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TABLE OF CONTENTS CHAPTER I GENERAL PROVISIONS CHAPTER II STATISTICAL SYSTEM AND ADMINISTRATION OF REPORT FORMS CHAPTER III MANAGEMENT OF STATISTICAL MATERIALS AND INFORMATION DISCLOSURE CHAPTER IV STATISTICAL INSTITUTIONS CHAPTER V STATISTICAL PERSONNEL CHAPTER VI STATISTICAL SUPERVISION AND CHECK CHAPTER VII REWARDS AND PUNISHMENTS CHAPTER VIII SUPPLEMENTARY PROVISIONS CHAPTER I GENERAL PROVISIONS Article 1. With a view to strengthening the administration of banking statistics, regulating the acts of banking statistics, and meeting the requirements of the banking supervisory work, the present Measures are enacted in accordance with the Statistics Law of the People's Republic of China, the Banking Supervision Law of the People's Republic of China, the Law of the People's Republic of China on Commercial Banks, and the Rules for the Implementation of the Statistics Law of the People's Republic of China as well as the Measures for the Punishment of Financial Illegal Acts. Article 2. The present Measures shall be applicable to the banking regulatory institutions and the banking institutions. The "banking institutions" mentioned in the present Measures refers to the commercial banks, urban credit cooperatives, rural credit cooperatives and other financial institutions and policy banks established within China and engaged in taking in deposits of the general public. The present Measures shall be applicable to the financial assets management companies, trust investment companies, financial companies and the financial lease companies established within the People's Republic of China and other financial institutions established upon approval of the banking regulatory organ of the State Council (hereinafter referred to the CBRC) of the State Council. Article 3. The "banking supervisory statistics" mentioned in the present Measures refers to all statistical activities organized and carried out by the banking regulatory organs, taking the banking institutions as principal objects, to meet the needs of the supervisory work. The banking supervisory statistics are an important component of the banking supervisory work and the internal control of the banking institutions. Article 4. The basic task of the banking supervisory statistical work is to conduct the statistical investigation, analysis, evaluation and early warning to the operational conditions and risk situation of the banking institutions of the whole country, to provide the statistical information and advisory opinions and to conduct statistical supervision and check. Article 5. The fundamental principles of the banking supervisory statistics are uniform prescription, accuracy and timeliness, being scientific and precise, and being true to the fact. Article 6. For the banking supervisory statistics the administrative system of unified leadership and with each level assuming responsibility for its own work is adopted. The CBRC shall be the department in charge of organization and leading, coordination, administration, supervision and check to the banking supervisory statistics of the whole country. The representative offices of the CBRC shall be responsible for the banking supervisory statistics within their own jurisdictions. Article 7. The system, report forms and data of the banking supervisory statistics shall be subject to the management through specialized departments, and the statistical departments of banking regulatory institutions shall assume the specific responsibilities. Article 8. The banking supervisory statistics shall be based on the financial and accounting information of the banking institutions, be supported by the information system of internal administration of the banking institutions, and the sources of statistical data shall be guaranteed to be truthful, accurate and complete. Article 9. For banking supervisory statistics modern information technology should be used so as to ensure the automatic, systematic and networked collection of statistics. Article 10. For the banking supervisory statistics we should strengthen the construction of information transparency and enhance the standardization and timeliness of information disclosure of the supervisory statistics. CHAPTER II STATISTICAL SYSTEM AND ADMINISTRATION OF REPORT FORMS Article 11. The CBRC shall be responsible for establishing the system of banking supervisory statistics. The system of banking supervisory statistics shall be systematic prescriptions of the objects, contents, layout, methodology of banking supervisory statistics and the administration of the supervisory statistics. Article 12. The CBRC shall be responsible for the statistical report forms of banking supervision and in charge of the formulation, issuance and withdrawal of statistical report forms of banking supervision. No representative office of the CBRC may work out fixed statistical report forms. In case the provisional statistical report forms of its own jurisdiction are formulated as required by work, it shall be reported to the higher banking regulatory institutions for archival purposes. The term of provisional statistical report forms shall not, in general, excess one year. Article 13. The representative offices of the CBRC and the banking institutions have the right to refuse to fill in and submit the statistical report forms of the banking supervision which are issued in violation of the prescriptions of Article 12. Article 14. The banking institutions shall formulate the specific measures for the implementation of their own institutions pursuant to the statistical rules promulgated by the CBRC, and report them to the banking regulatory institutions for the archival purposes. CHAPTER III MANAGEMENT OF STATISTICAL MATERIALS AND INFORMATION DISCLOSURE Article 15. The statistical departments of the banking regulatory institutions and the departments in charge of statistics of the banking institutions shall strengthen the management of the statistical materials, and establish and perfect the administrative system of the examination and approval, settlement, hand-over and archival filing of the statistical materials. Article 16. The CBRC shall establish a system of information disclosure, and regularly publicize the statistical information of banking supervision to the public. The representative offices of the CBRC shall establish the system of information disclosure of their own jurisdictions pursuant to the prescriptions and authorization of the CBRC, and report them to the CBRC for examination and approval. Article 17. When the banking regulatory institutions disclose the supervisory statistical information, the data provided by the statistical departments shall prevail. Article 18. The banking institutions shall disclose the statistical information of their own institutions to the outside in accordance with the related prescriptions. Article 19. When the banking regulatory institutions and the banking institutions publicize the statistical data of banking supervision with a degree of confidentiality to the outside, it shall apply the system of level-by-level examination and approval and with each level assuming responsibility for its own work, and no entity or individual may presumptuously publicize them to the outside without authorization. The degree of confidentiality of the statistical materials of the banking supervision shall be implemented according to the related security provisions. CHAPTER IV STATISTICAL INSTITUTIONS Article 20. The CBRC, the banking regulatory offices and the banking regulatory sub-offices shall set up statistical departments to be separately responsible for the statistical work of the banking supervision of the whole country and their own jurisdictions. Article 21. The statistical departments of the banking regulatory institutions shall: (1) organize the drafting of all the statistical rules of banking supervision; (2) gather, collect and sort out the statistical materials of banking supervision, and to work out the statistical report forms of banking supervision; (3) sort out the statistical materials of the financial industry, the statistical materials related to national economy, and the statistical materials of foreign economy and finance; (4) organize statistical investigations and analyses, and make related policy suggestions; (5) provide the statistical materials of banking supervision to the related departments and disclose the statistical information of banking supervision to the general public; (6) evaluate and early warn the overall risk situation of the banking institutions; (7) organize the popularization and application of the statistical information system of banking supervision; (8) organize statistical checks of banking supervision; (9) organize the training relating to the statistical work of banking supervision; (10) participate in the research and formulation relating to the systems and measures of the banking regulatory institutions; (11) participate in the statistical intercommunication and cooperation of domestic and international banking supervision on behalf of the banking regulatory institutions; (12) provide supervisory statistical information and materials to the related international organizations, and regularly exchange information of trans-territory institutional supervision with the supervisory authorities of other countries; and (13) do other statistical work in order to satisfy the needs of the banking supervisory work. Article 22. The banking institutions shall set up a statistical department or decide on a competent department to be fully responsible the statistical work of their own institutions and provide the statistical information of banking supervision. Article 23. The departments in charge of statistical work of the banking institutions shall: (1) carry into effect the statistical administrative measures and all statistical rules formulated by the CBRC; (2) gather, collect, sort out and timely report the supervisory statistical materials of their own institutions to the banking regulatory institutions; (3) complete all the statistical work assigned by the banking regulatory institutions, and conduct statistical investigations, analyses and early warning within their own institutions; (4) cooperate with the banking regulatory institutions to do a good job in the statistical check of banking supervision; and (5) organize the popularization and application of the supporting items of the statistical information system of their own institutions and the banking regulatory institutions. The banking institutions shall set up effective internal coordinative mechanisms to ensure that the departments in charge of the statistical work earnestly perform the above responsibilities. CHAPTER V STATISTICAL PERSONNEL Article 24. The statistical personnel of the banking regulatory institutions and the banking institutions shall: (1) possess good professional ethics and professional knowledge necessary for carrying out statistical tasks; and (2) conduct job-related training and the persons without prior training or disqualified after being trained shall not take the position. The persons unfit for the statistical work after being examined shall be timely adjusted. Article 25. The transfer of the persons-in-charge of the statistical departments of the representative offices of the CBRC shall solicit the advice of the next higher statistical department, and the documents of appointments and removals shall simultaneously report it to the next higher statistical department. In case any of the statistical personnel changes his job or resigns, another person who meets prescriptions shall be provided to take over the work and the hand-over formalities shall be handled. Article 26. The banking regulatory institutions and the banking institutions shall, according to the related prescriptions of the State and the requirements of the work, set up and appoint professional technical positions within the statistical departments or departments in charge of the statistical work. Article 27. The legal representatives or the persons in-charge of the banking institutions shall be responsible for the authenticity of the statistical data of their own institutions. Article 28. The personnel of the banking regulatory institutions and the banking institutions shall be entitled to: (1) require the related entities and persons to provide the business materials and information of the banks according to the facts; (2) examine the veracity of statistical materials, and require the related entities and persons to correct the uncertain statistical materials; and (3) refuse to report the statistical report forms that do not meet the prescriptions, impeach and disclose the conducts violating the statistical laws, regulations and systems. When any of the functionaries of the banking regulatory institutions and the banking institutions exercises the above rights pursuant to the statistical laws and regulations promulgated by the State and the present Measures, no entity or individual may illegally intervene in it. CHAPTER VI STATISTICAL SUPERVISION AND CHECK Article 29. The statistical departments of the banking regulatory institutions shall supervise and check the statistical work of the banking institutions. No one may disturb or obstruct any statistical personnel's law enforcement and making of inspection conclusions. Article 30. The contents of statistical check shall include: the implementation conditions of the statistical laws and regulations and the supervisory statistical rules, the statistical quality and the authenticity of the statistical data, the sort-out of statistical materials, the conditions of the statistical information disclosure, the perfectness and security of the statistical information systems and other conditions related to the statistical work. Article 31. The banking regulatory institutions may, according to the requirements of prudent supervision, adopt the following measures to conduct supervisory statistical check pursuant to the related procedures: (1) Enter into the banking institutions to conduct examinations; (2) Inquire related personnel of the banking institutions, and require them to explain relevant matters under inspection; (3) Consult and reproduce the documents, materials and certificates relating to the matters under inspection of the banking institutions, check the accounts, original certificates and accounting statements according to the requirements, and check the related data of the management information systems of the banking institutions. There shall not be no fewer than 2 inspectors at the time of statistical inspection, and they shall show their lawful certificates and inspection notices. Article 32. The statistical inspection results of banking supervision shall, as an important content of appraising the administrative level and internal regulation system of the banking institutions, be brought into the comprehensive evaluation and examination of the banking regulatory institutions of their own institutions and related senior administrators. CHAPTER VII REWARDS AND PUNISHMENTS Article 33. The CBRC shall, in accordance with the related prescriptions, offer rewards to those statistical persons or collectives who have made important contributions and outstanding achievements in banking supervisory statistics. The rewards shall be divided into the honorary and material rewards. The material rewards shall, pursuant to the prescriptions of the State or the enterprises or the public institutions, be expended within the related funds. Article 34. The banking institutions may offer rewards to the statistical persons or collectives of their own institutions by referring to the Article 33. Article 35. The banking institution shall be punished pursuant to Article 45 of the Banking Supervision Law of the People's Republic of China for any one of the following conducts: (1) Make a false report, make a deceptive report, forge, juggle and unreasonably refuse to report the statistical materials of banking supervision; (2) Refuse to provide the conditions or provide false conditions and to transfer, hide and destroy the original statistical notes, statistical reports and other materials related to the statistics when they are subjected to the statistical inspection; and (3) Reject to accept or obstruct, resist the supervisory statistical inspection. Article 36. In case the banking institution violates any of the prescriptions by frequently failing to report, report lately and make a false report, it shall be punished pursuant to Article 46 of the Banking Supervision Law of the People's Republic of China. Article 37. In case any banking institution commits any act that constitutes a violation of Article 35 or 36 of the present Measures, except for those done pursuant to the older prescriptions, the banking regulatory institutions may punish the related responsible persons pursuant to Article 47 of the Banking Supervision Law of the People's Republic of China according to the seriousness of their liabilities. Article 38. In case any banking regulatory institution juggles any of the statistical materials and fabricates any false data, the responsible persons shall be given the administrative sanction of warning, demerit, serious demerit, degradation, removal or expulsion according to the seriousness of the circumstances. Article 39. In case any of the leaders of the banking regulatory institutions and the banking institutions retaliates any of the statistical persons who refuse or resist to juggle statistical materials and to fabricate false data, he shall be imposed on an administrative sanction; and if it constitutes a crime, he shall be subject to criminal liabilities. Article 40. In case any functionary engaged in supervisory statistics divulges any State secret or business secret known by them and if it constitutes a crime, he shall be subject to criminal liabilities; if it doesn't constitute a crime, he shall be imposed on an administrative sanction. CHAPTER VIII SUPPLEMENTARY PROVISIONS Article 41. The power to interpret the present Measures shall remain with the CBRC. Article 42. The present Measures shall come into force as of November 1, 2004. |
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