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

ake correction and impose a fine of not more than RMB 30，000 on it. The senior management personnel in charge of the insurance brokerage institution or branch and other persons directly responsible shall be given a warning and a fine of RMB 5，000.

　　Article 132

　　Where an insurance brokerage institution or any of its branches fails to submit relevant reports， statements， documents or materials in accordance with these Rules， the CIRC shall order it to make correction. Where it fails to make correction within the prescribed time limit， it shall be given a fine of RMB 10，000 to 100，000. The senior management personnel in charge of the insurance brokerage institution or branch and other persons directly responsible shall be given a warning and a fine of RMB 5，000.

　　Article 133

　　Where an insurance brokerage institution or any of its branches falls into one of the following circumstances， the CIRC shall order it to make correction and impose a fine of RMB 100，000 to 500，000 upon it. Where the circumstances are serious， the CIRC shall impose punishment upon it according to laws and administrative regulations. The senior management personnel directly in charge of the insurance brokerage institution or branch and persons directly responsible shall be given a warning and a fine of not more than RMB 30，000：

　　1. Provide false reports， statements， documents or materials；

　　2. Reject or hamper inspection and supervision specified by law.

　　Article 134

　　Where an insurance brokerage institution or any of its branches falls into one of the following circumstances， the CIRC shall order it to make correction and impose a fine of RMB 30，000 upon it. The senior management personnel directly in charge of the insurance agency institution or branch and persons directly responsible shall be given a warning and a fine of RMB 5，000：

　　1. Fail to pay regulation fee in accordance with relevant stipulations；

　　2. Fail to submit liquidation report in accordance with these Rules at the time of liquidation or the liquidation report intentionally conceals major facts or contains major omissions；

　　3. Refuse to hand back the License and thus violate these Rules.

　　Article 135

　　Where an insurance brokerage institution or any of its branches falls into one of the following circumstances， the CIRC shall order it to make correction， give it a warning and impose a fine of not more than RMB 10，000 upon it：

　　1. Fail to provide training on insurance law and professional knowledge and professional ethics education to business personnel；

　　2. Fail to manage business files or special accounting books in accordance with relevant stipulations；

　　3. The actual term of office of the temporary person in charge exceeds the specified term；

　　4. Fail to go through the procedure for the registration of License alterations in accordance with relevant stipulations；

　　5. Failure to perform the obligation of disclosure to insurance applicants， the insured and the public in accordance with relevant stipulations；

　　6. Failure to perform the responsibility of managing practice certificates in accordance with relevant stipulations.

　　Chapter 7 Supplementary Provisions

　　Article 136

　　Foreign-invested insurance brokerage institutions established with the approval of the CIRC shall be governed by these Rules. Where relevant international treaties to which China is a party or the CIRC have other prov

isions， such provisions shall apply.

　　Article 137

　　As used in these Rules， the term “insurance intermediaries” refers to insurance agency institutions， insurance brokerage institutions， insurance loss adjustment institutions and their branches.

　　As used in these Rules， the term “insurance companies” refers to insurance companies and their branches.

　　Article 138

　　Chinese version of materials required by these Rules to be submitted to the CIRC shall prevail and the materials shall be submitted to the CIRC in the format prescribed by the CIRC. The CIRC may require applicants to submit the electronic documents of relevant materials as circumstances demand.

　　Article 139

　　The format of various forms required by these Rules to be submitted shall be formulated by the CIRC.

　　Article 140

　　Except those expressed in year and month， the time limits referred to in these Rules are calculated on the basis of working days and do not include statutory holidays.

　　Article 141

　　The CIRC is responsible for the interpretation and revision of these regulations.

　　Article 142

　　These Rules shall take into effect as of January 1， 2005. Rules on Administration of Insurance Brokerage Institutions promulgated by the CIRC on November 16， 2001 （CIRC Ordinance [2001] No.5） shall be repealed simultaneously.

　　Schedules：

　　1. Insurance brokerage institution Establishment Application Form

　　2. Insurance brokerage institution Branch Establishment Application Form

　　3. Insurance brokerage institution Change Application Form

　　4. Entry Form of Qualification Examination for Insurance brokerage institutions

　　5. Application Form of Qualification for Senior management personnel of Insurance brokerage institutions

　　6. Application Form of Renewal of Qualification Certificate for Insurance brokerage institutions

　　7. Letter of Authorization of Insurance brokerage institution Establishment Applicatio

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