MOU Regarding Joint Punishment of Untrustworthy Persons Involving Finance

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来源:http://www.creditchina.gov.cn/lianhejiangcheng/lingyulianhejiangcheng/201712/t20171218_100257.html

为深入贯彻党的十八届三中、四中、五中全会精神,落实《国务院关于促进市场公平竞争维护市场正常秩序的若干意见》(国发〔2014〕20号)、《国务院关于印发社会信用体系建设规划纲要(2014-2020年)的通知》(国发〔2014〕21号)等文件精神及“褒扬诚信、惩戒失信”的总体要求,促进大数据信息共享融合,创新驱动健全社会信用体系,根据《关于加强涉金融严重失信人名单监督管理工作的通知》规定,国家发展改革委、人民银行、银监会、证监会、保监会、最高人民法院、中央宣传部、中央编办、中央文明办、中央网信办、工业和信息化部、财政部、人力资源和社会保障部、商务部、国资委、海关总署、税务总局、工商总局、质检总局、公务员局、外汇局等部门就针对涉金融领域严重失信者开展联合惩戒工作达成如下一致意见:

I. The targets of joint disciplinary action

The targets of joint disciplinary action are parties entered into the list of seriously untrustworthy involving finance. Where parties are entirprises, the targets of the joint disciplinary action are their legal representatives, actual controllers, and directors, supervisors, or senior management personnel with individual or direct leadsership responsibility; and where the parties are social organizations, the targets of joint disciplinary action are their legal representative, and staff with direct responsibility; where the parties are natural persons, the target of the disciplinary action is the person themself.

II. Joint Punishment Mechanisms

涉金融严重失信人名单列入部门通过全国信用信息共享平台按照统一格式向国家发展改革委报送失信人名称、统一社会信用代码、失信情形、处罚决定等信息。 国家发展改革委建立涉金融严重失信人名单管理系统,并通过全国信用信息共享平台向各备忘录签署部门推送相关信息。 各备忘录签署部门依据法律法规对列入涉金融严重失信人名单的当事人,执行或协助执行本备忘录规定的惩戒措施,并按季度将执行情况通过该系统反馈给国家发展改革委。

III. Punishment measures and implementing departments and units

(1) Lawfully restrict participation in project that require bidding in accordance with law, and in government procurement activities

The National Development and Reform Commission, Ministry of Finance, and relevant department are to lawfully implement restrictions on parties on the list of the untrustworthy from participating as bidders in projects that law require bidding in accordance with law, or as suppliers in government procurement activities;

(2) Prudential consideration when arranging subsidy funds

In the course of subsidy funds and social security fund arrangements, make information from the list of serious financial untrustworthiness a basis for prudential consideration, to be implemented by the National Development and Reform Commission, Ministry of Finance, Ministry of Human Resources and Social Security, the State-owned Assets Supervision and Administration Commission, and other relevant departments.

(3) Prudential consideration in the enjoyment of beneficial policies

在实施投资、税收等优惠性政策时,将相关机构及其法定代表人、实际控制人、董事、监事、高级管理人员是否列入涉金融严重失信人名单的情况,作为其享受该政策的审慎性参考,由国家发展改革委、商务部、税务总局、质检总局实施。 列入涉金融严重失信人名单的当事人申请适用海关认证企业管理的,不予通过认证;已经成为认证企业的,按规定下调企业信用等级。 对列入涉金融严重失信人名单的当事人进出口货物实施加严监管,在办理通关业务时,加强单证审核或布控查验,由海关总署、质检总局实施。

(4) Strengthen routine oversight, management, and inspection

将列入涉金融严重失信人名单的当事人作为重点监管对象,加大日常监管力度,按照相关规定,提高随机抽查的比例和频次,依据相关法律法规对其采取行政监管措施,由各市场监管、行业主管部门实施。

(五)供设立商业银行或分行、代表处以及参股、收购商业银行审批时审慎性参考;设立证券公司、基金管理公司、期货公司审批,私募投资基金管理人登记参考;供设立保险公司、保险资产管理公司、保险代理公司、保险经纪公司审批时参考,供保险公估机构备案参考;限制设立融资性担保公司;限制设立非银行支付机构;设立银行卡清算机构受理审批时参考;限制设立网络借贷信息中介机构

将涉金融严重失信人名单相关信息作为设立商业银行或分行、代表处以及参股、收购商业银行的审批时作审慎性参考,由银监会实施;将涉金融严重失信人名单相关信息作为设立证券公司、基金管理公司、期货公司审批,私募投资基金管理人登记的依据或参考,由证监会实施;将涉金融严重失信人名单相关信息供设立保险公司、保险资产管理公司、保险代理公司、保险经纪公司审批及保险公估机构备案的依据或参考,由保监会实施;限制列入涉金融严重失信人名单的当事人设立融资性担保公司,由地方政府确定的融资性担保公司监管机构实施;限制设立非银行支付机构,由人民银行实施;设立银行卡清算机构受理审批时参考,由人民银行、银监会实施;限制设立网络借贷信息中介机构,由省级人民政府承担地方金融监管职责的部门实施。

(六)限制发行企业债券及公开发行公司债券;在银行间市场发行非金融企业债务融资工具限制注册,并按照注册发行有关工作要求,强化信息披露,加强投资人保护机制管理,防范有关风险;在上市公司收购的事中事后监管中予以重点关注

限制失信名单企业公开发行公司债券,对情节严重的,在上市公司收购的事中事后监管中予以重点关注,由证监会实施;对列入涉金融严重失信人名单的当事人在银行间市场发行非金融企业债务融资工具限制注册,由人民银行实施;限制失信名单企业发行企业债券,由国家发展改革委实施。

7. Prudential consideration when approving and managing related foreign exchange amounts

在合格境外机构投资者、合格境内机构投资者额度审批和管理中,将涉金融严重失信人名单信息作为审慎性参考依据,由外汇管理局实施。

(8) Prudential consideration in financing and credit granting by financial institutions

引导各金融机构在融资授信时查询拟授信对象及其法定代表人、实际控制人、董事、监事、高级管理人员是否为失信名单当事人,对拟授信对象为列入涉金融严重失信人名单的当事人进行从严审核,由人民银行、银监会实施。

(9) Suspend domestic state held listed companies' equity incentive plans or terminate eligibility to exercise equity incentives

对列入涉金融严重失信人名单的当事人为境内国有控股上市公司的,协助中止其股权激励计划或终止其股权激励对象行权资格,由国资委、财政部实施。

(10) Restrictions on servings as legal representative, directors, supervisors and senior management of state-owned enterprises

列入涉金融严重失信人名单的当事人为个人的,限制其担任国有独资企业高级管理人员及国有独资公司法定代表人、董事、监事,限制提名为国有资本控股公司、国有资本参股公司董事、监事人选;已担任相关职务的,提出其不再担任相关职务的意见。 To be implemented by the State-owned Assets Supervision and Administration Commission, Ministry of Finance, State-owned Assets Supervision and Administration Commission, as well as each local people's government.

(十一)限制任职融资性担保公司或金融机构的董事、监事、高级管理人员;限制任职证券公司、基金管理公司、期货公司的董事、监事和高级管理人员,对其证券、基金、期货从业资格申请予以从严审核,对已成为证券、基金、期货从业人员的相关主体予以重点关注;限制任职保险代理公司、保险经纪公司、保险公估公司的董事长、执行董事、高级管理人员;限制任职私募基金管理人的法定代表人、董事长、执行董事、总经理和执行事务合伙人以及其他高级管理人员的参考;限制任职非银行支付机构的董事、监事、高级管理人员;限制任职银行卡清算机构的董事、高级管理人员的参考。

限制列入涉金融严重失信人名单的当事人任职金融机构的董事、监事、高级管理人员,由银监会、国家发展改革委、保监会、工信部、财政部、工商总局等具有金融机构任职资格核准职能的部门结合自身法定职能,依法依规实施;限制列入涉金融严重失信人名单的当事人任职融资性担保公司的董事、监事、高级管理人员,由地方政府确定的融资性担保公司监管机构结合自身法定职能,依法依规实施;限制列入涉金融严重失信人名单的当事人任职证券公司、基金管理公司、期货公司的董事、监事和高级管理人员,对其证券、基金、期货从业资格申请予以从严审核,对已成为证券、基金、期货从业人员的相关主体予以重点关注,由证监会实施;限制任职保险代理公司、保险经纪公司、保险公估公司的董事长、执行董事、高级管理人员,由保监会实施;限制任职私募基金管理人的法定代表人、董事长、执行董事、总经理和执行事务合伙人以及其他高级管理人员的参考,由证监会实施;限制任职非银行支付机构的董事、监事、高级管理人员,由人民银行实施;限制任职银行卡清算机构的董事、高级管理人员的参考,由人民银行、银监会实施。

12. Restrict registration as the legal representative of a public institution

列入涉金融严重失信人名单的当事人为个人的,限制登记为事业单位法定代表人,由中央编办实施。

(13) Restrict recruitment (hiring) as civil servants or public institution staff.

限制招录(聘)列入涉金融严重失信人名单的当事人为公务员或事业单位工作人员,由中组部、人力资源和社会保障部、公务员局等有关部门实施。

(14) Prohibit participation in selection of civilized units and moral models.

对于机关、企事业单位、社会团体或其领导成员为列入涉金融严重失信人名单的当事人的,不得参加文明单位评选,已经取得文明单位荣誉称号的予以撤销。 各类列入涉金融严重失信人名单的当事人均不得参加道德模范评选,已获得道德模范荣誉称号的予以撤销。 Implemented by the Publicity Department of the CCCPC and Civilization Office of the CPCC.

(15) Restrict practice in the inspection and testing certification industry

Restrict those entered on the list of the seriously untrustworthy involving finance from practice in the inspection and testing certification industry. Implemented by the Certification and Accreditation Administration of the People’s Republic of China.

(16) Restriction on obtaining credentials as an inspection and testing accreditation body, restrict obtaining accreditation certificates

对列入涉金融严重失信人名单的法人,限制取得检验检测认证机构资质;限制获得认证证书,已获得认证证书的,暂停或撤销相应的认证证书。 Implemented by the Certification and Accreditation Administration of the People’s Republic of China.

17. Announce to the public through the 'Credit China' website and the national enterprise credit information disclosure system

The National Development and Reform Commission and State Administration of Industry and Commerce are to announce information on parties to the list of the untrustworthy to the public through the 'Credit China' website and the national enterprise credit information disclosure system.

(18) Publication through main news sites.

The State Internet Information Office to coordinate relevant Internet news information services units in making announcements information on parties on the untrustworthiness list to the public.

IV. Other Matters

各部门和单位应密切协作,积极落实本备忘录,制定涉金融严重失信人名单信息的使用、管理、监督的相关实施细则和操作流程,确保2017年6月底前实现涉金融严重失信人名单信息共享和联合惩戒。

Specific operational issues in the implementation of this memorandum are to be settled by the discreet departments through consultations.

 

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