中国保险监督管理委员会派出机构监管职责规定 Regulations on Supervision and Administration Responsibilities of Local Office

中国保监会[2004]第7号

颁布日期：20040630 　实施日期：20040801 　颁布单位：中国保险监督管理委员会

　　（The CIRC Ordinance No. 2004-7）

　　Reviewed and adopted at the Chairmen Meeting of the China Insurance Regulatory Commission on June 29， 2004， Regulations on Supervision and Administration Responsibilities of Local offices of the China Insurance Regulatory Commission is now promulgated and shall come into effect as of August 1， 2004.

　　June 30， 2004

　　Regulations on Supervision and Administration Responsibilities of Local Offices of the China Insurance Regulatory Commission

　　Chapter I　General Provisions

　　Article 1

　　These Regulations are formulated in accordance with laws and administrative regulations including the Insurance Law of the People's Republic of China for the purposes of defining the supervision and administration responsibilities of local offices， improving supervision and administration of the insurance industry and promoting its healthy development.

　　Article 2

　　The China Insurance Regulatory Commission （hereinafter referred to as “the CIRC”） shall conduct vertical leadership and centralized management of its local offices.

　　All local offices are directly accountable to the CIRC and exercise their supervision and administration functions and powers within the scope of the CIRC‘s authorization.

　　Article 3

　　When performing supervision and administration responsibilities， a local office shall conduct administration in accordance with law， strictly exercise supervision and strengthen services.

　　Article 4

　　A local office mainly performs the following supervision and administration responsibilities：

　　1. To work on and formulate the development plan of the insurance industry in the area under its jurisdiction and to organize the implementation of the plan； to guide and

　　promote the overall， coordinated and sustainable development of the insurance industry；

　　2. To implement rules and regulations of the CIRC and formulate relevant detailed implementing rules and specific measures according to the actual conditions in the area under its jurisdiction；

　　3. To monitor and analyze the operation of the insurance market in the area under its jurisdiction； to give early warning of， prevent and eliminate risks of the insurance industry and timely report relevant material matters to the CIRC；

　　4. To supervise and exercise administration of the insurance operating activities of branches of insurance companies， insurance intermediaries and insurance practitioners， investigate and punish illegal and regulation-violating insurance activities and maintain the order of the insurance market in the area under its jurisdiction；

　　5. To exercise administration of the establishment， alteration， dissolution and other relevant matters of branches of insurance companies and insurance intermediaries in the area under its jurisdiction；

　　6. To exercise administration of relevant insurance clauses and premium rates；

　　7. To exercise administration of the qualifications of relevant senior managerial personnel；

　　8. Other supervision and administration matters authorized or entrusted by the CIRC.

　　Article 5

　　“Local office” in these Regulations refers to a supervision and administration bureau dispatched by the CIRC to a province， an autonomous region， a municipality directly under central government or a city specially designated in the State plan.

　　“Insurance institutions” in these Regulations refer to insurance companies and their branches. “Branches of insurance companies” in these Regulations refer to the branches， central sub-branches， sub-branches， sales centers and sales service centers of insurance companies.

　　“Insurance intermediaries” in these Regulations refer to insurance brokers， insurance loss-adjust

ers， insurance agents and branches of the above institutions and part-time insurance agents.

　　Chapter 2 Administration of Institutions

　　Article 6

　　A local office is responsible for carrying out the following work of administration of a Chinese-funded insurance company in the area under its jurisdiction：

　　1. To examine and permit the operation commencement of an insurance branch company；

　　2. To examine and approve the establishment and dissolution of a central sub-branch， a sub-branch， a sales center and a sales service center of an insurance company；

　　3. To examine and approve the change of business premises of a branch of an insurance company；

　　4. To accept written reports of a branch of an insurance company on merger， change of name and adjustment of business scope.

　　Article 7

　　A local office is responsible for carrying out the following work of administration of an insurance intermediary in the area under its jurisdiction：

　　1. To examine and approve the establishment of a Chinese-funded insurance agent；

　　2. To examine and approve the establishment of a branch of a Chinese-funded insurance broker， a Chinese-funded insurance agent or a Chinese-funded insurance loss-adjuster in the area under its jurisdiction；

　　3. To examine and approve the use of guaranty funds by an insurance agent or a part-time insurance agent；

　　4. To examine and confirm the agency business qualifications of a part-time insurance agent；

　　5. To manage matters concerning the alteration of an insurance agent， a branch of an insurance agent， a branch of an insurance broker or a branch of an insurance loss-adjuster.

　　Article 8

　　A local office is responsible for accepting an application for the establishment of a Chinese-funded insurance broker or a Chinese-funded insurance loss-adjuster in the area under its jurisdiction and serving approval documents and relevant licences according to the entrustment of the CIRC.

　　Article 9

　　A local office is responsible for the examination and approval of the establishment and dissolution of a sales service center of a foreign-funded insurance company.

　　Article 10

　　A local office is responsible for the examination and approval of the establishment of a branch of a foreign-funded insurance agent.

　　Article 11

　　A local office is responsible for the issuance， service， renewing and announcement of relevant licences of the following institutions in the area under its jurisdiction.

　　1. Branches of a Chinese-funded insurance company；

　　2. Chinese-funded insurance agents and their branches；

　　3. Branches of a Chinese-funded insurance broker；

　　4. Branches of a Chinese-funded insurance loss-adjuster；

　　5. Sales service centers of a foreign-funded insurance company；

　　6. Branches of a foreign-funded insurance agent；

　　7. Part-time insurance agents.

　　Chapter 3 Administration of Qualifications of Insurance Practitioners

　　Article 12

　　A local office is responsible for the examination， confirmation and management of the qualifications of senior managerial personnel of a branch of an insurance company in the area under its jurisdiction in accordance with the stipulations of the CIRC.

　　Article 13

　　A local office is responsible for the examination and confirmation of the qualifications of senior managerial personnel of the following insurance intermediaries in the area under its jurisdiction：

　　1.　Insurance agents and their branches；

　　2.　Insurance brokers‘ and insurance loss-adjusters’ branches in the area under its jurisdiction.

　　Article 14

　　A local office is responsible for accepting the applications for the qualification of the senior managerial personnel of insurance brokers and insurance loss-adjusters and serv

e the approval decisions of the CIRC according to the entrustment of the CIRC.

　　Article 15

　　A local office is responsible for the following administration work of the qualifications of the insurance practitioners in the area under its jurisdiction in accordance with relevant stipulations of the CIRC：

　　1. Qualification tests for insurance practitioners；

　　2. Issuance and management of qualification certificates of insurance practitioners；

　　3. Supervision of the issuance and management of insurance practice certificates；

　　4. Other work concerning administration of qualifications of insurance practitioners.

　　Chapter 4 Administration of Insurance Clauses and Premium Rates

　　Article 16

　　A local office is responsible for exercising administration of the sales of insurance products by an insurance company‘s branches in the area under its jurisdiction in accordance with relevant stipulations of the CIRC.

　　Article 17

　　A local office is responsible for supervising and exercising administration of the implementation of insurance clauses and premium rates and product information disclosure by an insurance company‘s branches in the area under its jurisdiction.

　　Chapter 5 On-site and Off-site Supervision

　　Article 18

　　A local office is responsible for conducting on-site inspection and off-site supervision of the following institutions in the area under its jurisdiction：

　　1. Branches of an insurance company；

　　2. Insurance intermediaries；

　　3. Other institutions subject to the on-site inspection and off-site supervision of a local office according to the authorization or entrustment of the CI

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