中国保险监督管理委员会行政许可实施办法



Implementation Measures for Administrative Licensing Of the China Insurance Regulatory Commission







第一条 为了规范中国保险监督管理委员会（以下简称中国保监会）及中国保监会派出机构（以下简称派出机构）行政许可的实施，提高保险监管效率，维护公民、保险机构、其他法人和组织的合法权益，根据《中华人民共和国行政许可法》、《中华人民共和国保险法》，制定本办法。

Article 1 These measures are formulated in accordance with Administrative Licensing Law of the People’s Republic of China and Insurance Law of the People’s Republic of China in order to regulate the implementation of administrative licensing of the China Insurance Regulatory Commission (hereafter referred to as the “CIRC”) and the local offices of the CIRC (hereafter referred to as the “local offices”), to improve the efficiency of insurance supervision, and to safeguard the legitimate rights and interests of citizens, insurance institutions, other legal persons and organizations.





第二条 本办法所称行政许可，是指中国保监会或者派出机构，根据法律、行政法规和国务院决定的授权，对公民、保险机构、其他法人或者组织的申请，依法审查，准予其从事特定活动的行为。

Article 2 Administrative licensing hereof refers to the action that the CIRC or its local offices examine the applications of citizens, insurance institutions, other legal persons and organizations in accordance with laws, administrative rules and the authorization as decided by the State Council, and permit them to conduct certain activities.





第三条 中国保监会及其派出机构实施行政许可，应当依照法定的权限、范围、条件和程序，遵循公开、公平、公正和便民的原则，提高办事效率，提供优质服务。

Article 3 The CIRC and its local offices shall implement administrative licensing in accordance with limits of authority, scope, conditions and procedures as prescribed by law, pursuing the principles of “open, fair, justified and convenient for people”, so as to raise work efficiency and provide good service.





第四条 中国保监会可以制定规章，授权派出机构实施行政许可。派出机构在规章的授权范围内，以自己的名义实施行政许可。

Article 4 The CIRC may enact regulations to authorize its local offices to implement administrative licensing. The local offices concerned shall implement administrative licensing with its limits of authority as prescribed by the regulations and in their own name.





中国保监会可以制定规范性文件，委托派出机构实施行政许可。派出机构根据中国保监会的委托，实施行政许可，应当以中国保监会的名义，中国保监会对该行为的后果承担法律责任。

The CIRC may enact normative documents and entrust its local offices with the implementation of administrative licensing. The local offices concerned shall implement administrative licensing according to the CIRC’s entrustment and in the name of the CIRC. The CIRC shall take the legal responsibility for the result of the action.





第五条 中国保监会制定规章和规范性文件不得设定行政许可。派出机构制定规范性文件，不得设定行政许可，也不得对实施行政许可作出具体规定。

Article 5 The CIRC shall not enact regulations or normative documents to create administrative licensing requirements. The local offices shall neither create administrative licensing requirements nor make specified stipulations on the implementation of administrative licensing.





第六条 中国保监会的规章和规范性文件，可以在法律、行政法规和国务院决定设定的行政许可事项范围内，对实施该行政许可作出具体规定，但应当遵循下列要求：

Article 6 The CIRC may, in its regulations and normative documents, make specified stipulations on the implementation of administrative licensing of activities that require administrative licenses according to laws and administrative regulations or decisions by the State Council, but shall satisfy the requirements as follows:





（一）不得增设违反法律、行政法规和国务院决定的其他条件；

1. No other conditions in violation of laws, administrative regulations or decisions of the State Council shall be added;





（二）明确列举行政许可的条件；

2. The conditions of administrative licensing shall be enumerated clearly;





（三）明确列举需要申请人提供的材料；

3. Materials which the applicant needs to submit shall be enumerated clearly;





（四）不得列举与申请行政许可事项无直接关系的条件和材料。

4. Conditions and materials not directly related to administrative licensing items shall not be enumerated.





第七条 中国保监会制定本办法第六条规定的规范性文件，应当予以公布，并及时在中国保监会文告或者全国发行的报纸上刊登。

Article 7 The normative documents enacted by the CIRC as stipulated in Article 6 hereof shall be announced and published in time on the CIRC proclamations or newspapers distributed across the country.





第八条 保险行业特定资格的考试，由中国保监会统一实施，公开举行。派出机构不得另行增设考试。

Article 8 Specific qualification tests of the insurance sector shall be implemented uniformly by the CIRC and held publicly. The local offices shall not add separate tests.





中国保监会应当事先公布资格考试的条件、办法、考试科目以及考试大纲。通过考试、符合其他法定条件的，中国保监会应当发给加盖中国保监会印章的资格证明。

The CIRC shall announce the conditions, measures, subjects and program of the tests in advance. The CIRC shall issue qualification certificates with the seal of the CIRC to those who have passed the tests and meet other legal conditions.





保险行业特定资格的许可程序，中国保监会另有规定的，从其规定。

The licensing procedure of specific qualifications of the insurance sector, if otherwise stipulated by the CIRC, shall follow such stipulations.





第九条 中国保监会或者派出机构实施行政许可，需要申请人采用格式文本的，应当向申请人提供行政许可申请书的格式文本。

Article 9 The CIRC or its local offices shall provide the applicant with the format of administrative licensing application if a standardized application is required.





中国保监会应当在机关网站上，公布行政许可事项以及行政许可申请书的格式文本，方便申请人查询下载。

The CIRC shall publish the administrative licensing items and the format of administrative licensing application on its official website so as for the applicants to browse and download conveniently.





第十条 中国保监会办公厅和派出机构办公室是统一受理行政许可申请的机构（以下简称受理机构）。受理机构履行下列职责：

Article 10 The General Office of the CIRC and the Offices of the local offices are institutions to uniformly accept administrative licensing applications (hereinafter referred to as the “accepting institution”). An accepting institution shall assume the responsibilities as follows:





（一）统一受理属于中国保监会或者派出机构职权范围内的行政许可申请；

1. It shall uniformly accept administrative licensing applications within the limits of authority of the CIRC or its local offices;





（二）对申请材料是否齐全进行初步审查，并可以就是否受理提出建议

2. It shall conduct a preliminary examination of the completeness of the application materials and make suggestions on whether the application can be accepted or not;





（三）受理社会公众对保险行政许可有关问题的咨询；

3. It shall accept the inquiries of the public about insurance administrative licensing;





（四）督办行政许可事项的处理；

4. It shall superintend the handling of administrative licensing items;





（五）统一送达保险行政许可决定、保险行政许可证件。

5. It shall uniformly serve insurance administrative licensing decisions and certificates.





第十一条 中国保监会及其派出机构应当在机关网站上公布受理机构的地址和联系方式。

Article 11 The CIRC and its local offices shall announce the addresses and ways of contact of the accepting institutions on their official websites.





第十二条 受理机构应当配备专职工作人员，在固定的办公场所内，统一受理行政许可申请。

Article 12 An accepting institution shall have full-time personnel to accept administrative licensing applications uniformly in fixed office premises.





第十三条 受理机构应当在受理行政许可申请的办公场所内，陈列下列材料，供公众查阅：

Article 13 An accepting institution shall display the following materials in office premises where administrative licensing applications are accepted for the public to look up.





（一）实施行政许可的依据；

1. document(s) providing the basis for the implementation of administrative licensing;





（二）实施行政许可事项的条件、程序和期限等规定；

2. Stipulations of the conditions, procedures, and time limit of the implementation of administrative licensing;





（三）需要申请人提交的全部材料的目录；

3. Catalogue of all materials which the applicant needs to submit;





（四）格式申请书的示范文本。

4. Sample text of the standardized application.





申请人要求对前款规定的公示内容予以说明的，受理机构应当说明、解释，提供准确、可靠的信息。

In case an applicant asks for explanations of the displayed materials mentioned above, an accepting institution shall explain the materials concerned with accurate and reliable information.





第十四条 受理机构对申请人提出的行政许可申请，应当根据下列情况分别作出处理：

Article 14 An accepting institution shall handle applicants’ administrative licensing applications separately according to different circumstances as follows:





（一）申请事项依法不需要取得行政许可的，应当即时告知申请人不予受理；

1. In case an application item does not need an administrative license according to law, an accepting institution shall inform the applicant immediately that the application shall not be accepted.





（二）申请事项依法不属