The term "supervisors" as mentioned in these Measures refers to the supervisors, deputy supervisors and other members of the board of supervisors of financing guarantee companies. ?
The term "senior managers" as mentioned in these Measures refers to the general manager, deputy general managers, chief risk officers, chief compliance officers, chief financial officers and other personnel who have decision-making power in the company's operation and management or play an important role in the company's risk control. ?
Persons who have not held the positions listed in the preceding three paragraphs or have different titles but actually perform the duties of directors, supervisors and senior managers shall be included in the post qualification management of these Measures.
The relevant provisions of these Measures on senior management personnel shall apply to the qualification management of general managers of branches of financing guarantee companies. ? Article 3 To be a director, supervisor or senior manager of a financing guarantee company, one shall have the qualifications recognized by the regulatory authorities. ? Article 4 The term "supervision department" as mentioned in these Measures refers to the department designated by the people's governments of provinces, autonomous regions and municipalities directly under the Central Government to be responsible for the supervision and management of financing guarantee companies in their respective jurisdictions. Chapter II Qualifications of Directors, Supervisors and Senior Managers Article 5 Directors, supervisors and senior managers of a financing guarantee company shall meet the following conditions:
(1) Having full capacity for civil conduct; ?
(two) law-abiding, honest and trustworthy, diligent and conscientious, with good professional ethics, conduct and credibility; ?
(three) familiar with economic, financial and guarantee laws and regulations, with a good sense of compliance and prudent management;
(four) have the knowledge, experience and ability to adapt to the proposed position. ? Article 6 The following persons shall not serve as directors, supervisors or senior managers of a financing guarantee company:
(1) Having a criminal record of intentional or gross negligence; ?
(two) due to violation of professional ethics or serious dereliction of duty, causing great losses or adverse effects to the institution; ?
(3) Being a director, supervisor or senior manager of an institution that has been revoked, taken over, merged, declared bankrupt or revoked its business license due to illegal operation in the last five years, and being personally responsible; ?
(four) in violation of the principle of good faith, providing false information, or instigating or participating in the legal supervision and case investigation of the institution, and the circumstances are serious;
(5) Having been disqualified as a director, supervisor or senior manager, or having been banned from working in the guarantee and financial industries for less than a full year; ?
(six) submitting false application materials or knowing that they do not meet the qualification requirements stipulated in these Measures, and obtaining the qualification approval by cheating, bribery or other improper means; ?
(seven) the individual or spouse has a large amount of outstanding debts due; ?
(eight) other circumstances stipulated by laws and regulations. ? Article 7 The persons to be appointed as independent directors shall meet the requirements of Articles 5 and 6 of these Measures, and shall also be professionals in law, economy, finance, accounting or guarantee, and there is no conflict of interest with the financing guarantee company to be employed. ? Article 8 The senior managers of a financing guarantee company shall be engaged in guarantee or financial work for more than three years, or engaged in related industries for more than five years. ?
The senior managers of a financing guarantee company should know their job responsibilities, be familiar with the company's management framework and profit model, be familiar with the company's internal control system, and have the risk management ability suitable for their posts. ?
Senior managers of financing guarantee companies shall not hold part-time jobs in other economic organizations, except with the consent of the regulatory authorities. Chapter III Administration of the Qualifications of Directors, Supervisors and Senior Managers Article 9 When applying for the approval of the qualifications of directors, supervisors and senior managers, a financing guarantee company shall submit the following application materials to the regulatory authorities:
(1) An application submitted to the regulatory authorities signed by the authorized signatory of the applicant and stamped with the official seal. The application shall state the position, responsibilities and authority of the candidate, and the position of the position in the company's organizational structure. ?
(2) A copy of the candidate's identity certificate, education certificate, candidate's resume and future performance plan. ?
(3) a statement signed by the candidate and a letter of commitment to abide by the law after taking office. The statement shall include the following contents: the candidate has no criminal or other bad behavior record, the candidate or his spouse has no large amount of outstanding debts due, and the candidate has no conflict of interest with the proposed position. ?
(4) If the laws, administrative regulations or articles of association stipulate that the appointment of directors, supervisors and senior management personnel shall be held at a shareholders' (general) meeting or a board meeting, the corresponding meeting resolution shall be submitted. ?
(five) other materials required by the regulatory authorities. ? Article 10 The regulatory authorities may make an appointment with candidates for directors, supervisors and senior managers for pre-job talks or examinations, and examine the qualifications of the candidates. ?