【文章內(nèi)容簡介】 areholder which holds 1% or more of shares or equities in the financial institution。（二）本人或其近親屬在持有該金融機構1％以上股份或股權的股東單位任職；(3)The person or any of his/her near relatives holds an office in the financial institution, an institution in which the financial institution holds controlling shares or an institution actually controlled by the financial institution。（三）本人或其近親屬在該金融機構、該金融機構控股或者實際控制的機構任職；(4)The person or any of his/her near relatives holds an office in an institution unable to repay a loan owed to the financial institution on schedule。（四）本人或其近親屬在不能按期償還該金融機構貸款的機構任職；(5)There is a business contact for legal, accounting, auditing, management consulting or guarantee cooperation matters or an interested relationship such as a debtorcreditor relationship between the institution where the person or any of his/her near relatives holds an office and the financial institution where the person is to hold(or currently holds)an office, which may jeopardize his/her independence in performing duties。or（五）本人或其近親屬任職的機構與本人擬（現(xiàn)）任職金融機構之間存在因法律、會計、審計、管理咨詢、擔保合作等方面的業(yè)務聯(lián)系或債權債務等方面的利益關系，以至于妨礙其履職獨立性的情形；(6)Any other circumstance under which his/her independence in performing duties may be jeopardized as the person or any of his/her near relatives is likely to be controlled or significantly influenced by the substantial shareholder or senior management of the financial institution.（六）本人或其近親屬可能被該金融機構主要股東、高管層控制或施加重大影響，以至于妨礙其履職獨立性的其他情形。Article 12 Where any tobe or current director(council member)or senior manager of a financial institution falls under any other circumstance where he/she is prohibited by any law or administrative regulation from holding the office of director(council member)or senior manager of a financial institution, it shall be deemed a failure to satisfy the qualification requirements as prescribed by regulatory 金融機構擬任、現(xiàn)任董事（理事）和高級管理人員出現(xiàn)法律、行政法規(guī)所規(guī)定的不得擔任金融機構董事（理事）和高級管理人員的其他情形，視為不符合監(jiān)管機構規(guī)定的任職資格條件。Article 13 The requirements on the educational background and practice experience of the tobe or current directors(council members)and senior managers of various financial institutions shall be governed by the administrative licensing rules of the CBRC and the relevant provisions of the Detailed Rules for the Implementation of the Regulation of the People39。s Republic of China on the Administration of Foreignfunded 各類金融機構擬任、現(xiàn)任董事（理事）和高級管理人員應當具備的學歷和從業(yè)年限按銀監(jiān)會行政許可規(guī)章以及《中華人民共和國外資銀行管理條例實施細則》相關規(guī)定執(zhí)行。Chapter III Examination and Approval of Qualifications for Holding Offices 第三章 任職資格審查與核準Article 14 The directors(council members)and senior managers of financial institutions shall be subject to qualification licensing, and may not hold offices before being licensed 金融機構董事（理事）和高級管理人員應當在任職前獲得任職資格核準，在獲得任職資格核準前不得履職。Article 15 Before appointing a director(council member)or senior manager or authorizing a person to perform the duties of directors(council members)or senior managers, a financial institution shall confirm that the person concerned satisfies the relevant qualification requirements and submit a qualification application to the regulatory 金融機構任命董事（理事）和高級管理人員或授權相關人員履行董事（理事）或高級管理人員職責前，應當確認其符合任職資格條件，并向監(jiān)管機構提出任職資格申請。Article 16 The materials and procedures for various financial institutions to submit applications for qualifications for holding offices shall be governed by the administrative licensing rules of the CBRC and the relevant provisions of the Detailed Rules for the Implementation of the Regulation of the People39。s Republic of China on the Administration of Foreignfunded 各類金融機構報送任職資格申請的材料和程序按銀監(jiān)會行政許可規(guī)章以及《中華人民共和國外資銀行管理條例實施細則》相關規(guī)定執(zhí)行。Article 17 In addition to examining the application materials submitted by a financial institution, a regulatory authority may examine whether a candidate satisfies the relevant qualification requirements by the following ways, and issue a written decision of approval or disapproval to the financial institution on the basis of the examination result:第十七條 除審核金融機構報送的任職資格申請材料外，監(jiān)管機構可以通過以下方式審查擬任人是否符合任職資格條件，并據(jù)以向金融機構發(fā)出核準或不予核準任職資格的書面決定：(1)inquiring about information about the candidate or the previous employer thereof through the regulatory information system。（一）在監(jiān)管信息系統(tǒng)中查詢擬任人或擬任人曾任職機構的相關信息； ．．．．．．．．．．．．Dear visitor, you are attempting to view a subscriptionbased section of you are already a subscriber, please sign in to enjoy access to our you’re not a subscriber, please may also make online payment to immediately view and download this can purchase a single article through Online Pay to immediately view and download this you have any questions, please contact us at: Tel: +86(10)82689699, +86(10)82668266()Mobile: +86 13311570712 Fax: +86(10)82668268database@您好：您現(xiàn)在要進入的是北大法律英文網(wǎng)會員專區(qū)，如您是我們英文用戶可直接 登錄，進入會員專區(qū)查詢您所需要的信息；如您還不是我們 的英文用戶，請注冊并交納相應費用成為我們的英文會員 ；您也可通過網(wǎng)上支付進行單篇購買，支付成功后即可立即查看本篇法規(guī)。如有問題請來電咨詢；Tel: +86(10)82689699 or +86(10)82668266()Mobile: +86 13311570712 Fax: +86(10)82668268 database@第二篇：《銀行業(yè)金融機構董事(理事)和高級管理人員任職資格管理辦法》《銀行業(yè)金融機構董事（理事）和高級管理人員任職資格管理辦法》已經(jīng)中國銀監(jiān)會第125次主席會議于2012年6月20日通過?，F(xiàn)予公布，自2013年12月18日起施行。第四章 任職資格終止第二十五條 有下列情形之一的，監(jiān)管機構應當撤銷已做出的任職資格核準決定：（一）監(jiān)管機構工作人員濫用職權、玩忽職守、超越職權、違反法定程序?qū)Σ痪邆淙温氋Y格條件的人員核準其任職資格的；（二）金融機構董事（理事）和高級管理人員申請任職資格時存在不具備任職資格條件的情形，監(jiān)管機構在審核時未發(fā)現(xiàn)，但在核準其任職資格后發(fā)現(xiàn)該情形的；（三）不符合任職資格基本條件的人員通過不正當手段取得董事（理事）和高級管理人員任職資格的；（四）依法應當撤銷任職資格核準決定的其他情形。第二十六條 已擁有任職資格的擬任、現(xiàn)任董事（理事）和高級管理人員出現(xiàn)下列情形之一的，該人員任職資格失效，金融機構應當及時將相關情況報告監(jiān)管機構：（一）監(jiān)管機構發(fā)出任職資格核準文件三個月后，未實際到任履行相應職責，且未向監(jiān)管機構提供正當理由的；（二）因死亡、失蹤、或者喪失民事行為能力，而被金融機構停止其董事（理事）或高級管理人員任職的；（三）因主動辭職、被金融機構解聘、罷免，或退休及身體原因等不再擔任金融機構董事（理事）或高級管理人員職務的；（四）因被有權機關限制人身自由或被追究刑事責任而被金融機構停止其董事（理事）或高級管理人員任職的；（五）因在同一法人機構內(nèi)部調(diào)整職務而停止擔任董事（理事）或高級管理人員職務的時間持續(xù)一年以上的?！躲y行業(yè)金融機構董事（理事）和高級管理人員任職資格管理辦法》已經(jīng)中國銀監(jiān)會第125次主席會議于2012年6月20日通過?，F(xiàn)予公布，自2013年12月18日起施行。第二十七條 金融機構有下列情形之一的，監(jiān)管機構可視情節(jié)輕重及其后果，取消直接負責的董事（理事）和高級管理人員一年以上五年以下任職資格：（一）違法違規(guī)經(jīng)營，情節(jié)較為嚴重或造成損失數(shù)額較大的；（二）內(nèi)部管理與控制制度不健全或執(zhí)行監(jiān)督不力，造成損失數(shù)額較大或引發(fā)較大金融犯罪案件的；（三）違反審慎經(jīng)營規(guī)則，造成損失數(shù)額較大或引發(fā)較大金融犯罪案件的；（四）未按照規(guī)定向監(jiān)管機構提供報表、報告等文件或資料，經(jīng)監(jiān)管機構書面提示，拒不改正的；（五）未按照規(guī)定進行信息披露，經(jīng)監(jiān)管機構書面提示，拒不改正的；（六）拒絕、阻礙、對抗依法監(jiān)管，情節(jié)較為嚴重的；（七）發(fā)生重大犯罪案件或重