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Article 1. In order to regulate the acts of the China Insurance Regulatory Commission (hereinafter referred to the CIRC) and the institutions dispatched by the CIRC in implementing administrative licensing, to promote insurance regulatory efficiency and protect the legitimate rights and interests of citizens, insurance institutions and other legal persons and organizations, the present Measures are formulated in accordance with the Administrative License Law of the People's Republic of China and the Insurance Law of the People's Republic of China. Article 2. The term "administrative licensing" mentioned in the present Measures means the acts that the CIRC or its dispatched institutions, under relevant laws, administrative regulations and authorization decided by the State Council, examine the applications filed by the citizens, insurance institutions and other legal persons or organizations and permit them to conduct particular activities. Article 3. When the CIRC and its dispatched institutions implement the administrative licensing, they shall follow the statutory functions, scope, conditions and procedures, comply with the principle of openness, fairness, impartiality and facilitating the people, enhance the efficiency and provide quality services. Article 4. The CIRC may formulate rules and regulations and authorize its dispatched institutions to effect the administrative licensing. The dispatched institutions shall, within the functions specified in these rules and regulations, implement the administrative licensing in their own names. The CIRC may formulate regulatory documents and entrust the dispatched institutions to implement the administrative licensing. The dispatched institutions shall, according to the entrustment of the CIRC, implements the administrative licensing on behalf of the CIRC and the CIRC shall bear the legal liabilities for their acts. Article 5. The CIRC may set up no administrative licensing in the rules, regulations and regulatory documents formulated by it. No dispatched institution may create any administrative licensing in the regulatory documents made by it, nor may it formulate any specific provisions on the implementation of administrative licensing. Article 6. The CBRC may, within the scope of the administrative licensing items set forth by relevant laws, administrative regulations and decisions of the State Council, make specific provisions on the administrative licensing by formulating rules, regulations and regulatory documents, but shall follow the following requirements: (1) It shall not insert any other condition in violation of the laws, administrative regulations and decisions of the State Council; (2) It shall provide for the conditions for administrative licensing clearly; (3) It shall provide for the materials that shall be provided by the applicants clearly; and (4) It shall not provide for any condition or material that has no directive relationship with the administrative licensing items to be applied for. Article 7. When the CIRC formulates a regulatory document mentioned in Article 6 of the present Measures, it shall make an announcement and shall timely release the information in the bulletin of the CIRC or national newspapers. Article 8. The special qualification examinations of the insurance industry shall be held by the CIRC publicly. No dispatched institution may insert any examination separately. The CIRC shall publicize the conditions, measures and subjects and synopsis of the qualification examinations. As for a person who passes the examinations and satisfies the statutory conditions, the CIRC shall be issue a qualification certification with the seal of the CIRC to him (her). With regard to the licensing procedures for the special qualifications of the insurance industry, if it is otherwise provided for by the CIRC, the provisions of the CIRC shall be followed. Article 9. When the CIRC or any of its dispatched institution implements any administrative licensing, if it requires the applicant to adopt a standard application format, it shall provide the applicant with a standard administrative licensing application format. The CIRC shall publicize the administrative licensing items and the standard administrative licensing application format through the website of the government organ so as to facilitate the applicants in consulting and downloading it. Article 10. The General Office of the CIRC and the offices of its dispatched institutions are departments responsible for accepting administrative licensing applications (hereinafter referred to acceptance departments). The acceptance departments shall perform the following functions: (1) To accept administrative licensing applications within the scope of functions of the CIRC or its dispatched institutions; (2) To conduct preliminary examination on whether the application materials are complete or not, and it may put forward an opinion about whether or not to accept an application; (3) To accept the consultation of the general public about insurance administrative licensing; (4) To urge the administrative licensing items to be handled; and (5) To serve on the applicants insurance administrative licensing decisions and insurance administrative licensing certificates. Article 11. The CIRC and its dispatched institutions shall publicize the addresses and contact information of the acceptance departments through the website of the government organ. Article 12. An acceptance department shall be equipped with full-time personnel to accept the administrative licensing applications in a fixed office. Article 13. An acceptance department shall display the following materials in the office where the administrative licensing applications are accepted for the consultation of the general public. (1) The basis for the implementation of administrative licensing; (2) The conditions, procedures and time limits for the implementation of administrative licensing items; (3) The list of all the materials that an applicant is required to submit; and (4) An exemplary application. Where the acceptance department is requested by an applicant to account for the displayed items mentioned in the preceding paragraph, it shall provide exact and reliable information. Article 14. An acceptance department shall handle the administrative licensing applications differently in light of the following circumstances: (1) For the matter applied for that is not subject to administrative license in accordance with the law, it shall inform the applicant of rejection immediately; (2) If the matter applied for does not fall within the scope of functions of the CIRC or its dispatched institutions, it shall make a decision of rejection immediately and inform the applicant to file an application with the competent administrative organ; (3) Where there is any error in the application materials that can be corrected on the spot, the applicant shall be permitted to correct it on the spot and to confirm the revision by affixing his signature thereto; (4) Where the application materials are incomplete or inconsistent with the statutory form, it shall, by giving the applicant a supplement and correction notice within 5 days, inform the applicant, all at once, the items that need to be supplemented or corrected. If it fails to do so within the time limit, the day when the application materials are received shall be considered the acceptance day; (5) Where the matter applied for falls within the functions of the CIRC or its dispatched institutions and the application materials are complete and in consistency with the statutory form, or the applicant has supplemented and corrected all the items as required, the application for administrative licensing shall be accepted. Where the acceptance department is unable to decide whether to accept an application or not, it shall, after having received the application materials of the applicant, issue to the applicant an acknowledgement of receipt, on which the name of the materials involved shall be specified. Article 15. Where an acceptance department makes a decision of acceptance or rejection, it shall issue a written proof with its seal for the exclusive use of administrative licensing and a clear indication of the date. The acceptance department shall consider the date of receiving the complete set of materials the date to be indicated on the acceptance proof. Article 16. An acceptance department shall inform the applicant to fetch the relevant written proof on the day when it decides to make a supplement and correction notice, to accept or reject an application. If the applicant refuses to fetch the said written proof, a service shall be made by the acceptance department by a mail. Article 17. The CIRC and its dispatched institutions shall examine the applications submitted by the applicants. When the CIRC or any of its dispatched institutions examines an administrative licensing application, if it finds that any party has important direct interests to the administrative licensing items, it shall inform the interested party. The applicant and the interested party shall be entitled to make a statement and argument. The CIRC or its dispatched institution shall listen to the opinions of the applicant and the interested party. Article 18. During the time after an administrative licensing application is accepted but before a decision of administrative licensing is made, if the applicant submits any supplementary application material, the time limit for administrative licensing shall be recomputed from the day when the acceptance department receives the supplementary material. Article 19. During the period after the administrative licensing application of an applicant is accepted but before a decision of administrative licensing is made, if the applicant intends to withdraw the aforesaid application, it shall submit a written application to the acceptance department. The CIRC or its dispatched institution shall timely terminate the examination on the application and shall return the relevant administrative licensing application materials to the applicant. Article 20. Where the CIRC authorizes or entrusts any of its dispatched institutions to conduct preliminary examination on the administrative licensing applications of the applicants, it shall simultaneously authorize or entrust the dispatched institution to accept the administrative licensing applications, to serve the administrative licensing decisions and administrative licensing certificates. The dispatched institution shall complete the preliminary examination within the statutory time limit and shall submit the preliminary examination opinions and application materials to the CIRC, which shall not request the applicants to submit application materials separately. Article 21. Where the CIRC authorizes or entrusts any of its dispatched institution to implement the administrative licensing, it shall not extend the statutory time limit for administrative licensing. Article 22. If the application of an applicant meet the statutory conditions or standards, the CIRC or its dispatched institution shall make a written decision to approve the administrative licensing. Where the CIRC or its dispatched institution makes a written decision to disapprove the administrative licensing, it shall give an explanation and inform the applicant that it is entitled to apply for administrative reconsideration or lodge an administrative lawsuit in accordance with the law. The CIRC or its dispatched institution shall make a decision to approve or disapprove the administrative licensing within the statutory time limit. Article 23. Where the CIRC or its dispatched institution decides to approve the administrative licensing, and if it needs to issue an insurance licensing certificate, it shall issue the applicant one with the seal of the CIRC. Article 24. All the administrative licensing decisions and insurance licensing certificates of the CIRC or any of its dispatched institution shall be served on the applicants via its acceptance department. The acceptance department shall, within 10 days from the day when an administrative licensing decision is made, serve the decision on the applicant. Where the CIRC or any of its dispatched institution makes a decision to approve the administrative licensing and needs to issue an insurance licensing certificate, its acceptance department shall, within 10 days from the day when the decision is made, serve the insurance licensing certificate on the applicant. The above-mentioned time limits exclude the time spent on the way. Article 25. An acceptance department shall serve an administrative licensing decision or insurance licensing certificate on the applicant by personal delivery. If it is difficult to do so, a service may be made by mail. If a service is made by personal delivery, the acceptance department shall have an acknowledgement of service, on which the applicant shall note down the receiving date and affix his name or seal. If a service is made by mail, the acceptance department shall keep the proof of mail. The receiving date indicated on the proof of mail shall be the date of service. Article 26. Where it is impossible for an acceptance department to serve the administrative licensing decision on an applicant by personal delivery or by mail, it may execute the service by public announcement. An acceptance department shall effect the service by making public announcements on its official website or on newspapers, and the service shall be deemed a success 60 days after the announcement is made. Article 27. Where the CIRC or any of its dispatched institutions makes a decision of approval of administrative licensing, it shall release the information in the bulletin of the CIRC or through the website of the government organ. Article 28. Where a licensee requests to modify any administrative licensing item, it shall apply to the organ that makes the decision of administrative licensing. If it meets the statutory conditions, the CIRC or its dispatched institution shall handle the modification formalities in accordance with the law. The CIRC and its dispatched institution shall, within the statutory time limit, complete the modification formalities. Article 29. Where the CIRC intends to formulate any rule, regulation or regulatory document regarding the implementation of administrative licensing, if it is of great importance to the public interests, it shall make an announcement to the general public and hold a hearing. Article 30. If the administrative licensing is of great importance to the applicant or other people, the CIRC or its dispatched institution shall, before it makes an administrative licensing decision, inform the applicant and the interested parties of the right to request for hearing. If the applicant or any interested party files an application for hearing within 5 days from the day when it is informed of the hearing right, the CIRC or its dispatched institution shall organize a hearing within 20 days. Article 31. The CIRC and its dispatched institutions shall gradually establish and perfect the supervisory system, and shall fulfill their supervisory responsibilities by verifying the pertinent materials about the administrative licensing activities conducted by the licensees. Where the CIRC or any of its dispatched institution supervise or inspect the administrative licensing activities conducted by a licensee, it shall fill the information about the supervision or inspection and the handling result in a recording form, and shall keep the recording form as archives after it is signed by the supervisors or inspectors. The general public are entitled to consult such record. Article 32. The CIRC and its dispatched institutions shall, under their respective functions, conduct effective supervision over the licensees. A dispatched institution shall conduct effective supervision over the licensees within its jurisdiction. Where a licensee commits any illegal offence relates to insurance in a different place, it shall be investigated and punished by the dispatched institution at the place where the offence is committed. The dispatched institution responsible for investigating and punishing the said licensee shall send copies of the facts of the offence and punishment information to the competent administrative organ that makes the administrative licensing decision and the dispatched institution where the licensee is located. Article 33. The CIRC shall intensify the supervision and inspection over the implementation of administrative licensing by its dispatched institutions and shall timely rectify the illegal acts therein. Article 34. The CIRC or any of its dispatched institutions may modify or revoke a valid administrative licensing if: (1) the law, regulation or rule, on which the administrative licensing is based, is amended or abolished; (2) the rule, regulation or regulatory document changes the conditions or standards of the administrative licensing; (3) the objective circumstance, on which the administrative licensing is based, has significantly changed; (4) the act of approving the administrative licensing will produce serious injury to the public interests or to the development of insurance industry; or (5) the qualification or conditions of the party applied to has important changes, it doesn't meet the statutory conditions or standards. Article 35. Under any of the following circumstances, the CIRC or its dispatched institutions shall handle the formalities for the deregistration of administrative licensing in pursuance of the law: (1) An administrative license fails to be extended at the expiry of its valid period; (2) A citizen is granted the special qualifications of insurance industry, but he (she) is dead or loses capacity for action; (3) A licensed legal person or any other institution terminates in accordance with the law; (4) An administrative license is annulled or withdrawn, or the certificate for administrative license is revoked in light of the law; or (5) The administrative licensing items are unable to be implemented due to any force majeure; Article 36. The time limits for the implementation of administrative licensing mentioned in the present Measures shall be computed on the basis of working days, excluding the legal holidays. Article 37. The present Measures shall come into effect as of July 1, 2004. Annex: Record of Administrative Licensing Activities (omitted) |
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