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Notice of the Office of China Banking Regulatory Commission on Relevant Issues concerning the On-site Inspections on Foreign-funded Banks
(No. 42 [2003] of China Banking Regulatory Commission)
The banking regulatory bureaus (and those to be established) of Beijing, Tianjin, Shanghai, Jiangsu, Fujian, Hubei, Guangdong, Hainan, Sichuan, Chongqing, and Yunnan provinces (autonomous regions, and municipalities directly under the Central Government), the banking regulatory bureaus (and those to be established) of Dalian, Ningbo, Xiamen, Qingdao, and Shenzhen cities,
With a view to strengthening the supervision over foreign-funded banks, China Banking Regulatory Commission (CBRC) decides to make on-site inspections on some of the foreign-funded institutions with legal person status and the branches of foreign banks in the second half of the year 2003. The inspection shall take the form of unified organization, transferring personnel and centralized inspection, laying focus on two institutions with legal person status and two branches. Meanwhile, experiments of CAMELS Rating shall be made on the inspected foreign-funded institutions with legal person status, and experiment of ROCA Rating shall be made on foreign banks. Therefore, supervisors of some of the foreign-funded banks shall be selected to take part in the formulation of and training on the operation manual for CAMELS Rating and ROCA Rating, and the on-site inspection work. We hereby make the following notice on the relevant matters concerned:
| | 中國銀行業監督管理委員會辦公廳關于外資銀行現場檢查有關問題的通知
（銀監辦通[2003]42號）
北京、天津、上海、江蘇、福建、湖北、廣東、海南、四川、重慶、雲南省(自治區、直轄市)銀監局(籌)，大連、甯波、廈門、青島、深圳市銀監局(籌)：
為加強對外資銀行的監管，銀監會定于2003年下半年對部分外資法人機構和外國銀行分行實施現場檢查。檢查采取統一組織、抽調人員、集中檢查的方式，對2家法人機構和2家分行實施重點檢查，同時對被檢查的外資法人機構實行駱駝評級試點、外國銀行分行實行ROCA評級試點。為此，須挑選部分外資銀行監管人員參加駱駝評級、ROCA評級操作手冊的制定、培訓以及現場檢查工作。現將有關事項通知如下：
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I. The inspection this time is the first on-site inspection on the foreign-funded banks after the establishment of CBRC, with the purpose of knowing the operation and risk conditions of the foreign-funded banks, promoting their steady management, and trying out new supervision appraisal system, and exercising the supervisory teams of the foreign-funded banks through the inspection. All the banking regulatory bureaus (hereinafter referred to as bureaus) shall attach importance to the on-site inspection, strictly organize and earnestly put it into practice, and do a good job.
| | 一、此次檢查是銀監會成立後對外資銀行實施的第一次現場檢查，通過檢查要達到掌握外資銀行經營與風險情況，促其穩健經營，以及試行新的監管評價體系，鍛煉外資銀行監管隊伍的目的。各銀監局應予以高度重視，嚴密組織，認真落實，做好現場檢查工作。
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II. All the bureaus shall, according to the “Guiding Opinions on Making On-site Inspection on Foreign-funded Institutions with Legal Person Status” (Attachment I) and the “Guiding Opinions on Making On-site Inspection on Branches of Foreign Banks with Legal Person Status” (Attachment II), and in combination with the reality of their own bureaus, plan the work of supervision over foreign-funded banks as a whole in the second half of the year 2003. All the bureaus shall, on the basis of completing the on-site inspection tasks as organized and implemented uniformly by the CBRC, organize to make other on-site inspection items made on foreign-funded financial institutions within their jurisdictions.
| | 二、各銀監局應根據《關于對外資法人機構實施現場檢查的指導意見》(附件1)及《關于對外國銀行分行實施現場檢查的指導意見》(附件2)要求，結合本局實際情況，統籌安排2003年下半年外資銀行監管工作。在確保完成銀監會統一組織實施的現場檢查任務的基礎上，組織實施對轄內外資金融機構的其他現場檢查項目。
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III. All the bureaus shall fill out the Statistics on Information of the Supervisors of Foreign-funded Banks (Attachment III) according to the facts, and recommend more than two supervisory professionals of the foreign-funded banks to take part in the on-site inspection work, which is organized and made uniformly, and report them to the banking supervisory department III of the CBRC through OA before September 15.
Attachments:
| | 三、各銀監局應據實填報《外資銀行監管人員情況統計表》(附件3)，並推薦2名以上外資銀行監管業務骨幹參加統一組織實施的現場檢查工作，于9月15日前通過OA報銀監會銀行監管三部。
附件： |
I. Guiding Opinions on Making On-site Inspection on Foreign-funded Institutions with Legal Person Status
| | 1．對外資法人機構實施現場檢查的指導意見
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II. Guiding Opinions on Making On-site Inspection on Branches of Foreign Banks
| | 2．對外國銀行分行實施現場檢查的指導意見
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III. Statistics on Information of the Supervisors of Foreign-funded Banks
Office of China Banking Regulatory Commission
September 9, 2003
| | 3．外資銀行監管人員情況統計表
中國銀行業監督管理委員會辦公廳
二00三年九月九日
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Attachment I Guiding Opinions on Making On-site Inspection on Foreign-funded Institutions with Legal Person Status
According to the work disposition of the CBRC, an overall on-site inspection on some of the foreign-funded institutions with legal person status will be carried out in the second half of the year 2003, the inspection shall include such two parts as the inspection organized and carried out uniformly by the CBRC and the inspection arranged by each of the bureaus. In order to ensure the orderly carrying out of the work, we hereby put forward the following guiding opinions on the arrangements and requirements of the CBRC for the inspection work:
| | 附件1 對外資法人機構實施現場檢查的指導意見
根據銀監會工作部署，定于2003年下半年對部分外資法人機構進行一次全面現場檢查，檢查分銀監會統一組織實施的檢查和各銀監局自行安排的檢查兩部分，為保證工作有序進行，現就銀監會關于檢查工作的安排和要求提出如下指導意見：
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I. Items of inspection organized by the CBRC uniformly
| | 一、銀監會統一組織的檢查項目
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1. Objects to be inspected
Xiemen International Bank (excluding Macao International Bank), and Ningbo International Bank
| | (一)檢查對象
廈門國際銀行(不含澳門國際銀行)、甯波國際銀行。
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2. Purpose for the inspection
To find out the business status quo, risk status and compliance conditions of the two foreign-funded institutions with legal person status, and further strengthen supervision over the foreign-funded institutions with legal person status, so as to promote their healthy development, and meanwhile, reach the goal of trying out the CAMELS Rating System and cultivate foreign-funded supervisory professionals.
| | (二)檢查目的
摸清這兩家法人機構的經營現狀、風險狀況及合規情況，進一步加強對外資法人機構的監管，促進其健康發展，同時達到試行駱駝評價體系和培養外資監管業務骨幹的目的。
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3. Contents of inspection
The inspection this time shall be an overall on-site inspection. It covers corporate governance structure, internal control, assets quality, profitability, capital adequacy, fluidity and compliance, and etc.. The focus is laid on the appraisal of corporate governance structure, internal control and overall risk status, and inspections on the rectification of the inspection last time, etc..
| | (三)檢查內容
此次檢查為全面現場檢查。內容包括法人治理結構、內部控制、資產質量、盈利性、資本充足性、流動性和合規性等方面。重點是對法人治理結構、內部控制和整體風險狀況的評估，以及對上次檢查後的整改情況檢查等。
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4. Schedule
The preparatory work before inspection shall be done from September to the end of October, including formulation of CAMELS Rating handbook for foreign-funded institutions with legal person status, and issuance of the questionnaires before inspection and formulation of the specific inspection plans, etc.. In the first ten days of November, the CBRC shall organize uniformly the training before the on-site inspection; and in the middle and last ten days of November, the on-site inspection shall be made officially.
．．．．．． | | (四)時間安排
9月—10月底，做檢查前准備工作，包括制定外資法人機構駱駝評級手冊，發放檢查前問卷和制定具體檢查方案等；11月上旬銀監會統一組織現場檢查前培訓；11月中下旬正式進行現場檢查。
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