【中英文对照版】中国人民银行行政处罚程序规定(2022).docx

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1、中国人民银行令(2022)第 3 号)中国人民银行行政处分程 序规定已经2022年2月 8日中国人民银行2022年 第2次行务会议审议通过， 现予发布，自2022年6月 1日起施行。行长易纲on中国人民银行行政处分程序 规定中国人民银行行政处分程序规定(2022)Provisions of the Peoples Bank of China on Administrative Punishment Procedures (2022)(中英文对照版)发布部门：中国人民银行发文字号：中国人民银行令(2022)第3号发布日期：实施日期：效力级别：部门规章法规类别：银行综合规定Issuing Auth

2、ority : Peoples Bank of ChinaDocument Number : Order No. 3 2022J of the Peoples Bank of ChinaDate Issued : 04-14-2022Effective Date ： 06-01-2022Level of Authority : Departmental RulesArea of Law : General Provisions on BankingOrder of the Peoples Bank of China(No. 3 2022)The Provisions of the People

3、s Bank of China on Administrative Punishment Procedures, as deliberated and adopted at the 2nd executive meeting of the Peoples Bank of China for 2022 on February 8, 2022, are hereby issued and shall come into force on June 1, 2022.Governor: Yi GangApril 14, 2022April 14, 20222022年4月14日Provisions of

4、 the Peoples Bank of China Administrative Punishment Procedures第四章立案和调查第十九条除符合中 华人民共和国行政处分法 第五十一条规定，依法适用 简易程序作出行政处分外， 中国人民银行及其分支机构 执法职能部门根据以下情 形，认为符合立案标准的， 依法向本单位行政处分委员 会办公室申请立案：（一）在现场检查、非现场 检查及日常监管中发现当事 人存在违法违规行为，或者有违法违规行为确切线索 的；（二）对于公安机关、其他 监管部门、行业自律组织等 移送的违法违规线索，经初 步核实认为当事人存在违法 违规行为的；（三）中国人民银行及其他

5、 分支机构发现违法违规行 为，移送本单位管辖的；（四）上级行指定本单位管 辖的；（五）本单位对相关违法违 规行为有管辖权的其他情Chapter IV Case Docketing and InvestigationArticle 19 Except that an administrative punishment shall be imposed according to the summary procedures in compliance with Article 51 of the Administrative Punishment Law of the Peoples Republ

6、ic of China, the department with the law enforcement function of the PBC or its branch office may, in light of the following circumstances, legally apply to the office of the administrative punishment committee of its bank for docketing a case if it believes that the standards for case docketing are

7、 met.(1) It is found in the on-site inspection, off-site inspection, or routine regulation that the party has committed any violation of law or regulation or thereis any definite clue to the violation of law or regulation.(2) It is preliminarily verified that the party has committed any violation of

8、 law or regulation with respect to any clue to the violation of law or regulation transferred by a public security authority, any other regulatory authority, or industry self-regulatory organization, among others.(3) The PBC or any other branch office finds any violation of law or regulation and tra

9、nsfers the case to the bank for jurisdiction.(4) The superior bank designates the bank to exercise jurisdiction.(5) Any other circumstance where the bank has jurisdiction over the relevant violation of law or10regulation.形。Article 20 Where the PBC or its branch office, after docketing a case, deems

10、it necessary to conduct further investigation into any violation of law or regulation to obtain the relevant information and supplement evidentiary materials, it may conduct a case investigation of the parties.第二十条中国人民银 行及其分支机构立案后，认 为需要对违法违规行为进一 步调查，了解相关情况、补 充证据材料的，可以对当事 人开展案件调查。Where the PBC or its

11、 branch office investigates a case, it shall serve a case investigation notice upon the party to inform the party of such matters as the basis and content of the case investigation, the investigation period and scope, the time when the investigation is conducted, requirements, and list of investigat

12、ors.中国人民银行及其分支机构 开展案件调查的，应当向当 事人送达案件调查通知书， 告知案件调查的依据、内 容、调查期限范围、调查开 展时间、要求、调查人员名 单等事项。Article 21 The summary on-site inspection procedures set out in the Provisions of the Peoples Bank of China on Law Enforcement Inspection Procedures shall apply, mutatis mutandis, to the case investigation procedur

13、es; if the case circumstances are relatively第二十一条案件调查 程序参照中国人民银行执 法检查程序规定简易现场 检查程序进行；案件情况较complicated and have a relatively large impact, the onsite inspection procedures may apply, mutatis mutandis.为复杂、影响较大的，可以 参照现场检查程序进行。Investigators shall, in accordance with the Administrative Punishment Law of

14、the Peoples Republic of China, the Provisions of the Peoples Bank of China on Law Enforcement Inspection Procedures, and other applicable provisions, conduct investigation in a comprehensive, objective, and impartial manner and sufficiently collect evidentiary materials.调查人员应当按照中华人 民共和国行政处分法中 国人民银行执

15、法检查程序规 定等规定全面、客观、公 正地调查，充分收集证据材 料。11第二十二条中国人民银行及其分支机构根据案件 调查工作需要，可以聘请注 册会计师、资产评估人员、 律师等专业人员，以及数据分析、信息技术等领域技术 人员作为辅助人员协助案件 调查，或者邀请上述人员出具专业意见。Article 23 The parties shall cooperate with the PBC and its branch offices in their case investigation and perform the following obligations:第二十三条当事人应 当配合中国人民银行

16、及其分 支机构的案件调查，履行下 列义务：(1) shall not obstruct or reject case investigation, or raise unreasonable requirements;（一） 调查, 求；不得阻碍、拒绝案件 不得提出不合理的要(2) honestly replying to the inquiries of investigators (一) and making explanations on relevant matters in a 询问， timely manner;说明；如实回答调查人员的及时就相关事项进行(3) providing

17、the information, electronic data, documents and materials, among others, required for case investigation as required in a timely manner, and being responsible for the veracity, accuracy, and integrity of the provided information, electronic data, documents and materials, among others.（三）按照要求及时提供案 件调

18、查所需的信息、电子数 据、文件和资料等，并对所 提供的信息、电子数据、文 件和资料等的真实性、准确 性、完整性负责。Chapter V Case Trial第五章案件审理12Article 22 The PBC and its branch offices may, as required for case investigation, retain certified public accountants, asset appraisers, lawyers, and other professionals, and technicians in data analysis, informa

19、tion technology, and other fields as assistants to assist in case investigation or invite the aforesaid personnel to issue professional opinions.Article 24 The office of the administrative punishment committee shall, according to the relevant evidentiary materials, offer case handling opinions in ac

20、cordance with the law.第二十四条行政处分 委员会办公室根据相关证据 材料，依法提出案件处理意 见。第二十五条行政处分 委员会办公室提出案件处理 意见后，经行政处分委员会 主任批准，组织召开行政处Article 25 The office of the administrative punishment committee shall, after offering case handling opinions, organize the convening of a meeting of the administrative punishment committee or

21、 organize written deliberation with the approval of the chairman of the administrative punishment committee.罚委员会会议或者组织书面 审议。The administrative punishment committee shall 行政处分委员会审议以下事 deliberate the following matters:项：(1) whether the bank has jurisdiction or exceeds statutory powers;whether the fact

22、s of the violation of law or regulation are clear and whether the evidence is conclusive and sufficient, and whether the determination of nature is accurate;(2) whether the procedures for law enforcement inspection and case investigation are lawful;whether the laws, administrative regulations, and r

23、ules of the PBC are applied correctly and whether the discretionary benchmark is applied appropriately; and(3) whether the type and amount of the administrative punishment to be imposed are proper, and whether the grounds and basis for the exemption or reduction of administrative punishment to be im

24、posed are sufficient.（一）本单位是否具有管辖 权，是否超越法定权限；（二）违法违规事实是否清 楚，证据是否合法、充分， 定性是否准确；（三）执法检查、案件调查 程序是否合法；（四）适用法律、行政法 规、中国人民银行规章是否 正确，裁量基准运用是否适 当；（五）拟作出行政处分的种 类、金额是否适当，拟不予 行政处分或者减轻处分的理 由和依据是否充分。13When deliberating a case, the administrative punishment committee may listen to the opinions of judges, lawyers,

25、 scholars, and other external experts who have no interest in the case.第二十六条行政处分 委员会审议案件时，可以听 取与案件不存在利害关系的 法官、律师、学者等外部专 家的意见。Opinions may be heard in person or by inviting external experts to provide written comments.听取意见可以采取当面听取 的方式，也可以邀请外部专 家提供书面意见。Article 26 Where an administrative punishment dec

26、ision is to be made as deliberated and adopted by the administrative punishment committee, the office of the administrative punishment committee shall prepare a written notice of administrative punishment opinion and serve it upon the party with the approval of the chairman of the administrative pun

27、ishment committee or the vice chairman authorized thereby.第二十七条行政处分 委员会审议通过，拟作出行 政处分决定的，行政处分委 员会办公室制作行政处分意 见告知书，经行政处分委员 会主任或者其授权的副主任 批准后，送达当事人。Article 27 The written notice of administrative punishment opinion shall state the facts and evidence for the violation of law or regulation, the type, amoun

28、t, grounds, and basis of the administrative punishment to be imposed, and the parties have the right to make statements and arguments in accordance with the law. If the administrative punishment decision to be made falls under the scope of hearing set forth in Article 63 of the Administrative Punish

29、ment Law of the Peoples Republic of China, the parties shall also be informed of the right to request a hearing in accordance with the law. Among which, “a relatively large amount of fine/9 confiscating a relatively large amount of illegal income or confiscating illegal properties of relatively larg

30、e value means:第二十八条行政处分 意见告知书应当载明违法违 规行为的事实和证据，拟作 出行政处分的种类、金额、 理由和依据，以及当事人依 法享有提出陈述和申辩的权 利；拟作出的行政处分决定 符合中华人民共和国行政 处分法第六十三条规定的 听证情形的，应当告知当事 人依法享有提出听证的权 利。其中，“较大数额罚 款”“没收较大数额违法所 得、没收较大价值非法财14物”，是指:(1) The PBC intends to impose a fine, confiscate illegal income, and confiscate illegal property totaling

31、 five million yuan or more against a legal person or an unincorporated organization, or that totaling 200,000 yuan or more against a single natural person.（一）中国人民银行对法 人、非法人组织拟作出罚 款、没收违法所得、没收非 法财物合计五百万元及以上 的，对单一自然人合计二十 万元以上的；(2) The PBC branch office at or above the level of a central sub-branch of a

32、 sub-provincial city intends to impose a fine, confiscate illegal income, and confiscate illegal property totaling three million yuan（二）中国人民银行副省级 城市中心支行以上分支机构 对法人、非法人组织拟作出 罚款、没收违法所得、没收or more against a legal person or an unincorporated organization, or that totaling 100,000 yuan or more against a si

33、ngle natural person.非法财物合计三百万元及以 上的，对单一自然人合计十 万元以上的；(3) The PBC branch office at or above the level of a districted city intends to impose a fine, confiscate illegal income, and confiscate illegal property totaling one million yuan or more against a legal person or an unincorporated organization, or

34、 that totaling 50,000 yuan or more against a single natural person.（三）中国人民银行地市中 心支行对法人、非法人组织 拟作出罚款、没收违法所 得、没收非法财物合计一百 万元及以上的，对单一自然 人合计五万元以上的。Article 29 Where a case investigator, a member of the administrative punishment committee, or a staff member of the office of the administrative punishment com

35、mittee who handles the case has interest relations with the party or falls under any other circumstance which may affect the fair trial of the case, the person shall actively apply for withdrawal. If any party shall withdraw but fails to apply for withdrawal and the party applies for withdrawal with

36、 sufficient grounds, the chairman of the administrative punishment committee shall require the relevant person to withdraw.第二十九条案件调查 人员、行政处分委员会委 员、行政处分委员会办公室 从事案件处理工作的人员与 当事人存在利害关系，或者 有其他可能影响案件公平审 理的情形的，应当主动申请 回避；应当回避而未主动申 请回避，当事人申请回避且 理由充分的，行政处分委员 会主任应当要求相关人员回 避。15第三十条当事人可以 在中国人民银行及其分支机 构立案后、送达行政处分

37、决 定书前书面提出先行整改承 诺申请，载明清晰、可查证 的整改目标、整改措施和完 成时间，或者消除损害、不 良影响的措施等。中国人民 银行认为当事人通过先行整 改能够更好符合金融监管要 求且不立即实施行政处分不 会损害社会公共利益、他人 合法权益的，可以决定中止 审理、暂缓作出行政处分决 定，催促当事人进行整改。 当事人按承诺期限完成整改 的，中国人民银行或其分支 机构可以依法从轻、减轻处 罚；到期未实质完成整改工 作，或者没有合理理由拖延 整改的，恢复审理，并依法 从重处分。先行整改承诺主要适用于拟 作出较大数额罚款、撤消相 关许可证、责令停业整顿等 重大行政处分案件，且当事人不存在违法违规

38、行为情节 严重、社会影响恶劣等情 形。第三十一条当事人在Article 30 A party may, after the PBC or its branch office dockets a case and before the written administrative punishment decision is served, file a written application for an undertaking to make rectification first, indicating clear and verifiable rectification objectiv

39、es, rectification measures, and completion time, or the measures for eliminating damage or adverse impact, among others. If the PBC deems that the party is able to satisfy the requirements for financial regulation by making rectification first and the failure to impose the administrative punishment

40、immediately will not damage the public interest and others* lawful rights and interests, it may decide to suspend the trial and postpone the administrative punishment decision, and urge the party to make rectification. If the party completes rectification within the period specified in the undertaki

41、ng, the PBC or its branch office may impose a lighter or mitigated punishment in accordance with the law; and if the party fails to essentially complete the rectification upon expiry or delays the rectification without any justifiable reason, the PBC or its branch office shall resume the trial and i

42、mpose a heavier punishment in accordance with the law.The undertaking to make rectification first mainly applies to the cases of major administrative punishments such as the imposition of a relatively large amount of fine, revocation of the relevant permit, and ordering the suspension of business op

43、eration for rectification, and the parties do not commit any violation of law or regulation, which has serious circumstances or an adverse social impact, among others.Article 31 Where a financial risk event occurs to a16中国人民银行及其分支机构 作出行政处分决定前发生金 融风险事件，金融管理部门 或者存款保险机构依法完成 处置的，对当事人在金融风 险事件处置完成前实施的违 法违

44、规行为，可以按照经批 准的金融风险处置方案处 理。party before the PBC or its branch office makes an administrative punishment decision and the financial management department or deposit insurance institution has completed the disposal thereof in accordance with the law, the violation of law or regulation committed by the p

45、arty before the completion of the disposal of the financial risk event may be handled according to the approved financial risk disposal plan.第三十二条中国人民 银行及其分支机构对于不适 用中华人民共和国行政处 罚法第五章第二节规定的 简易程序，但事实清楚，当 事人书面申请、自愿认错认 罚，且相关违法违规行为有 证据佐证的案件，可以适当 简化案件审理程序，及时作 出行政处分决定。Article 32 For a case to which the summ

46、ary procedures set forth in Section 2, Chapter V of the Administrative Punishment Law of the Peoples Republic of China are inapplicable, but the facts are clear, and the party files a written application to voluntarily admit his or her mistake and accept punishment, and the relevant violation of law

47、 or regulation is supported by evidence, the case trial procedures may be simplified appropriately and an administrative punishment decision shall be made in a timely manner.第六章陈述、申辩和听证Chapter VI Statements, Arguments, and Hearings第三十三条当事人要 求陈述和申辩的，应当自收 到行政处分意见告知书之日 起五日内将陈述和申辩的书第三十三条当事人要 求陈述和申辩的，应当自

48、收 到行政处分意见告知书之日 起五日内将陈述和申辩的书Article 33 A party who needs to make statements and arguments shall, within five days of receipt of a written notice of administrative punishment opinion, submit the written materials on statements and面材料提交至制作行政处分 意见告知书的中国人民银行 或其分支机构。面材料提交至制作行政处分 意见告知书的中国人民银行 或其分支机构。arguments to the PBC or its local office that prepares the written notice of administrative punishment opinion.当事人收到行政处分意见告After receiving the written notice of admin