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Notice by the General Office of the China Banking and Insurance Regulatory Commission of Issues Concerning Further Enhancing the Management of Undertakings of Shareholders 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 Enhancing the Management of Undertakings of Shareholders 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 asset management companies, financial asset investment companies, and wealth management companies; and all insurance group (holding) companies, insurance companies, insurance asset management companies, and 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 more effectively regulating the undertakings of shareholders of banking and insurance institutions, standardizing the subject matters of undertakings of shareholders, enhancing the binding force of undertakings of shareholders, cementing the foundation of corporate governance of banking and insurance institutions, and promoting the financial practice rule of “a man of his word,” you are hereby notified of the relevant matters 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 the principal shareholders of banking and insurance institutions to give and fulfill undertakings. The undertakings of shareholders may be divided into three categories: declaration, compliance, and performance of responsibilities and obligations. Undertakings in the declaration category are shareholders' confirmation or declaration of a certain past or current factual status, such as the fact that the sources of their own funds are true and lawful, that the information provided is true, accurate, and complete, and that there is no record of any major violation of laws and regulations in recent years. Undertakings in the compliance category are shareholders' undertakings to carry out certain activity in compliance with laws and regulations in the future, such as not interfering with the operations of banking and insurance institutions, conducting affiliated transactions in a well-regulated manner, standardizing equity pledges, and not transferring their equities during a specified period. Undertakings in the category of performance of responsibilities and obligations are shareholders' undertakings to perform corresponding responsibilities and obligations in the future, including risk relief undertakings and undertakings given in accordance with other regulatory requirements. Risk relief undertakings are shareholders' undertakings to cooperate in the implementation of risk relief measures when necessary, such as capital replenishment, liquidity support, and cooperation in the implementation of rehabilitation 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 contents of undertakings of principal shareholders of banking and insurance institutions shall be accurate, standardized, and enforceable, and for undertakings with definable time limits such as undertakings of shareholders with holdings beyond a percentage limit to decrease their holdings, the time limits for fulfilling undertakings shall be specific as much as possible, and no ambiguous words such as “when the time is right” shall 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 undertakings given by the principal shareholders of enterprise legal persons shall, in accordance with laws and regulations, regulatory requirements, and company bylaws, undergo the necessary internal approval procedures such as those of 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. The principal shareholders of banking and insurance institutions shall, in accordance with the relevant laws, regulations, and regulatory requirements, honestly give undertakings, practically fulfill undertakings, and actively cooperate with the CBIRC or its local offices and banking and insurance institutions in assessing undertakings of shareholders.   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。
The principal shareholders of banking and insurance institutions shall actively fulfill their undertakings in the category of performance of responsibilities and obligations such as capital replenishment and liquidity support, and cooperate with banking and insurance institutions in disposing of risks in accordance with the regulatory requirements. Where any undertakings in this category cannot be performed, the banking and insurance institutions shall be notified in a timely manner with an explanation of the specific circumstances and reasons, and the other investors shall not be prevented from making equity investment in the banking and insurance institutions under reasonable plans. 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。
The banking and insurance institutions shall, after learning that the relevant shareholders cannot fulfill their undertakings in this category, report to the CBIRC or its local office in a timely manner, and develop response 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 a management system of undertakings of principal shareholders to standardize the file management, regular assessment, and other work on undertakings of principal shareholders.   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 their company bylaws, standardize the undertakings of principal shareholders and fulfillment of undertakings, and enforce the responsibilities and obligations of principal 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 communicate the regulatory requirements for undertakings of shareholders to their principal shareholders in a timely, complete and accurate manner, and assist principal shareholders in standardizing the contents of and procedures for undertakings.   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 maintain files on undertakings of principal shareholders to record the parties giving undertakings, specific subject matters, the method and time of fulfilling undertakings, the fulfillment of undertakings, and the measures adopted against shareholders in violation of undertakings, 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 assessment mechanism for undertakings of principal shareholders to annually assess principal shareholders' fulfillment of undertakings, understand and evaluate the fulfillment of undertakings of principal shareholders in a timely manner, and proactively supervise principal shareholders' fulfillment of undertakings.   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 include the assessment of undertakings of principal shareholders in the assessment of corporate governance, and report the assessment of fulfillment of shareholders' undertakings and the main issues in the assessment to the CBIRC or its local offices in a timely manner. 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 the management of undertakings and conscientiously 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 boards of directors of banking and insurance institutions shall exercise due diligence, organize the development of management rules for shareholders' undertakings, the management of files on undertakings of principal shareholders, the assessment of undertakings of principal shareholders, and other work on the management of undertakings, and assume the management responsibility for undertakings of principal shareholders. 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. The company bylaws of banking and insurance institutions shall provide for the corresponding restrictions on principal shareholders in violation of undertakings.   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 undertakings of principal shareholders of banking and insurance institutions shall be determined by the boards of directors. The proposals on measures against shareholders in violation of undertakings shall be submitted by the board of directors, and such measures shall be implemented after the proposals are deliberated at and pass the shareholders' meetings, and the relevant shareholders or their proxies shall be disqualified 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 a local office of it shall establish an assessment mechanism for undertakings of principal shareholders of banking and insurance institutions, annually assess the fulfillment of undertakings of principal shareholders of banking and insurance institutions, and include the assessment work in the regulatory assessment 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 there are any irregularities in banking and insurance institutions in the management of undertakings of shareholders, the CBIRC or its local offices may, in accordance with the Interim Measures for the Administration of the Equities of Commercial Banks, the Measures for the Administration of the Equities of Insurance Companies, and other relevant provisions, adopt measures such as ordering correction and adjusting the result of corporate governance evaluation or regulatory rating.   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 any principal shareholders of banking and insurance institutions violate their undertakings in the declaration and compliance categories, depending on the circumstances, the CBIRC or its local offices may, in accordance with the Interim Measures for the Administration of the Equities of Commercial Banks, the Measures for the Administration of the Equities of Insurance Companies, and other relevant provisions, adopt measures such as ordering correction, restricting a shareholder' rights, issuing a notification of warning in the industry, public censure, and prohibiting investment in banking and insurance institutions for a certain period of time or even for life, and enter the relevant information into the records of poor management of equities 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 any principal shareholders of banking and insurance institutions in violation of their undertakings in the category of performance of responsibilities and obligations prevent other investors from making equity investment in the banking and insurance institutions under reasonable plans, or refuse to cooperate with the implementation of the regulatory requirements, the CBIRC or its local offices may, depending on the circumstances, adopt measures against them in accordance with the law. 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 any principal shareholders of banking and insurance institutions in violation of their undertakings concurrently otherwise violate any laws or regulations, the CBIRC or its local offices may, in a combined manner, adopt measures such as administrative penalties, regulatory measures or revocation of administrative licensure against them 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. The principal shareholders of banking and insurance institutions shall, in accordance with the requirements of this Notice, supplement and improve the relevant undertakings as soon as possible by referring to the undertaking templates annexed to this Notice. The specific texts of undertaking may be adjusted appropriately in light of the actual circumstances. Where an undertaking has not been given, the undertaking shall be given as soon as possible. Where the content of an undertaking already given fails to satisfy the regulatory requirements, it shall be standardized in a timely manner. Where the content of an undertaking already given satisfies the requirements, no additional undertaking 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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