诺,包括风险救助承诺和根据其他监管要求作出的承诺。其中,风险救助承诺指股东在必要时配合实施风险救助措施的承诺,如资本补充、流动性支持和配合实施恢复处置计划等。
II. The content of major shareholders' commitments of banking and insurance institutions shall be accurate, standardized, and enforceable. For commitments with clear time limits such as commitments of over-proportionate shareholding reduction, the time limit for fulfillment of commitments shall be specific as much as possible, and fuzzy words such as “when the time is ripe” shall not be used.   二、银行保险机构主要股东承诺内容要准确、规范、可执行,超比例持股股东减持承诺等可明确时限的承诺应尽量明确承诺履行时限,不得使用“时机成熟时”等模糊性词语。
III. The commitments made by the main shareholders of enterprise legal persons shall, in accordance with laws and regulations, regulatory requirements and bylaws, perform the necessary internal approval procedures such as the board of directors or the shareholders' meeting.   三、企业法人类主要股东作出的承诺要根据法律法规、监管要求和公司章程,履行必要的董事会或股东(大)会等内部审批程序。
IV. Major shareholders of banking and insurance institutions shall, in accordance with the relevant laws, regulations and regulatory requirements, truthfully make commitments, diligently fulfill commitments, and actively cooperate with the CBIRC or its local offices and banking and insurance institutions in assessing shareholders' commitments.   四、银行保险机构主要股东要根据有关法律法规和监管要求,如实作出承诺,切实履行承诺,积极配合银保监会或其派出机构、银行保险机构开展股东承诺评估。
Major shareholders of banking and insurance institutions shall actively fulfill due diligence commitments such as capital replenishment and liquidity support, and cooperate with banking and insurance institutions in handling risks in accordance with the regulatory requirements. Where due diligence commitments cannot be fulfilled, the banking and insurance institutions shall be notified in a timely manner, explaining the specific circumstances and reasons, and other investors shall not be hindered from adopting reasonable plans to invest in the banking and insurance institutions. 银行保险机构主要股东要积极履行资本补充、流动性支持等尽责类承诺,按照监管要求,配合银行保险机构处置风险。无法履行尽责类承诺的,应当及时告知银行保险机构,说明具体情况和原因,且不得阻碍其他投资人采取合理方案投资入股银行保险机构。
A banking and insurance institution shall, after knowing that relevant shareholders cannot fulfill due diligence commitments, report to the CBIRC or its local office in a timely manner, and develop corresponding plans. 银行保险机构在获知相关股东无法履行尽责类承诺后,应及时向银保监会或其派出机构报告,并制定应对方案。
V. Banking and insurance institutions shall establish systems for administration of major shareholders' commitments to standardize file management, regular evaluation, and other work of major shareholders' commitments.   五、银行保险机构要建立主要股东承诺管理制度,规范主要股东承诺档案管理、定期评估等工作。
Banking and insurance institutions shall further improve the bylaws, standardize major shareholders' commitments and fulfillment, and implement the responsibilities and obligations of major shareholders. 银行保险机构要进一步完善公司章程,规范主要股东承诺及履行行为,落实主要股东的责任和义务。
VI. Banking and insurance institutions shall deliver the applicable regulatory requirements for shareholders' commitments to major shareholders in a timely, complete and accurate manner, and assist major shareholders in standardizing the content and procedures of major shareholders' commitments.   六、银行保险机构要及时、完整、准确地向主要股东传达股东承诺有关监管要求,协助主要股东规范承诺的内容和程序。
VII. Banking and insurance institutions shall create files of major shareholders' commitments to record the parties making commitments, specific matters, the method and time of fulfilling commitments, the fulfillment of commitments, and the measures taken against the shareholders who violated the commitments, among others.   七、银行保险机构要建立主要股东承诺档案,记录承诺方、具体事项、承诺履行方式和时间、承诺履行情况以及对违反承诺的股东已采取的措施等内容。
VIII. Banking and insurance institutions shall establish an evaluation mechanism for major shareholders' commitments to evaluate the fulfillment of major shareholders' commitments every year, understand and evaluate the fulfillment of major shareholders' commitments in a timely manner, and actively urge major shareholders to fulfill their commitments.   八、银行保险机构要建立主要股东承诺评估机制,每年对主要股东承诺履行情况进行评估,及时了解和评价主要股东承诺履行情况,积极督促主要股东履行承诺。
Banking and insurance institutions shall incorporate the evaluation of major shareholders' commitments into the evaluation of corporate governance, and report the evaluation status of the fulfillment of shareholders' commitments and the main problems existing in the evaluation in a timely manner to the CBIRC or its local offices. 银行保险机构要将主要股东承诺评估纳入公司治理评估,将股东承诺履行的评估情况以及评估中存在的主要问题,及时报告银保监会或其派出机构。
IX. Banking and insurance institutions shall attach great importance to commitment management and diligently implement the regulatory requirements.   九、银行保险机构要高度重视承诺管理工作,认真落实监管要求。
The board of directors of a banking and insurance institution shall be diligent and dutiful, organize and carry out commitment management work such as the development of the management system for shareholders' commitment, the management of files of major shareholders' commitments, and the evaluation of major shareholders' commitments, and assume the management responsibilities of major shareholders' commitments. 银行保险机构董事会要勤勉尽责,组织开展股东承诺管理制度制定、主要股东承诺档案管理、主要股东承诺评估等承诺管理工作,并承担主要股东承诺的管理责任。
X. Banking and insurance institutions shall stipulate in the bylaws that major shareholders who violate their commitments shall be subject to corresponding restrictive measures.   十、银行保险机构要在公司章程中规定对违反承诺的主要股东采取相应的限制措施。
XI. The fulfillment of major shareholders' commitments of banking and insurance institutions shall be determined by the board of directors. Measures against shareholders who violate their commitments shall be put forward by the board of directors, and be implemented upon deliberation at the shareholders' meeting. The relevant shareholders or shareholder representatives shall abstain from voting.   十一、银行保险机构主要股东承诺履行情况由董事会认定。对违反承诺的股东采取措施由董事会提出议案,经股东(大)会审议通过后执行,相关股东或股东代表应回避表决。
XII. The CBIRC or its local offices shall establish an evaluation mechanism for major shareholders' commitments of banking and insurance institutions, evaluate the fulfillment of major shareholders' commitments of banking and insurance institutions every year, and incorporate the evaluation work into the regulatory evaluation of corporate governance.   十二、银保监会或其派出机构要建立银行保险机构主要股东承诺评估机制,每年对银行保险机构主要股东承诺履行情况进行评估,并将评估工作纳入公司治理监管评估。
XIII. Where a banking and insurance institution has non-standardized management of shareholders' commitments, the CBIRC or its local offices may, in accordance with the Interim Measures for the Equity Management of Commercial Banks, the Measures for the Administration of the Equities of Insurance Companies, and other relevant provisions, adopt measures such as ordering corrections, and adjusting the evaluation results of corporate governance or regulatory ratings.   十三、银行保险机构存在股东承诺管理不规范的,银保监会或其派出机构可根据《商业银行股权管理暂行办法》《保险公司股权管理办法》等有关规定,采取责令改正、调整公司治理评价结果或监管评级等措施。
XIV. Where a major shareholder of a banking and insurance institution violates a declaration or compliance commitment, the CBIRC or its local office may, in accordance with the Interim Measures for the Equity Management of Commercial Banks, the Measures for the Administration of the Equities of Insurance Companies, and other relevant provisions, adopt measures such as ordering corrections, restricting shareholders' rights, notification of industry warning, public condemnation, and prohibiting investment in banking and insurance institutions for a certain period of time until lifelong as the case may be, and record the relevant information in the adverse equity management records of commercial banks and insurance companies.   十四、银行保险机构主要股东违反声明类、合规类承诺的,银保监会或其派出机构可根据《商业银行股权管理暂行办法》《保险公司股权管理办法》等有关规定,视情况对其采取责令改正、限制股东权利、行业警示通报、公开谴责、禁止一定期限直至终身投资入股银行保险机构等措施,相关情况应记入商业银行和保险公司股权管理不良记录。
Where a major shareholder of a banking and insurance institution violates a due diligence commitment and prevents other investors from adopting reasonable plans to invest in a banking and insurance institution, or refuses to cooperate with the implementation of the regulatory requirements, the CBIRC or its local office may take measures against it in accordance with the law as the case may be. 银行保险机构主要股东违反尽责类承诺,阻碍其他投资人采取合理方案投资入股银行保险机构,或者拒不配合落实监管要求的,银保监会或其派出机构可视情况依法对其采取措施。
Where a major shareholder of a banking and insurance institution violates a commitment, and there are other circumstances in violation of laws or regulations, the CBIRC or its local office may jointly adopt measures such as administrative penalties, regulatory measures or revocation of administrative license against it in accordance with the relevant laws and regulations. 银行保险机构主要股东违反承诺,且同时存在其他违反法律或监管规定情形的,银保监会或其派出机构可按照相关法律法规对其一并采取行政处罚、监管措施或撤销行政许可等措施。
XV. Major shareholders of banking and insurance institutions shall, in accordance with the requirements of this Notice, refer to the commitment templates annexed to this Notice, and supplement and improve relevant commitments as soon as possible. The specific commitment text may be adjusted appropriately in light of the actual circumstances. Where no commitment is made, supplementary commitments shall be made as soon as possible; and where a commitment has been made but the content does not satisfy the regulatory requirements, it shall be standardized in a timely manner; and where a commitment has been made and the content satisfies the requirements, no supplement or standardization is required.   十五、银行保险机构主要股东要按照本通知要求,参考本通知所附承诺模板,尽快补充完善相关承诺。具体承诺文本可根据实际情况适当调整。未作出承诺的,应尽快补充承诺;已作出承诺但内容不符合监管要求的,应及时进行规范;已作出承诺且内容符合要求的,无需补充或规范。
...... 各银行保险机构应于2021年11月30日前组织主要股东完成上述工作,并将承诺规范工作总体情况、主要股东补充承诺文本等相关情况报送银保监会或其派出机构。
 ......



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