Legislative Updates (Issue 50) | 法宝双语新闻

【来源】北大法宝英文译本库

【责任编辑】Mani

【声明】本文由北大法宝编写，转载请注明来源。

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1. 银保监会加强险企中介渠道业务管理

银保监会近日发布《中国银保监会办公厅关于加强险企中介渠道业务管理的通知》。

《通知》的核心原则在于明确险企中介渠道管理必须做到管理责任到人、管理制度到位、信息系统健全，建立内部合规审计监督，强化险企对中介渠道合作主体的业务合规管理责任。

《通知》明确，险企要加强对合作中介渠道主体的管理并建立权责明晰的中介渠道业务管理制度体系。此外，《通知》还圈定了险企及其工作人员在开展中介渠道业务时的九“不得”。

1. CBIRC to Strengthen the Management of Insurance Intermediary Channel Business

Recently, the China Banking and Insurance Regulatory Commission (CBIRC) issued the Notice of the General Office of the China Banking and Insurance Regulatory Commission on Strengthening the Management of Insurance Intermediary Channel Business.

Pursuant to the Notice, the core principles for the management of insurance intermediary channel business lies in specific liable persons, well-enforced management rules, sound information systems, the internal compliance auditing supervision, and the enhanced compliance management responsibilities of insurers for the channel business of cooperative insurance intermediaries.

Insurers are required to enhance the management of cooperative insurance intermediaries and establish the intermediary channel business management systems with clear rights and obligations. In addition, the Notice specifies nine kinds of acts from which insurers and their staff members are prohibited in carrying out intermediary channel business.

2. 新修订《人民检察院检察建议工作规定》发布

2019年2月26日，最高人民检察院发布新修订的《人民检察院检察建议工作规定》。

《规定》明确，检察建议发出后，被建议单位在规定期限内经督促无正当理由不予整改或整改不到位的，必要时可以报告同级党委、人大，通报同级政府、纪检监察机关。同时，《规定》要求，人民检察院提出检察建议，除另有规定外，应当要求被建议单位自收到检察建议书之日起两个月以内作出相应处理，并书面回复人民检察院。因情况紧急需要被建议单位尽快处理的，可以根据实际情况确定相应的回复期限。

此外，《规定》从规范送达程序、建立检察建议抄送制度、强化跟踪督促等三个方面，为提升检察建议的刚性提供了制度保障。

2. Provisions on Prosecutorial Advices of People's Procuratorates Newly Revised

On February 26, 2019, the Supreme People's Procuratorate issued the Provisions on the Prosecutorial Advices of the People's Procuratorates as revised.

The Provisions make it clear that where, after the issuance of a prosecutorial advice, an advised entity refuses the rectification or its corrective actions are ineffective without justifiable reasons within the prescribed time limit notwithstanding supervision, such situation may be reported to the Party committee and the people's congress at the same level, and at the same time, to the people's government and the disciplinary inspection and supervision organ at the same level if necessary. Meanwhile, except as otherwise provided for, where a people's procuratorate makes a prosecutorial advice, the advised entity is required to conduct corresponding handling within two months from the date of receiving the prosecutorial advice and reply in writing to the people's procuratorate. Where the advised entity is required to handle it as soon as possible if the circumstances are urgent, the corresponding reply period may be determined as actually needed.

Furthermore, the Provisions provide the institutional guarantee for the effective enforcement of prosecutorial advices in terms of the service of process, copy-sending, and follow-up supervisory inspection.

3. 新设公募券商交易模式从试点转常规

近日，证监会发布《关于新设公募基金管理人证券交易模式转换有关事项的通知》。

根据《通知》， 为优化交易监管、引导长线增量资金参与市场交易，证监会决定将相关工作转入常规。新设立的公募基金公司应当采用券商结算模式，老基金公司相关产品的原有交易模式可暂不调整，并鼓励老基金公司在发行新基金产品时采用新交易模式进场交易。

此外，《通知》对证券公司在服务协议、资金账户开立、信息系统建设、资券足额检验及监控异常交易、佣金费用、信息隔离墙、结算职责等方面提出了一系列要求。

3. CSRC to Promote the Trading Mode of the New Publicly Offered Securities Institutions

The China Securities Regulatory Commission (CSRC) recently issued the Notice on Matters concerning the Conversion of the Securities Trading Mode for the New Publicly Offered Fund Management Institutions.

According to the Notice, the CSRC decides to routinize the relevant work to streamline the supervision and management of transactions and direct the long-term incremental funds to be traded in the market. The new publicly offered fund companies should adopt the settlement mode of securities traders, while the old ones may not temporarily adjust the current trading mode of relevant products, but they are encouraged to apply the new trading mode to the new fund products.

In addition, the Notice puts forward a series of requirements for securities companies in terms of service agreements, opening of fund accounts, construction of information systems, inspection of securities in full amount and monitoring of abnormal transactions, commission fees, information separation walls, and settlement duties, among others.

4. 《银行业金融机构反洗钱和反恐怖融资管理办法》发布

银保监会2月21日发布《银行业金融机构反洗钱和反恐怖融资管理办法》，自公布之日起施行。

《办法》共五章五十五条，从完善银行业金融机构内控制度、健全监管机制、明确市场准入标准等方面，建立了银保监会银行业反洗钱工作的基本框架。在市场准入方面，《办法》从两方面设置反洗钱规则：一是为了从源头上防止不法分子通过创设组织机构进行洗钱、恐怖融资活动，要求对股东、董事、高级管理人员进行犯罪背景调查以及对入股资金来源合法性进行审查。二是为了保证机构能够有效执行反洗钱制度，对银行业金融机构提出反洗钱内控制度要求，以及对拟任董事、高级管理人员提出反洗钱知识能力的要求。

4. Administrative Measures for Combating Money Laundering and Financing of Terrorism by Banking Financial Institutions Issued

On February 21, 2019, the China Banking and Insurance Regulatory Commission (CBIRC) issued the Measures for the Administration of Combating Money Laundering and Financing of Terrorism by Banking Financial Institutions, effectively from the date of issuance.

With a total of 55 articles in five chapters, the Measures established a basic framework for the CBIRC's work on anti-money laundering in the banking sector in terms of perfecting the internal control system of banking financial institutions, improving their supervision mechanism, and clarifying the criteria for market access, among others. The Measures specify rules against money laundering in market access: in order to prevent offenders from money laundering and financing of terrorism by establishing institutions from the source, the background of shareholders, directors, and senior executives  should be investigated and the sources of investment funds should be examined; and the requirements for the internal system against money laundering, and knowledge and capacity of to-be-appointed directors and senior executives are set forth with a view to effectively implementing the anti-money laundering rules.

5. 《关于完善法律援助补贴标准的指导意见》发布

近日，司法部、财政部联合印发《关于完善法律援助补贴标准的指导意见》。

《意见》指出，法律援助补贴是法律援助机构按照规定支付给社会律师、基层法律服务工作者、社会组织人员等法律援助事项承办人员所属单位的费用，但不对法律援助机构工作人员，以及其他承办法律援助事项的具有公职身份的基层法律服务工作者、社会组织人员支付补贴。法律援助补贴标准由省、自治区、直辖市人民政府司法行政部门会同同级财政部门，或者授权市、县级人民政府司法行政部门会同同级财政部门，结合当地经济社会发展水平确定。

《意见》明确了法律援助补贴标准的核算方式，包括直接费用、基本劳务费用等因素，并对办案、值班律师法律帮助、法律咨询三种法定法律援助服务形式的补贴标准核算方法作出规定。此外，《意见》强调要建立健全动态调整及差别补贴机制。

5. Guiding Opinions on Improving the Subsidy Standards for Legal Aid Issued

On February 25, 2019, the Ministry of Justice and the Ministry of Finance jointly issued the Guiding Opinions on Improving the Subsidy Standards for Legal Aid.

According to the Opinions, legal aid subsidies refer to expenses paid by legal aid institutions to employers of such persons in charge of providing legal aid as social lawyers, basic legal service workers, and staff members of social organizations. However, staff members of legal aid institutions, and basic legal service workers and staff members of social organizations holding public office will not be paid subsidies for undertaking legal aid matters. The subsidy standards for legal aid should be determined by the judicial administrative departments of the people's governments of provinces, autonomous regions or municipalities directly under the Central Government in conjunction with the financial departments at the same level, or be determined by authorizing judicial administrative departments of people's governments of cities or counties in conjunction with the financial departments at the same level in light of the local economic and social development.

The Opinions clarify the accounting methods for legal aid subsidy standards, including direct costs, basic labor costs and other factors, and stipulate the accounting methods of subsidy standards for three statutory legal aid services of case handling, legal aid from on-duty lawyers and legal consultation. In addition, the Opinions emphasize the establishment and improvement of mechanisms for dynamic adjustment and differential subsidies.

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