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相關部門加強銀行金融機構高管人員任職資格管理
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金融監管總局 recently released the "Regulations on Qualification Management of Directors (Council Members) and Senior Executives of Banking Financial Institutions" (hereinafter referred to as the "Regulations"), aiming to strengthen the supervision of directors, council members, and senior executives of banking financial institutions (collectively referred to as "senior management"). The new regulations will take effect on June 1, 2025.
Industry experts have pointed out that in recent years, there have been occasional cases of illegal or non-compliant behavior by senior management within the banking sector. The newly promulgated Regulations are tailored to the actual conditions of the banking industry and regulatory work in recent years, further refining the eligibility criteria for directors, council members, and senior executives of banking financial institutions, as well as the relevant management provisions. This move aims to reinforce the responsibility of financial institutions in their selection and appointment processes, encouraging senior management to adhere to professional ethics, fulfill their responsibilities diligently, and maintain integrity, thereby promoting the lawful and compliant operation and high-quality development of financial institutions.
The Regulations adopt a principle of proportionate punishment, adjusting the impact of regulatory penalties on the eligibility of senior management. The new rules specify the types of penalties and clarify the duration of their effects, imposing restrictions on job transitions and promotions for affected individuals.
Specifically: - Applications for任職資格核準 (qualification review) will not be approved if a擬任人 (prospective appointee) has received a warning, public censure, or fine within the past year. - Currently serving senior management who have been issued warnings, public censures, or fines may not be promoted to higher positions within their institutions for one year. - Individuals subject to market entry bans by regulatory bodies will remain ineligible for five years after the ban is lifted. - Any individual whose eligibility has been revoked for a specific period (including lifetime disqualifications) will be deemed unqualified for the role.
Moreover, the Regulations emphasize the primary responsibility of financial institutions in their personnel selection and appointment processes. Financial institutions are required to establish sound procedures and criteria for selecting senior management. Both the institutions and prospective appointees must ensure the authenticity and completeness of application materials and reports related to qualification reviews.
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