商业银行合规风险管理指引英文版.pdf

Guidelines for the Compliance Risk Management of Commercial Banks October 25, 2006 Chapter I General Provisions Article 1 For the purpose of strengthening the compliance risk management of commercial banks and maintaining commercial banks operating safely and stably, these Guidelines are instituted in accordance with the Measures of the People's Republic of China on the Supervision and Administration of the Banking Sector and the Law of the People's Republic of China on Commercial Banks. Article 2 A Chinese-funded commercial bank, foreign sole-capital bank, joint venture bank or branch of a foreign bank established within the territory of the People's Republic of China shall be governed by these Guidelines. A policy bank, financial asset management company, urban credit cooperative, rural credit cooperative, trust investment company, enterprise group financial company, financial lease company, automobile financial company, currency brokerage company, postal savings institution or any other financial institution established within the territory of the People's Republic of China and approved by the China Banking Regulatory Commission shall be governed by these Guidelines. Article 3 The term "laws, rules and standards" as mentioned in these Guidelines refers to the laws, administrative regulations, departmental rules as well as other regulatory documents, business rules and industrial standards of self-disciplinary organizations, behavioral code and occupation ethnics. The term "compliance" as mentioned in these Guidelines refers to the consistence between the business operations of commercial banks and the related laws, rules and standards. The term "compliance risks" as mentioned in these Guidelines refers to the risks of a commercial bank suffering from legal sanction, supervision punishment, great financial losses or