Management Practice Manual for Qualification of Senior Management Personnel in Financial Institutions (Complete Set of 4 Volumes) with CD-ROM

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Features: Premier Zhu Rongji explicitly stated in the "Government Work Report" at the Third Session of the Ninth National People's Congress that effective measures should be adopted to strengthen the supervision and management of financial institutions, particularly focusing on the oversight and management of senior leaders and key personnel in these institutions. Liu Tinghuan, Deputy Secretary of the Party Committee and Vice President of the People's Bank of China, pointed out that the "Management Measures for the Qualification of Senior Management Personnel in Financial Institutions" emphasizes the management of the qualification requirements for senior management personnel in important positions of financial institutions. All legal representatives of financial institutions approved by the People's Bank of China, as well as senior management personnel with decision-making authority in operations or playing a significant role in risk control, must undergo qualification review by the People's Bank.
The term "financial institutions" in this book refers to banks, financial asset management companies, trust investment companies, enterprise group financial companies, financial leasing companies, urban credit cooperatives and their unions, rural credit cooperatives and their unions, other financial institutions, and their branches, subsidiaries, and holding companies established overseas with approval from the People's Bank of China. Additionally, Chinese institutions established overseas with approval from the People's Bank of China and engaged in banking-related activities.
The term "senior management personnel of financial institutions" in this book refers to legal representatives of financial institutions and personnel with decision-making authority in operations or playing a significant role in risk control. Specifically, senior management personnel applicable to the approval system include:
(1) Chairman, Vice Chairman, President, and Vice President of policy banks; General Office General Managers/Directors, First-level Branch Presidents and Vice Presidents, domestic representative agencies, directors, deputy directors, and chief representatives; First-level Branch General Managers/Directors, Second-level Branch Presidents and Vice Presidents; Branch Presidents.
(2) Chairman, Vice Chairman, President, and Vice President of state-owned sole-shareholder commercial banks; General Office General Managers and Deputy General Managers (Directors and Deputy Directors), First-level Branch (including directly affiliated branches) Presidents and Vice Presidents; First-level Branch General Managers and Deputy General Managers (Directors and Deputy Directors), Second-level Branch Presidents and Vice Presidents; Branch Presidents; senior management personnel of financial asset management companies.
(3) Chairman, Vice Chairman, Supervisor, President, and Vice President of joint-stock commercial banks and urban commercial banks; General Office General Managers/Directors and Branch Presidents and Vice Presidents of joint-stock commercial banks (including directly affiliated branches), branch presidents in other regions; other branch presidents of joint-stock commercial banks, General Office General Managers/Directors and Branch Presidents of urban commercial banks; senior management personnel of housing savings banks.
(4) Chairman, Vice Chairman, Supervisor, General Manager, and Deputy General Manager of trust investment companies, enterprise group financial companies, and financial leasing companies.
(5) Chairman, Vice Chairman, Supervisor, Director, and Deputy Director of urban and rural credit cooperatives; County (city) credit union associations; and urban and rural credit cooperatives.
(6) Chairman, Vice Chairman, Supervisor, President (General Manager), and Vice President (Deputy General Manager) of Chinese-deployed personnel in overseas Chinese banking institutions; General Representative and Chief Representative of overseas Chinese banking institutions.
As well as senior management personnel of other financial institutions.
Senior management personnel of financial institutions applicable to the filing system include:
(1) Directors, Assistant Presidents, Chief Auditors, Chief Accountants, and heads of credit, accounting, and internal audit departments of policy banks and state-owned sole-shareholder commercial banks; Assistant Presidents, Chief Auditors, and Chief Accountants of first-level branches; deputy presidents of branches and leaders of institutions under state-owned commercial banks (excluding branches).
(2) Deputy Supervisors, Directors, Assistant Presidents, Chief Auditors, and Chief Accountants, and heads of credit, financial accounting, and internal audit departments of joint-stock commercial banks; deputy presidents of branches (including branches in other regions) and deputy supervisors and directors of urban commercial banks; heads of credit, financial accounting, and internal audit departments of branches.
(3) Deputy Supervisors, General Managers/Directors (including chief representatives) of branches of trust investment companies, enterprise group financial companies, and financial leasing companies.
(4) Supervisors of county (city) credit union associations and deputy supervisors and deputy directors of urban and rural credit cooperatives.
(5) Deputy Supervisors and Directors of Chinese-deployed personnel in overseas Chinese banking institutions.
(6) Other senior management personnel deemed necessary for filing by the People's Bank of China.