保险经纪机构管理规定 Rules on Administration of Insurance Brokerage Institutions

urance Brokerage Institution；

　　2. Resolution of shareholders' meeting， or meeting of all partners；

　　3. Photocopies of identity certificates and resumes of new natural-person shareholders or partners， photocopies of business licenses of new non-natural-person shareholders and their financial statements of the latest year and such statement shall be stamped with the seal of finance；

　　4. Capital verification certific

ate issued by a capital verification organization with statutory qualification；

　　5. Amended articles of association of the company or partnership agreement；

　　6. Where the insurance brokerage institution reduces its registered capital or capital contribution， it shall submit the evidence to prove that it has made announcement on newspapers for at least 3 times；

　　7. Other materials specified by the CIRC.

　　Article 37

　　Where an insurance brokerage institution applies for the alteration of organizational form， it shall satisfy the conditions for establishing a new organizational form and submit the following application materials in duplicate to the CIRC：

　　1. Application Form for Alteration of Insurance Brokerage Institution；

　　2. Resolution of shareholders' meeting， or meeting all partners；

　　3. Amended articles of association of the company or partnership agreement；

　　4. Implementation plan；

　　5. Other materials specified by the CIRC.

　　Article 38

　　Where an insurance brokerage institution applies for the alteration of shareholders， partners， equity structure or proportion of capital contribution， it shall submit the following application materials in duplicate to the CIRC：

　　1. Application Form for Alteration of Insurance Brokerage Institution；

　　2. Resolution of shareholders' meeting or meeting of all partners；

　　3. Transfer agreement；

　　4. Photocopies of identity certificates and resumes of new natural-person shareholders or partners， photocopies of business licenses of new non-natural-person shareholders and their financial statements of the latest year and such statement shall be stamped with the seal of finance；

　　5. Capital verification certificate issued by a capital verification organization with statutory qualification；

　　6. Amended articles of association of the company or partnership agreement；

　　7. Other materials specified by the CIRC.

　　Article 39

　　The CIRC shall make a decision as to whether or not to approve the application of an insurance brokerage institution for alteration within 20 days after accepting the application. Where it decides not to approve the application， it shall provide the applicant with a written notice and state reasons therefor.

　　Article 40

　　Where an insurance brokerage institution falls into one of the following circumstances， it shall report to the CIRC in writing within 5 days from the date of alteration of industrial and commercial registration：

　　1. Change of name；

　　2. Change of domicile or business premises；

　　3. Change of shareholders or capital contributors；

　　4. Change of name of promoters， shareholders or capital contributors.

　　Article 41

　　Where an insurance brokerage branch falls into one of the following circumstances， it shall report to the CIRC in writing within 5 days from the date of alteration of industrial and commercial registration：

　　1. Change of name；

　　2. Change of business premises.

　　Article 42

　　Where an insurance brokerage institution amends the articles of association of the company or partnership agreement， it shall report to the CIRC in writing within 5 days from the date when relevant resolution or decision is made and submit relevant resolution or decision， amended articles of association of the company or partnership agreement to the CIRC：

　　Article 43

　　Where the alteration of an insurance brokerage institution or any of its branches involves the change of the content of the License， the original License shall be returned for renewal.

　　Where the alteration mentioned in the preceding paragraph is subject to the approval of the CIRC， the insurance brokerage institution and its branches shall receive new License from the CIRC within 2 months after the approval decis

ion is made. Where the change mentioned in the preceding paragraph is not subject to the approval of the CIRC， the insurance brokerage institution and its branches shall receive new License from the CIRC within 1 month after the date of alteration of industrial and commercial registration.

　　Article 44

　　Where an insurance brokerage institution dissolves a branch， it shall report to the CIRC in writing within 5 days from the date when relevant resolution or decision is made and return the License of the dissolved branch and make announcement on the newspapers designated by the CIRC.

　　Article 45

　　Where an insurance brokerage institution or any of its branches falls into one of the following circumstances， it shall make announcement on the newspaper designated by the CIRC within 5 days from the date when the decision of alteration is made：

　　1. Change of name；

　　2. Change of domicile or business premises.

　　Article 46

　　Where a new insurance brokerage institution is established as a result of merger or split， application shall be filed to the CIRC for approval according to these regulations. Where an insurance brokerage institution is dissolved due to merger or split， it shall submit a report to the CIRC. Where any alteration takes place in an insurance brokerage institution as a result of merger or split， it shall obtain approval from or report to the CIRC according to these Rules.

　　Article 47

　　Where an insurance brokerage institution falls into one of the following circumstances， the CIRC shall cancel the License according to law and make announcements：

　　1. The validity period of the license expires and no renewal has been applied for；

　　2. The validity period of the license expires and the CIRC， in accordance with laws， does not renew the license；

　　3. The business license is revoked by the administrative department of industry and commerce in accordance with the law；

　　4. Having not conducted insurance agency business for 6 consecutive months；

　　5. The license is withdrawn or revoked in accordance with the law；

　　6. The insurance agency institution is dissolved， closed down or declared bankrupt in accordance with the law；

　　7.　Other circumstances specified by laws and administrative regulations where the License of the insurance agency institution shall be cancelled.

　　The insurance brokerage institution whose License is cancelled according to the preceding paragraph shall set up a liquidation committee in accordance with the law， organize liquidation in accordance with legal formalities and submit liquidation report to the CIRC.

　　Article 48

　　Where an insurance brokerage branch falls into one of the following circumstances， the CIRC shall cancel its License in accordance with the law and make announcement：

　　1. The License of the insurance brokerage institution with which the branch is affiliated is cancelled in accordance with the law；

　　2. Its business license is revoked by the administration of industry and commerce in accordance with the law；

　　3. Having not conducted insurance brokerage business for 6 consecutive months；

　　4. The License is withdrawn or revoked in accordance with the law；

　　5. Other circumstances specified by laws and administrative regulations where the license shall be cancelled.

　　Chapter 3　Qualification Administration

　　Section 1　Administration of Insurance Brokerage Practitioner Qualification and Practice Certificates

　　Article 49

　　As used in these Rules， the term “insurance broking business personnel” refers to the personnel of insurance brokerage institutions and their branches who draw out insurance proposal for insurance applicants or the insured， handle insurance application procedure， assist the person for claiming the compensation， or personnel who provide

services of prevention against disaster and damage， risk assessment， risk management consulting services， or conduct reinsurance broking business.

　　Insurance broking business personnel shall pass the qualification test for insurance brokerage practitioners organized by the CIRC and obtain the Qualification Certificate.

　　Article 50

　　A person who takes the qualification test for insurance brokerage practitioners shall have a senior high school diploma or above.

　　Article 51

　　Any person who enters for the qualification test for insurance brokerage practitioners shall submit the following materials：

　　1. Registration Form of Qualification Test for Insurance Brokerage Practitioners；

　　2. Photocopy of identity certificate；

　　3. Photocopy of academic credential；

　　4. Three recent small-size 2“ bareheaded， full faced color photos.

　　Article 52

　　The CIRC shall issue the Qualification Certificate to those who pass the qualification test for insurance brokerage practitioners and fulfill the following requirements：

　　1. Full civil capacity；

　　2. Moral integrity.

　　Article 53

　　The Qualification Certificate shall not be issued to the person who falls into one of the fo

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