| Warning notice date: April 10, 2024 |
|---|
| title | Decision on Issuing Warning Letter to Changchun FAW Sub branch of CITIC Bank Co., Ltd |
| Relevant regulations | Provisions on the Implementation of the Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions, and the Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions |
| Document batch number | JZJZ [2014] No. 13 |
| Reason for approval | Upon investigation, we found that the qualification management of your fund sales staff was not in place. |
| Approval content | Our bureau has decided to take the supervision and management measures of issuing a warning letter to your bank. |
| Handled by | Jilin Securities Regulatory Bureau |
|
| Announcement date of rectification notice: December 21, 2023 |
|---|
| title | Decision of Xiamen Securities Regulatory Bureau on Ordering Xiamen Branch of CITIC Bank to Take Corrective Measures |
| Relevant regulations | Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies |
| Document batch number | Xiamen Securities Regulatory Bureau [2013] No. 44 |
| Reason for approval | Xiamen Branch of China CITIC Bank Co., Ltd.: After investigation, we found that your bank has the following problems: 1. The head of the original fund sales business department and the head of the fund sales business of individual branches failed to obtain the fund practice qualification during their tenure, in violation of the Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Organizations (CSRC Order No. 175, hereinafter referred to as the "Sales Measures"). 2、 The long-term investment income of investors was not included in the assessment and evaluation index system of branches and fund sales personnel, which violated the provisions of Paragraph 1 of Article 30 of the Sales Measures. |
| Approval content | Our bureau has decided to take administrative supervision measures to order your bank to correct. Your bank should attach great importance to it, take practical and effective measures to implement the rectification, and submit a written rectification report to our bureau within 30 days from the date of receiving this Decision, which will conduct inspection and acceptance as appropriate. |
| Handled by | Xiamen Securities Regulatory Bureau |
|
| Warning notice date: October 8, 2023 |
|---|
| title | Decision on Issuing Warning Letter to Chengdu Century City Sub branch of CITIC Bank Co., Ltd |
| Relevant regulations | Measures for the Administration of the Suitability of Securities and Futures Investors, and Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions |
| Document batch number | Sichuan Securities Regulatory Bureau [2003] No. 64 |
| Reason for approval | Upon investigation, the fund sales business of your sub branch has the following problems: First, it actively introduces products with a risk level higher than its risk tolerance to ordinary investors. Second, there was no internal review on the compliance of the contents of the fund promotion materials. Third, there is an imperfect internal assessment mechanism. |
| Approval content | Our bureau has decided to take administrative supervision and management measures to issue a warning letter to your sub branch. |
| Handled by | Sichuan Securities Regulatory Bureau |
|
| Announcement date of rectification notice: May 19, 2023 |
|---|
| title | Decision on Ordering Kunming Branch of China CITIC Bank Co., Ltd. to Take Corrective Measures |
| Relevant regulations | Provisions on the Implementation of the Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions, the Measures for the Administration of the Suitability of Securities and Futures Investors, and the Measures for the Implementation of Anti money Laundering in the Securities and Futures Industry |
| Document batch number | Decision on Administrative Supervision Measures of Yunnan Securities Regulatory Bureau [2023] No. 9 |
| Reason for approval | Kunming Branch of China CITIC Bank Co., Ltd.: Upon investigation, your bank has the following violations: 1、 The fund sales business principals of some branches have not obtained the fund practice qualification. The head of the retail banking department (in charge of fund sales) and the compliance manager did not obtain the qualification for fund practice. 2、 Your head office will uniformly carry out the annual supervision and audit of the consignment fund business, but the head office's supervision and audit reports on the individual consignment fund business in 2020 and 2021 have not been reviewed or left any trace. 3、 Your self inspection report on sales of products sold on a commission basis in the first half of 2022 contains the content of investor appropriateness, but there is no trace of review and issuance. 4、 Your bank's fund sales business anti money laundering work system and related implementation have not been reported to our bureau. |
| Approval content | We have decided to take supervision and management measures against you to order you to correct. You should carefully study the regulatory provisions of the CSRC, take measures to strengthen the management of fund sales business, earnestly implement the regulatory requirements, and submit a written rectification report against the above violations to us within 15 working days from the date of receiving this Decision. |
| Handled by | Yunnan Securities Regulatory Bureau |
|
| Regulatory attention announcement date: March 6, 2023 |
|---|
| title | Tianjin Branch of China CITIC Bank received the letter of supervision concern from Tianjin Supervision Bureau of China Securities Regulatory Commission (JZH [2020] No. 458) |
| Relevant regulations | |
| Document batch number | JZH [2020] No. 458 |
| Reason for approval | On December 3, 2020, the Tianjin Supervision Bureau of the CSRC issued the Letter of Supervision Concern on the Relevant Issues of CITIC Bank Tianjin Branch (JZH [2020] No. 458) to CITIC Bank Tianjin Branch |
| Approval content | After receiving the above regulatory concern letter, Tianjin Branch of CITIC Bank attached great importance to it, immediately established a special rectification leading group, convened a special meeting to focus on the "Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies", "Provisions on the Implementation of the" Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies ", and" Measures for the Administration of the Suitability of Securities and Futures Investors " The Notice on On site Inspection and Related Matters of Fund Sales Agencies and other documents were studied and a written rectification report was formed. |
| Handled by | Tianjin Securities Regulatory Bureau |
|
| Regulatory attention announcement date: March 6, 2023 |
|---|
| title | China CITIC Bank Changsha Branch has received the letter of supervision opinions from the Hunan Regulatory Bureau of the CSRC (XZH (2021) No. 718) |
| Relevant regulations | |
| Document batch number | XZH [2021] No. 718 |
| Reason for approval | On December 24, 2021, the Hunan Regulatory Bureau of the CSRC issued the Supervision Opinion Letter on the Field Inspection of CITIC Bank Co., Ltd. Changsha Branch (XZH (2021) No. 718) to CITIC Bank Changsha Branch |
| Approval content | China CITIC Bank Changsha Branch has rectified the above problems |
| Handled by | Hunan Securities Regulatory Bureau |
|
| Warning notice date: November 25, 2022 |
|---|
| title | Decision on Issuing Warning Letter to Ningbo Oriental Group Co., Ltd., Xia Chongyao and Yuan Liyu |
| Relevant regulations | Administrative Measures for Securities Issuance and Underwriting, Administrative Measures for Information Disclosure of Listed Companies |
| Document batch number | |
| Reason for approval | Ningbo Oriental Group Co., Ltd., Xia Chongyao, Yuan Liyu: According to the investigation, in November 2017, Ningbo Oriental Group Co., Ltd. signed a balance replenishment agreement with Huabao Trust Co., Ltd. (hereinafter referred to as Huabao Trust) and CITIC Bank Co., Ltd. (hereinafter referred to as CITIC Bank) on the non-public offering of shares of Ningbo Oriental Cable Co., Ltd. (hereinafter referred to as Dongfang Cable). Xia Chongyao Yuan Liyu signed a guarantee contract with Warburg Trust and CITIC Bank. The above agreements and contracts agreed to provide guarantee measures for the security of investment principal and income of Dongfang Cable shares subscribed by Warburg Trust and CITIC Bank. The above agreements and contracts, which have a significant impact on investors' investment decisions and are important contents of non-public offerings, shall be disclosed. |
| Approval content | Our bureau decided to take administrative supervision measures to issue warning letters to Ningbo Oriental Group Co., Ltd., Xia Chongyao and Yuan Liyu. |
| Handled by | Ningbo Securities Regulatory Bureau |
|
| Warning notice date: February 25, 2021 |
|---|
| title | Decision [2021] No. 5 on Issuing Warning Letter to Guangzhou Branch of CITIC Bank Co., Ltd |
| Relevant regulations | Interim Measures for the Supervision and Management of Private Investment Funds |
| Document batch number | Guangdong Securities Regulatory Bureau [2021] No. 5 |
| Reason for approval | Upon investigation, your bank failed to take investment supervision measures appropriate to the risk of product structure when performing the custody duty of "Kangze No.1 Private Fund" managed by Guangzhou Jiyan Investment Management Co., Ltd., and the internal control of fund custody business was insufficient. |
| Approval content | Take administrative supervision measures to issue a warning letter to your bank. |
| Handled by | Guangdong Securities Regulatory Bureau |
|
| Date of notice of criticism: April 15, 2019 |
|---|
| title | Self disciplinary punishment information of dealers association |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | 1、 On November 26, 2018, Hongtu Hi Tech disclosed the Announcement of Jiangsu Hongtu Hi Tech Co., Ltd. on "15 Hongtu MTN001" reaching an agreement with investors, in which the statement that "15 Hongtu MTN001 has reached an agreement with all investors on the deferred redemption scheme" is inconsistent with the actual situation. As the lead underwriter of "15 Hongtu MTN001", CITIC Bank did not supervise the issuer to correct the untrue content and failed to perform its supervision duties on the issuer when it learned the untrue content above. 2、 On December 6, 2018, CITIC Bank convened the "18 Hongtu High tech SCP002" shareholders' meeting. The disclosure of the relevant convening announcement was not timely, and the disclosure of the shareholders' meeting proposal was incomplete. 3、 In September and November 2018, the downgrade of Hongtu Gaoke's main rating triggered the pre binding terms of "18 Hongtu Gaoke SCP002" investor protection, and CITIC Bank, as the convener, failed to convene the shareholders' meeting in time. |
| Approval content | According to relevant self-discipline regulations, after deliberation at the 4th self-discipline disciplinary meeting in 2019, CITIC Bank was given a notice of criticism and ordered to make comprehensive and in-depth rectification against the problems exposed in this incident. |
| Handled by | Association of Dealers |
|
| Announcement date of rectification notice: January 15, 2018 |
|---|
| title | Decision on Taking Corrective Measures against Nanning Branch of China CITIC Bank Co., Ltd |
| Relevant regulations | Administrative Measures for Sales of Securities Investment Funds |
| Document batch number | Decision on Administrative Supervision Measures of Guangxi Regulatory Bureau [2018] No. 1 |
| Reason for approval | Recently, our bureau has conducted on-site inspection on your branch's fund sales and other related businesses as well as investor appropriateness management. It is found in the inspection that your branch arranges some employees who have not obtained the qualification for fund sales business to engage in fund sales business such as promotion; The risk rating of fund products purchased by some fund customers does not match the risk bearing capacity rating of investors. The above acts violate the provisions of Article 57 and Article 59 of the Administrative Measures for the Sale of Securities Investment Funds (CSRC Order No. 91). |
| Approval content | In accordance with Article 87 of the Administrative Measures for the Sale of Securities Investment Funds, our bureau has decided to order your branch to take corrective measures. Your branch shall make corrections within 30 days from the date of receiving this Decision and submit a written report to our bureau. |
| Handled by | Guangxi Securities Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Wenzhou Supervision Branch WYJXZZ [2016] No. 1 (Wenzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | WYJXZZ [2016] No. 1 |
| Reason for approval | Illegal handling of letters of credit and bank acceptance bills without real trade background; Loan funds are used for other illegal purposes after being issued |
| Approval content | Fine 600000.00 yuan |
| Handled by | CBRC Wenzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anshan Supervision Branch Anyinjujiezi [2017] No. 5 (China CITIC Bank Co., Ltd. Anshan Branch) |
| Relevant regulations | |
| Document batch number | AYJXZZ [2017] No. 5 |
| Reason for approval | Seriously violate the prudent operation rules and illegally handle bank acceptance bill business without real trade background |
| Approval content | Fine 500000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anshan Supervision Branch Anyinjujiezi [2017] No. 3 (China CITIC Bank Co., Ltd. Anshan Branch) |
| Relevant regulations | |
| Document batch number | AYJXZZ [2017] No. 3 |
| Reason for approval | Serious violation of prudent operation rules, covering up non-performing loans |
| Approval content | Fine 500000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anshan Supervision Branch Anyinjujiezi [2016] No. 3 (China CITIC Bank Co., Ltd. Anshan Branch) |
| Relevant regulations | |
| Document batch number | ANYJXZZ [2016] No. 3 |
| Reason for approval | Seriously violating prudent operation rules and issuing bank acceptance bills in violation of regulations |
| Approval content | Fine 500000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Anshan Branch of China Banking Regulatory Commission Anyinjianjujiezi [2016] No. 2 (Anshan Branch of China CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ANYJXZZ [2016] No. 2 |
| Reason for approval | Seriously violate prudent operation rules and issue loans in violation of regulations |
| Approval content | Fine 500000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anshan Supervision Branch Anyinjujiezi [2016] No. 1 (China CITIC Bank Co., Ltd. Anshan Branch) |
| Relevant regulations | |
| Document batch number | ANYJXZZ [2016] No. 1 |
| Reason for approval | Seriously violate prudent operation rules and issue loans in violation of regulations |
| Approval content | Fine 500000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Xiamen Supervision Bureau XYJX [2015] No. 13 (CITIC Bank Xiamen Branch) |
| Relevant regulations | |
| Document batch number | XYJX [2015] No. 13 |
| Reason for approval | 100% margin is charged when issuing loans, resulting in false increase of deposits and loans at the same time |
| Approval content | Fine 500000.00 yuan |
| Handled by | Xiamen Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Guangxi Banking Regulatory Bureau GYJX [2015] No. 25 (CITIC Bank Co., Ltd. Nanning Branch) |
| Relevant regulations | |
| Document batch number | GYJX [2015] No. 25 |
| Reason for approval | Redeposit by loan; Illegal handling of bank acceptance bills and discount business |
| Approval content | Fine 500000.00 yuan |
| Handled by | Guangxi Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hunan Provincial Development and Reform Commission XFGJGJ [2015] No. 8 (Changsha Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | XFGJJ [2015] No. 8 |
| Reason for approval | Special inspection of enterprise related charges |
| Approval content | Fine 483520.00 yuan |
| Handled by | Hunan Provincial Development and Reform Commission |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Yunnan Supervision Bureau YYJX [2015] No. 3 (Kunming Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YYJX [2015] No. 3 |
| Reason for approval | Illegal handling of bank acceptance bill issuing business with untrue trade background; Converting working capital loan into time deposit and providing pledge for non-standard business |
| Approval content | Fine 450000.00 yuan |
| Handled by | CBRC Yunnan Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Jinan Local Taxation Bureau Inspection Bureau JDSJF [2016] No. 600002 (CITIC Bank Co., Ltd. Jinan Branch) |
| Relevant regulations | |
| Document batch number | JDSJ [2016] No. 600002 |
| Reason for approval | Failing to declare and pay business tax, urban maintenance and construction tax and education surcharges as required |
| Approval content | Fine 441563.20 yuan |
| Handled by | Jinan Local Taxation Bureau Inspection Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Gan Fa Gai Jia Jian Chu [2014] No. 13 of Gansu Development and Reform Commission (Lanzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | GFGJZ [2014] No. 13 |
| Reason for approval | Compulsory charge of consulting service fee tied with the loan, and there is no substantive service content; Transferring the registration fee of mortgaged housing to the borrower in handling personal and enterprise housing mortgage loans |
| Approval content | Fine 433030.00 yuan |
| Handled by | Gansu Provincial Development and Reform Commission |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Received the letter of decision on punishment from CBRC (CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YJF [2014] No. 13 |
| Reason for approval | Inadequate risk management and control of rediscount business. The authenticity review of the background of bank acceptance bills was not in place. |
| Approval content | RMB 400000.00 will be fined. |
| Handled by | CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anshan Supervision Branch Anyinjujiezi [2017] No. 4 (China CITIC Bank Co., Ltd. Anshan Branch) |
| Relevant regulations | |
| Document batch number | ANYJXZZ [2017] No. 4 |
| Reason for approval | Seriously violate prudent operation rules and issue loans in violation of regulations |
| Approval content | Fine RMB 400000.00 |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Quanzhou Supervision Branch QYJXZZ [2016] No. 6 (CITIC Bank Quanzhou Branch) |
| Relevant regulations | |
| Document batch number | QYJXZZ [2016] No. 6 |
| Reason for approval | Credit business seriously violates prudent operation rules |
| Approval content | Fine RMB 400000.00 |
| Handled by | CBRC Quanzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Jiaxing Supervision Branch JYJX [2014] No. 9 (CITIC Bank Jiaxing Branch) |
| Relevant regulations | |
| Document batch number | JYJX [2014] No. 9 |
| Reason for approval | False increase in deposit of loans, discount funds and credit funds transferred to the deposit of bank acceptance bills; Credit funds entering the securities market |
| Approval content | Fine RMB 400000.00 |
| Handled by | CBRC Jiaxing Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Zhejiang Banking Regulatory Bureau ZYJX [2015] No. 41 (Hangzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ZYJX [2015] No. 41 |
| Reason for approval | Transferred cost, quality price discrepancy, etc |
| Approval content | Fine RMB 400000.00 |
| Handled by | Zhejiang Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Zhejiang Banking Regulatory Bureau ZYJX [2015] No. 32 (Hangzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ZYJX [2015] No. 32 |
| Reason for approval | Illegal transfer of loan funds into bank acceptance bills and loan business deposits |
| Approval content | Fine RMB 400000.00 |
| Handled by | Zhejiang Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Tianjin Supervision Bureau JYJJ [2015] No. 117 (Tianjin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JYJJ [2015] No. 117 |
| Reason for approval | Loan funds return to the borrower |
| Approval content | Fine RMB 400000.00 |
| Handled by | Tianjin Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shaanxi Banking Regulatory Bureau SYJXZZ [2017] No. 6 (Xi'an Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SYJXZZ [2017] No. 6 |
| Reason for approval | There is the behavior of converting loans into time deposits and increasing deposits falsely by means of reinvestment pledged by deposit receipts. It violates the prudent operation rules to falsely increase deposits by means of reinvestment pledged by certificates of deposit. |
| Approval content | Fine RMB 400000.00 |
| Handled by | Shaanxi Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Jiangmen Supervision Branch JYJXZZ [2017] No. 6 (China CITIC Bank Co., Ltd. Jiangmen Branch) |
| Relevant regulations | |
| Document batch number | JYJXZZ [2017] No. 6 |
| Reason for approval | Serious violation of prudential operation rules in credit business |
| Approval content | Fine RMB 400000.00 |
| Handled by | CBRC Jiangmen Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Xiamen Supervision Bureau XYJXZZ [2017] No. 3 (CITIC Bank Xiamen Branch) |
| Relevant regulations | |
| Document batch number | XYJXZZ [2017] No. 3 |
| Reason for approval | Some bank acceptance bill deposits are from credit funds |
| Approval content | Fine RMB 400000.00 |
| Handled by | Xiamen Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Jiangxi Provincial Price Bureau GFGJGF [2014] No. 75 (CITIC Bank Nanchang Branch) |
| Relevant regulations | |
| Document batch number | GFGJX [2014] No. 75 |
| Reason for approval | Compulsory binding charges and forced loan charges in disguised form; Fees only, no service or less service |
| Approval content | Fine 390000.00 yuan |
| Handled by | Jiangxi Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hainan Provincial Price Bureau Qiongjianjiaoshan Office [2015] No. 5 (Haikou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | QJGB [2015] No. 5 |
| Reason for approval | Illegal charges |
| Approval content | Fine 370000.00 yuan |
| Handled by | Hainan Provincial Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Dalian Central Sub branch [2015] No. 1606 (China CITIC Bank Co., Ltd. Dalian Branch) |
| Relevant regulations | |
| Document batch number | [2015] No. 1606 |
| Reason for approval | The industry ownership of the enterprise is wrong; The statistical attribution of agricultural loans is incorrect; The opening of settlement accounts has not been verified by the People's Bank of China and has been filed in the account system; The system record of record cancellation accounts is not timely; Deferred use of temporary accounts; Violation of relevant provisions on anti money laundering |
| Approval content | Fine 365000.00 yuan |
| Handled by | People's Bank of China Dalian Central Sub branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hefei Price Bureau Hejianjiangdugao [2014] No. 36 (Hefei Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | HJJG [2014] No. 36 |
| Reason for approval | Bundled with the loan to collect consulting fees, no substantive services or less services |
| Approval content | Fine 360000.00 yuan |
| Handled by | Hefei Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Changsha Central Sub branch of the People's Bank of China CYXZ [2014] No. 12 (Changsha Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | CYJZ [2014] No. 12 |
| Reason for approval | The counterfeit currency collection procedure is not standardized; Occupying political deposits or funds; False reporting of financial statistics |
| Approval content | Fine 340000.00 yuan |
| Handled by | Changsha Central Sub branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hebei Branch of the State Administration of Foreign Exchange Hui Ji Jian Xiao Zi [2015] No. 6 (Shijiazhuang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | HJJXZ [2015] No. 6 |
| Reason for approval | Foreign exchange business violations |
| Approval content | Fine 330000.00 yuan |
| Handled by | State Administration of Foreign Exchange Hebei Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanghai Branch of the State Administration of Foreign Exchange Shanghai Huiguan Penalty Zi [2015] 3111150801 (Shanghai Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SHGXZ [2015] 3111150801 |
| Reason for approval | Illegal settlement of foreign exchange capital; Violation of foreign exchange account management regulations |
| Approval content | Fine 310000.00 yuan |
| Handled by | State Administration of Foreign Exchange Shanghai Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Anshan Branch of China Banking Regulatory Commission Anyinjianjujiezi [2017] No. 6 (Anshan Branch of China CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ANYJXZZ [2017] No. 6 |
| Reason for approval | Seriously violate prudent operation rules and issue loans in violation of regulations |
| Approval content | Fine 300000.00 yuan |
| Handled by | Anshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Shaoxing Supervision Branch, SYJXZZ [2016] No. 10 (CITIC Bank Co., Ltd. Shaoxing Branch) |
| Relevant regulations | |
| Document batch number | SYJXZZ [2016] No. 10 |
| Reason for approval | Inadvertent loan issuance |
| Approval content | Fine 300000.00 yuan |
| Handled by | CBRC Shaoxing Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Qinzhou Supervision Branch QYJX [2015] No. 1 (CITIC Bank Qinzhou Branch) |
| Relevant regulations | |
| Document batch number | QYJX [2015] No. 1 |
| Reason for approval | Artificially conceal the authenticity of loan asset quality; Offset time point by transferring loan to deposit |
| Approval content | Fine 300000.00 yuan |
| Handled by | CBRC Qinzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Heilongjiang Banking Regulatory Bureau HYJXZ [2015] No. 19 (Harbin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | HYJXZ [2015] No. 19 |
| Reason for approval | Illegal behavior of transferring loan to deposit during loan granting |
| Approval content | Fine 300000.00 yuan |
| Handled by | Heilongjiang Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shaanxi Branch of State Administration of Foreign Exchange SHJX [2015] No. 17 (Xi'an Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SHJX [2015] No. 17 |
| Reason for approval | In handling the receipt and payment of current account funds, the authenticity of transaction documents and their consistency with foreign exchange receipts and payments were not examined reasonably |
| Approval content | Fine 300000.00 yuan |
| Handled by | State Administration of Foreign Exchange Shaanxi Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanghai Branch of the State Administration of Foreign Exchange Shanghai Huiguan Penalty Zi [2014] 3111140906 (Shanghai Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SHGJZ [2014] 3111140906 |
| Reason for approval | The bill of lading information of foreign exchange revenue and expenditure business of entrepot trade involving 2.76 million dollars is incorrect, and false bill of lading is provided |
| Approval content | Fine 300000.00 yuan |
| Handled by | State Administration of Foreign Exchange Shanghai Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanghai Branch of the State Administration of Foreign Exchange Shanghai Huiguan Penalty Zi [2015] 3111150802 (Shanghai Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SHGXZ [2015] 3111150802 |
| Reason for approval | Illegal settlement of foreign exchange capital |
| Approval content | Fine 300000.00 yuan |
| Handled by | State Administration of Foreign Exchange Shanghai Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Lishui Supervision Branch LYJXZZ [2017] No. 1 (CITIC Bank Co., Ltd. Lishui Branch) |
| Relevant regulations | |
| Document batch number | LYJXZZ [2017] No. 1 |
| Reason for approval | Transfer of credit funds into fixed deposits for pledge of bank acceptance bills |
| Approval content | Fine 300000.00 yuan |
| Handled by | Lishui Supervision Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Jiangxi Banking Regulatory Bureau GYJXZZ [2017] No. 14 (CITIC Bank Nanchang Branch) |
| Relevant regulations | |
| Document batch number | GYJXZZ [2017] No. 14 |
| Reason for approval | Rolling issue of bank acceptance bill financing with deposit margin of discount fund; Use a third party institution to convert bill assets into asset management plans, replace discount with investment, and return investment funds to the drawer. |
| Approval content | Fine 300000.00 yuan |
| Handled by | Jiangxi Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Tianjin Branch of State Administration of Foreign Exchange JHF (2017) No. 3 (Tianjin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JHF [2017] No. 3 |
| Reason for approval | Handling foreign exchange settlement and sales in violation of regulations |
| Approval content | Fine 300000.00 yuan |
| Handled by | Tianjin Branch of State Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Zhangzhou Supervision Branch Zhangyinjianjuju Zi [2016] No. 3 (China CITIC Bank Co., Ltd. Zhangzhou Branch) |
| Relevant regulations | |
| Document batch number | ZYJXZZ [2016] No. 3 |
| Reason for approval | The credit management is not prudent and the risk control is not in place, leading to the formation of advances for standby letters of credit |
| Approval content | Fine 250000 yuan |
| Handled by | CBRC Zhangzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Nantong Supervision Branch TYJX [2015] No. 15 (CITIC Bank Co., Ltd. Nantong Branch) |
| Relevant regulations | |
| Document batch number | TYJJ [2015] No. 15 |
| Reason for approval | Issuing acceptance bills without real trade background |
| Approval content | Fine 250000 yuan |
| Handled by | China Banking Regulatory Commission Nantong Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Suzhou Supervision Branch Suzhou YJX [2015] No. 34 (CITIC Bank Co., Ltd. Suzhou Branch) |
| Relevant regulations | |
| Document batch number | Suzhou YJJ [2015] No. 34 |
| Reason for approval | Failure to supervise the use of loan funds according to the agreed purpose |
| Approval content | Fine 250000 yuan |
| Handled by | CBRC Suzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Jiangsu Supervision Bureau SYJF [2015] No. 26 (CITIC Bank Nanjing Branch) |
| Relevant regulations | |
| Document batch number | SYJX [2015] No. 26 |
| Reason for approval | The loan will be issued before the project capital in the same proportion as the loan is in place |
| Approval content | Fine 250000 yuan |
| Handled by | CBRC Jiangsu Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hainan Supervision Bureau of CBRC QYJF [2017] No. 28 (Haikou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | Interim Measures for the Administration of Personal Loans |
| Document batch number | QYJX [2017] No. 28 |
| Reason for approval | The "three checks" of personal loans to borrowers were not due, which violated the provisions of Articles 13, 18, 31 and 35 of the Interim Measures for the Administration of Personal Loans |
| Approval content | Fine 250000 yuan |
| Handled by | CBRC Hainan Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Provincial Price Bureau LJJG [2014] No. 49 (CITIC Bank Dalian Branch) |
| Relevant regulations | |
| Document batch number | LJJG [2014] No. 49 |
| Reason for approval | Transferring costs to customers; Bundled with the payment for goods, without substantive service content, but charged investment banking consulting fees |
| Approval content | Fine 249930.00 yuan |
| Handled by | Price Bureau of Liaoning Province |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Ningbo Branch YWGX [2015] No. 5 (Ningbo Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YWGX [2015] No. 5 |
| Reason for approval | 21 cases of foreign exchange business of entrepot trade or import trade were not handled in accordance with regulations, 4 cases of foreign exchange settlement and sales business were handled in violation of regulations, 13 cases of international balance of payments declaration were not conducted in accordance with regulations, 8 cases of statistical statements of foreign exchange settlement and sales were not submitted in accordance with regulations, and 9 cases of foreign exchange account management regulations were violated |
| Approval content | Fine 230000.00 yuan |
| Handled by | State Administration of Foreign Exchange Ningbo Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Chongqing Foreign Exchange Management Department of the State Administration of Foreign Exchange YHX [2015] No. 10 (Chongqing Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YHX [2015] No. 10 |
| Reason for approval | Handling foreign exchange settlement and sales business in violation of regulations; Failure to submit statistical statements as required |
| Approval content | Fine 230000.00 yuan |
| Handled by | State Administration of Foreign Exchange Chongqing Foreign Exchange Management Department |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Yangzhou Supervision Branch YYJX [2015] No. 16 (CITIC Bank Co., Ltd. Yangzhou Branch) |
| Relevant regulations | |
| Document batch number | YYJJ [2015] No. 16 |
| Reason for approval | Issuing bank acceptance bills with untrue trade background |
| Approval content | Fine 220000.00 yuan |
| Handled by | CBRC Yangzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | The People's Bank of China Shijiazhuang Central Sub branch Yinshijianjiexi [2014] No. 2 (CITIC Bank Co., Ltd. Shijiazhuang Branch) |
| Relevant regulations | |
| Document batch number | Yin Shi Qian Bu Xi [2014] No. 2 |
| Reason for approval | Failure to declare suspicious transaction report as required; Failing to identify or retain the identity information of the merchant as required; Incomplete customer information registration |
| Approval content | Fine 210000.00 yuan |
| Handled by | People's Bank of China Shijiazhuang Central Sub branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Nanjing Local Taxation Bureau of Jiangsu Province NDSF [2014] No. 4 (Nanjing Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | NDSJ [2014] No. 4 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 207446.28 yuan |
| Handled by | Jiangsu Province Nanjing Local Taxation Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Linyi Supervision Branch of CBRC LYJXZZ [2017] No. 2 (Linyi Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXZZ [2017] No. 2 |
| Reason for approval | False VAT invoice, acceptance of commercial bills without real trade background |
| Approval content | Fine 200000.00 yuan |
| Handled by | Linyi Supervision Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Taizhou Supervision Branch TYJXZZ [2017] No. 1 (CITIC Bank Co., Ltd. Taizhou Branch) |
| Relevant regulations | |
| Document batch number | TYJXZZ [2017] No. 1 |
| Reason for approval | The loan review was not strict, and the collateral value was overestimated; Post loan management is not in place, and credit funds flow into enterprises in other places in violation of regulations, resulting in the misappropriation of credit funds |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Taizhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Guangdong Supervision Bureau YYJXZZ [2016] No. 10 (CITIC Bank Co., Ltd. Guangzhou Garden Sub branch) |
| Relevant regulations | |
| Document batch number | YYJXZZ [2016] No. 10 |
| Reason for approval | Handling bill agency discount business for CSSC Huangpu Wenchong Shipping Co., Ltd. without providing VAT invoice |
| Approval content | Fine 200000.00 yuan |
| Handled by | Guangdong Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Quanzhou Supervision Branch QYJXZZ [2016] No. 5 (CITIC Bank Co., Ltd. Quanzhou Donghu Sub branch) |
| Relevant regulations | |
| Document batch number | QYJXZZ [2016] No. 5 |
| Reason for approval | The borrower's violation of the contract should have been found but not found |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Quanzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Ningbo Supervision Bureau YYJXZZ [2016] No. 4 (CITIC Bank Co., Ltd. Ningbo Branch) |
| Relevant regulations | |
| Document batch number | YYJXZZ [2016] No. 4 |
| Reason for approval | Handle bank acceptance bill business without real trade background, and fail to provide loan entrusted payment purchase and sales contract |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Ningbo Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Zhangzhou Supervision Branch Zhangyinjianjuju Zi [2016] No. 4 (China CITIC Bank Co., Ltd. Zhangzhou Branch) |
| Relevant regulations | |
| Document batch number | ZYJXZZ [2016] No. 4 |
| Reason for approval | Illegal handling of bank acceptance bills without real trade background for Plastic Wheels Group Co., Ltd |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Zhangzhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shandong Banking Regulatory Bureau LYJXZ [2015] No. 26 (CITIC Bank Co., Ltd. Jinan Branch) |
| Relevant regulations | |
| Document batch number | LYJXZ [2015] No. 26 |
| Reason for approval | The borrower's affiliated enterprises' major risk information was not investigated, and the authenticity of the borrower's financial situation was not carefully verified |
| Approval content | Fine 200000.00 yuan |
| Handled by | Shandong Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Wuhu Supervision Branch WYJXZZ [2015] No. 5 (CITIC Bank Co., Ltd. Wuhu Branch) |
| Relevant regulations | |
| Document batch number | WYJXZZ [2015] No. 5 |
| Reason for approval | After the working capital loan is transferred to the account of the borrower's business principal, the fixed deposit pledge is transferred, and the fund is returned to the borrower's account. Verification of working capital loans with VAT invoices |
| Approval content | Fine 200000.00 yuan |
| Handled by | Wuhu Supervision Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Guizhou Banking Regulatory Bureau QYJX [2015] No. 49 (Guiyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | QYJX [2015] No. 49 |
| Reason for approval | Use the loan as the deposit to handle the pledge loan, and use the loan to honor the bank acceptance bill at maturity |
| Approval content | Fine 200000.00 yuan |
| Handled by | Guizhou Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Yunnan Supervision Bureau YYJX [2015] No. 41 (Kunming Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YYJX [2015] No. 41 |
| Reason for approval | Converting loan funds into time deposits |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Yunnan Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Nanyang Supervision Branch WBJX [2015] No. 11 (CITIC Bank Co., Ltd. Nanyang Branch) |
| Relevant regulations | |
| Document batch number | WBJJ [2015] No. 11 |
| Reason for approval | The source of deposit for bank acceptance bills is credit funds, which violates prudential rules |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Nanyang Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Nanyang Supervision Branch WBJX [2015] No. 10 (CITIC Bank Co., Ltd. Nanyang Branch) |
| Relevant regulations | |
| Document batch number | WBJX [2015] No. 10 |
| Reason for approval | Handling bank acceptance bill business with untrue trade background violates prudential rules |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Nanyang Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Lishui Supervision Branch LYJX [2014] No. 8 (CITIC Bank Co., Ltd. Lishui Jinyun Sub branch) |
| Relevant regulations | |
| Document batch number | LYJX [2014] No. 8 |
| Reason for approval | Pledge of loan redeposit document |
| Approval content | Fine 200000.00 yuan |
| Handled by | Lishui Supervision Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anhui Supervision Bureau WYJXZZ [2015] No. 17 (CITIC Bank Co., Ltd. Hefei Branch) |
| Relevant regulations | |
| Document batch number | WYJXZZ [2015] No. 17 |
| Reason for approval | China CITIC Bank Hefei Branch issued working capital loans for the development of real estate projects, in violation of the provisions of Article 9 of the Interim Measures for the Management of Working Capital Loans, and seriously violated the prudent operation rules. |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Anhui Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anhui Supervision Bureau WYJXZZ [2015] No. 16 (CITIC Bank Co., Ltd. Hefei Branch) |
| Relevant regulations | |
| Document batch number | WYJXZZ [2015] No. 16 |
| Reason for approval | Issuing loans without fulfilling credit conditions; Lending beyond the credit line. Serious violation of prudent operation rules |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Anhui Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Taizhou Supervision Branch TYJX [2015] No. 5 (CITIC Bank Co., Ltd. Taizhou Branch) |
| Relevant regulations | |
| Document batch number | TYJJ [2015] No. 5 |
| Reason for approval | Lack of in-depth credit investigation; Payment management is not in place; Inadequate post loan management |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Taizhou Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Huangshi Supervision Branch HYJX [2015] No. 12 (CITIC Bank Huangshi Sub branch) |
| Relevant regulations | |
| Document batch number | HYJJ [2015] No. 12 |
| Reason for approval | Illegal behavior of transferring loan to deposit |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Huangshi Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Dalian Banking Regulatory Bureau DYJXZZ [2015] No. 5 (CITIC Bank Dalian Branch) |
| Relevant regulations | |
| Document batch number | DYJXZZ [2015] No. 5 |
| Reason for approval | The use of working capital loans was not effectively monitored and the loans were misappropriated. |
| Approval content | Fine 200000.00 yuan |
| Handled by | Dalian Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Dali Supervision Branch DYJX [2015] No. 3 (CITIC Bank Co., Ltd. Dali Branch) |
| Relevant regulations | |
| Document batch number | DYJJ [2015] No. 3 |
| Reason for approval | The use of working capital loans was not effectively monitored, and the loans were misappropriated |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Dali Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Lvliang Supervision Branch of CBRC LYJX [2014] No. 4 (Xiaoyi Sub branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJX [2014] No. 4 |
| Reason for approval | In the process of issuing real estate mortgage loans, the borrower is required to pay the real estate mortgage evaluation fee and pass on the bank costs |
| Approval content | Fine 200000.00 yuan |
| Handled by | Lvliang Supervision Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Dongguan Jianguan Branch DYJXZZ [2015] No. 6 (Dongguan Changping Sub branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | DYJXZZ [2015] No. 6 |
| Reason for approval | The loan fund payment management and control are not in compliance, and are suspected of seriously violating the prudent operation rules |
| Approval content | Fine 200000.00 yuan |
| Handled by | Dongguan Jianguan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Wuxi Supervision Branch XYJX [2015] No. 2 (CITIC Bank Wuxi Branch) |
| Relevant regulations | |
| Document batch number | XYJX [2015] No. 2 |
| Reason for approval | Failure to manage and control loan fund payment as required |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Wuxi Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Hubei Supervision Bureau EBJX [2015] No. 87 (Wuhan Wugang Sub branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | EBJX [2015] No. 87 |
| Reason for approval | There were irregularities in the review of trade contracts, issuing bank acceptance bills without real transaction background, and the drawer embezzled bank funds and formed non-performing loans |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Hubei Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanxi Banking Regulatory Bureau JYJX [2015] No. 32 (CITIC Bank Co., Ltd. Taiyuan Branch) |
| Relevant regulations | |
| Document batch number | JYJX [2015] No. 32 |
| Reason for approval | Handle bills without real trade background |
| Approval content | Fine 200000.00 yuan |
| Handled by | Shanxi Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Guangdong Supervision Bureau YYJXZZ [2015] No. 7 (CITIC Bank Co., Ltd. Guangzhou Branch) |
| Relevant regulations | |
| Document batch number | YYJXZZ [2015] No. 7 |
| Reason for approval | The payment of fixed asset loans of Poly Real Estate (Group) Co., Ltd. was not managed by a special loan account as required, and the relevant provisions on entrusted payment were not strictly implemented; When handling bank bill acceptance business with Luhaishun Logistics Co., Ltd. in Guangzhou Free Trade Zone, the applicant's legal person seal was inconsistent, and the special seal for credit business was not used; Restructured the loans of Guangzhou Townsend Printing Materials Sales Co., Ltd., but failed to lower the classification level as required |
| Approval content | Fine 200000.00 yuan |
| Handled by | Guangdong Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LBJXQ [2015] No. 11 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXQ [2015] No. 11 |
| Reason for approval | Seriously violate prudent operation rules and issue personal business loans in violation of regulations |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hunan Banking Regulatory Bureau XYJX [2015] No. 12 (Changsha Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | XYJJ [2015] No. 12 |
| Reason for approval | Unreal reflection of asset quality |
| Approval content | Fine 200000.00 yuan |
| Handled by | Hunan Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Guangxi Zhuang Autonomous Region Branch Guihui Office [2014] No. 4 (CITIC Bank Co., Ltd. Nanning Branch) |
| Relevant regulations | |
| Document batch number | Guihuichu [2014] No. 4 |
| Reason for approval | Handling foreign exchange settlement and sales business for individuals is not entered into the individual foreign exchange settlement and sales system |
| Approval content | Fine 200000.00 yuan |
| Handled by | State Administration of Foreign Exchange Guangxi Zhuang Autonomous Region Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | China Banking Regulatory Commission Zhongshan Supervision Branch ZYJXZZ [2017] No. 2 (CITIC Bank Co., Ltd. Zhongshan Branch) |
| Relevant regulations | |
| Document batch number | ZYJXZZ [2017] No. 2 |
| Reason for approval | The entrusted payment review of loan business was not strict, and the post loan management was not prudent |
| Approval content | Fine 200000.00 yuan |
| Handled by | China Banking Regulatory Commission Zhongshan Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Guizhou Banking Regulatory Bureau QYJXZZ [2017] No. 8 (Guiyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | QYJXZZ [2017] No. 8 |
| Reason for approval | Open letter of credit without real trade background |
| Approval content | Fine 200000.00 yuan |
| Handled by | Guizhou Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Xinjiang Regulatory Bureau Xinyinjujiezi (2017) No. 19 (China CITIC Bank Co., Ltd. Urumqi Branch) |
| Relevant regulations | |
| Document batch number | XYJXZZ [2017] No. 19 |
| Reason for approval | The punished party failed to strictly supervise the use of working capital loan funds in carrying out working capital loan business, and the credit funds were misappropriated as bank acceptance bill deposits |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Xinjiang Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LYJXJ [2016] No. 5 (CITIC Bank Co., Ltd. Shenyang Branch) |
| Relevant regulations | |
| Document batch number | LYJXQ [2016] No. 5 |
| Reason for approval | Seriously violate the prudent operation rules, issue bank acceptance bills without real trade background for the enterprises whose actual controllers have changed, and transfer the discounted funds to the deposits |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LBJXJ [2016] No. 7 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXQ [2016] No. 7 |
| Reason for approval | Issuing bank acceptance bills without real trade background for enterprises whose actual controllers have changed in serious violation of prudent operation rules |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LBJXJ [2016] No. 8 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXQ [2016] No. 8 |
| Reason for approval | Seriously violate the prudent operation rules, and issue bank acceptance bills with the unit time deposit certificate as the deposit |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LBJXJ [2016] No. 11 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXQ [2016] No. 11 |
| Reason for approval | Seriously violates prudent operation rules and issues bank acceptance bills without real trade background |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Banking Regulatory Bureau LBJXJ [2016] No. 12 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LYJXQ [2016] No. 12 |
| Reason for approval | Seriously violate prudent operation rules, issue bank acceptance bills on a rolling basis, and transfer discounted funds to deposit deposits |
| Approval content | Fine 200000.00 yuan |
| Handled by | Liaoning Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Hengyang Supervision Branch HYJXZZ [2017] No. 5 (CITIC Bank Co., Ltd. Hengyang Branch) |
| Relevant regulations | |
| Document batch number | HYJXZZ [2017] No. 5 |
| Reason for approval | The loan fund is returned to the borrower's account and transferred to fixed deposit to increase deposit falsely |
| Approval content | Fine 200000.00 yuan |
| Handled by | CBRC Hengyang Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Xi'an Municipal Office, the Second Inspection Bureau of the State Administration of Taxation XGSJEF [2015] ZX142035043 (Xi'an Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | XGSJEF [2015] ZX142035043 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 178226.34 yuan |
| Handled by | The Second Inspection Bureau of Xi'an Municipal Office, SAT |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Qingdao Central Sub branch (QY) XZ [2016] No. 13 (CITIC Bank Co., Ltd. Qingdao Branch) |
| Relevant regulations | |
| Document batch number | (QY) XZ [2016] No. 13 |
| Reason for approval | No post loan risk management query personal credit report registration system has been established; The handling system of credit investigation objection is not standardized; The query and use of credit information are not standardized; Providing personal information to a third person; Failing to deactivate the off-duty users in time; There are "public users"; Failing to give a written reply to the objection applicant within the specified time; Failing to report enterprise credit information; Providing false information to the inspection team of the People's Bank of China |
| Approval content | Fine 175000.00 yuan |
| Handled by | Qingdao Central Sub branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Business Management Department of the People's Bank of China YGX [2014] No. 3 (Head Office Business Department of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YGJ [2014] No. 3 |
| Reason for approval | Incorrect statistical classification and inaccurate data report; The opening of bank settlement accounts for the central budget unit has not obtained the political approval; Some economic collection outlets have delayed budget revenue; Non tax revenue collection business processing is not standardized; Illegal inquiry of personal credit report |
| Approval content | Fine 125000.00 yuan |
| Handled by | Business Management Department of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shijiazhuang Local Taxation Bureau SDSJF [2016] No. 5444 (CITIC Bank Co., Ltd. Shijiazhuang Branch) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | SDSJ [2016] No. 5444 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 119847.83 yuan |
| Handled by | Shijiazhuang Local Taxation Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Juezi [2015] No. 14 (CITIC Bank Co., Ltd. Taiyuan Branch) |
| Relevant regulations | |
| Document batch number | Juezi [2015] No. 14 |
| Reason for approval | Illegal handling of foreign exchange settlement and sales |
| Approval content | Fine 110000.00 yuan |
| Handled by | State Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Taiyuan Local Taxation Bureau Inspection Bureau BDSJF [2013] No. 1006 (CITIC Bank Co., Ltd. Taiyuan Branch) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | BDSJ [2013] No. 1006 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 102013.80 yuan |
| Handled by | Taiyuan Local Taxation Bureau Inspection Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Jining Supervision Branch JYJX [2015] No. 3 (China CITIC Bank Co., Ltd. Jining Branch) |
| Relevant regulations | |
| Document batch number | JYJX [2015] No. 3 |
| Reason for approval | Issue letter of credit without real trade background |
| Approval content | Fine RMB 100000.00 |
| Handled by | CBRC Jining Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Anhui Supervision Bureau WYJXZZ [2015] No. 18 (CITIC Bank Co., Ltd. Hefei Branch) |
| Relevant regulations | |
| Document batch number | WYJXZZ [2015] No. 18 |
| Reason for approval | Issuing loans without fulfilling credit conditions; Lending beyond the credit line. Serious violation of prudent operation rules |
| Approval content | Fine RMB 100000.00 |
| Handled by | CBRC Anhui Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Xinjiang Banking Regulatory Bureau of CBRC Xinyinjianqian [2015] No. 29 (Urumqi Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | XYJX [2015] No. 29 |
| Reason for approval | In carrying out personal loan business, the borrower failed to manage and control the payment of loan funds as required, and the loan funds were misappropriated by the borrower |
| Approval content | Fine RMB 100000.00 |
| Handled by | CBRC Xinjiang Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Dalian Branch DHXZ [2015] No. 14 (CITIC Bank Dalian Branch) |
| Relevant regulations | |
| Document batch number | DHXZ [2015] No. 14 |
| Reason for approval | Errors in declaration of balance of payments statistics; The submitted closing report is incorrect |
| Approval content | Fine RMB 100000.00 |
| Handled by | Dalian Branch of State Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Xiamen Central Sub branch of the People's Bank of China Xiamen YXZ [2017] No. 1 (Xiamen Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Xiamen YXZ [2017] No. 1 |
| Reason for approval | In January 2015, 3323 personal credit reports were queried without the prior written consent of the information subject |
| Approval content | Fine RMB 100000.00 |
| Handled by | People's Bank of China Xiamen Central Sub branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | QINGDAO SAFE [2015] QHZGZ No. 4 (QINGDAO Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | [2015] QHZGZ No. 4 |
| Reason for approval | Failure to make statistical declaration of balance of payments as required; Failure to submit financial and accounting reports as required |
| Approval content | Fine RMB 100000.00 |
| Handled by | Qingdao Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | The People's Bank of China Shijiazhuang Central Sub branch Yinshixiaozi [2014] No. 15 (CITIC Bank Co., Ltd. Shijiazhuang Branch) |
| Relevant regulations | |
| Document batch number | YSXZ [2014] No. 15 |
| Reason for approval | Unpaid political deposit; There is a problem of not obtaining the written authorization of the information subject as required to query the customer's associated enterprise credit report |
| Approval content | Fine 60000 yuan |
| Handled by | People's Bank of China Shijiazhuang Central Sub branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Zhejiang Banking Regulatory Bureau ZYJX [2014] No. 11 (Hangzhou Yuhang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ZYJX [2014] No. 11 |
| Reason for approval | Handle bills without real trade background |
| Approval content | Fine 50000.00 yuan |
| Handled by | Zhejiang Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Zhuzhou Supervision Branch ZYJXZ [2014] No. 3 (CITIC Bank Co., Ltd. Zhuzhou Branch) |
| Relevant regulations | |
| Document batch number | ZYJXZ [2014] No. 3 |
| Reason for approval | Unreasonable conditions attached to the loan |
| Approval content | Fine 50000.00 yuan |
| Handled by | Zhuzhou Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Hengyang Supervision Branch HYXZ [2016] No. 2 (CITIC Bank Co., Ltd. Hengyang Branch) |
| Relevant regulations | |
| Document batch number | HYXZ [2016] No. 2 |
| Reason for approval | The account information opened was not updated in a timely manner, the account that should be approved or reported by the People's Bank of China was not approved or reported, the approved account was opened in the form of a reported account, the nature of the account opened was inconsistent with the account opening information provided, the information provided for opening the account was not complete, the internal control system construction problems, and problems existed in the business related to enterprise credit investigation Problems in personal credit investigation business |
| Approval content | Fine 50000.00 yuan |
| Handled by | CBRC Hengyang Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Dalian Branch DHXZ [2015] No. 9 (CITIC Bank Dalian Branch) |
| Relevant regulations | |
| Document batch number | DHXZ [2015] No. 9 |
| Reason for approval | In handling the receipt and payment of current account funds, the authenticity of transaction documents and their consistency with foreign exchange receipts and payments were not examined reasonably |
| Approval content | Fine 50000.00 yuan |
| Handled by | Dalian Branch of State Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Taiyuan Central Sub branch YXZ [2014] No. 9 (CITIC Bank Co., Ltd. Taiyuan Branch) |
| Relevant regulations | |
| Document batch number | YXZ [2014] No. 9 |
| Reason for approval | Individual and enterprise credit inquiry did not strictly comply with relevant national regulations |
| Approval content | Fine 50000.00 yuan |
| Handled by | Taiyuan Center Sub branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Tianjin Branch of the People's Bank of China JYX [2016] No. 4 (Tianjin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JYJ [2016] No. 4 |
| Reason for approval | Query of enterprise credit information without the written consent of the information subject |
| Approval content | Fine 50000.00 yuan |
| Handled by | Tianjin Branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Tianjin Branch of State Administration of Foreign Exchange JHF [2015] No. 36 (Tianjin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JHF [2015] No. 36 |
| Reason for approval | Failure to make statistical declaration of balance of payments as required; Failure to submit statistical statements and other data information as required |
| Approval content | Fine RMB 30000.00 |
| Handled by | State Administration of Foreign Exchange Tianjin Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Guangxi Branch Guihui Office [2015] No. 2 (CITIC Bank Co., Ltd. Nanning Branch) |
| Relevant regulations | |
| Document batch number | Guihuichu [2015] No. 2 |
| Reason for approval | On June 4, 2014, Nanning Branch opened an import letter of credit of US $15.5 million for a company in Guangxi with a date of 89 days. The bill of lading submitted by the applicant's counterparty was inconsistent with the contract and packing list. The import payment business under the letter of credit was handled for the enterprise when the documents were inconsistent, which constituted that the authenticity of the transaction documents and their consistency with foreign exchange receipts and payments were not reasonably examined when handling the receipt and payment of current account funds |
| Approval content | Fine RMB 30000.00 |
| Handled by | Guangxi Branch of State Administration of Foreign Exchange |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Guangdong Branch of the State Administration of Foreign Exchange Yuehuichu [2015] No. 24 (Guangzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Yue Hui Chu [2015] No. 24 |
| Reason for approval | Violation of the Operation Process of Reporting Balance of Payments Statistics through Financial Institutions |
| Approval content | Fine RMB 30000.00 |
| Handled by | State Administration of Foreign Exchange Guangdong Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | State Administration of Foreign Exchange Ningxia Hui Autonomous Region Branch NHJJ (2015) No. 2 (China CITIC Bank Co., Ltd. Yinchuan Branch) |
| Relevant regulations | |
| Document batch number | NHJX [2015] No. 2 |
| Reason for approval | Violation of regulations that do not reasonably review the authenticity of transaction documents and their consistency with foreign exchange receipts and payments |
| Approval content | Fine RMB 30000.00 |
| Handled by | State Administration of Foreign Exchange Ningxia Hui Autonomous Region Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Received the punishment decision from Beijing Foreign Exchange Management Department of the State Administration of Foreign Exchange (CITIC Bank Co., Ltd.) |
| Relevant regulations | Regulations of the People's Republic of China on Foreign Exchange Control, Notice on Relevant Issues of Foreign Exchange Control of Overseas Direct Investment of Domestic Banks |
| Document batch number | JHF [2017] No. 13 |
| Reason for approval | Failing to timely go through the supplementary registration procedures for Zhenhuawu's overseas investment in 2010, in violation of the relevant provisions of the Regulations of the People's Republic of China on Foreign Exchange Control and the Notice on Relevant Issues of Foreign Exchange Management of Overseas Direct Investment by Domestic Banks |
| Approval content | Fine RMB 30000.00 |
| Handled by | State Administration of Foreign Exchange Beijing Foreign Exchange Management Department |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Dalian Local Taxation Bureau No. 3 Inspection Bureau Dadi Shui Cha San Ji Xiao [2014] No. 49 (CITIC Bank Dalian Branch) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | DDSCSJ [2014] No. 49 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 22404.00 yuan. |
| Handled by | Dalian Local Taxation Bureau No. 3 Inspection Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Hangzhou Central Sub branch ZYXJ [2015] No. 18 (CITIC Bank Hangzhou Branch) |
| Relevant regulations | |
| Document batch number | ZYXJ [2015] No. 18 |
| Reason for approval | Failing to submit information such as the custody or use of customer reserves as required; Failing to reject the application or instruction of payment institution for illegal use of customer reserves |
| Approval content | RMB 20000.00 will be fined. |
| Handled by | Hangzhou Center Sub branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Chongqing Business Management Department of the People's Bank of China YYF [2015] No. 17 (Chongqing Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YYF [2015] No. 17 |
| Reason for approval | Failing to submit information such as the custody or use of customer reserves as required; Failing to reject the application or instruction of the payment institution to use the customer's reserves in violation of regulations |
| Approval content | RMB 20000.00 will be fined. |
| Handled by | Chongqing Business Management Department of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Pingxiang Supervision Branch of CBRC Ping Yin Jian Xiao Zi [2014] No. 1 (Pingxiang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Ping Yin Jian Xiao Zi [2014] No. 1 |
| Reason for approval | The mortgage registration fee shall be borne by the customer |
| Approval content | Fine 10000.00 yuan |
| Handled by | CBRC Pingxiang Supervision Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | QINGDAO Municipal Administration for Industry and Commerce QGSGongChu Zi [2016] No. 02 (CITIC Bank Co., Ltd. Qingdao Branch) |
| Relevant regulations | |
| Document batch number | Qing Gong Shang Gong Chu Zi [2016] No. 02 |
| Reason for approval | The parties use the standard contract terms provided by themselves to exempt themselves from liability, and additionally require the borrower to pay the housing mortgage registration fee to complete the housing mortgage registration before issuing loans, thus shifting the costs that should be borne by them and damaging the legitimate rights and interests of the borrower (consumer) |
| Approval content | RMB 10000.00 will be fined. |
| Handled by | Qingdao Administration for Industry and Commerce |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanghai Local Taxation Bureau No. 1 Inspection Bureau HDSYJX [2017] No. 1 (CITIC Bank Shanghai Branch) |
| Relevant regulations | |
| Document batch number | HDSYJX [2017] No. 1 |
| Reason for approval | In 2015, gifts were purchased and included in "operating expenses - business entertainment expenses" in July of the same year. Gifts have been given and personal income tax has not been withheld |
| Approval content | Fine 816 yuan. |
| Handled by | Shanghai Municipal Bureau of Local Taxation No. 1 Inspection Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Tax Source Management Division of the Tax Branch directly under the State Administration of Taxation of the Tibet Autonomous Region Tibet National Tax Direct Penalty [2015] 1000 (Lhasa Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | Tibetan tax direct simple punishment [2015] 1000 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | Fine 200 yuan |
| Handled by | Tax Source Management Division of the Tax Branch directly under the State Administration of Taxation of the Tibet Autonomous Region |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shenyang Local Taxation Bureau No. 3 Inspection Bureau SDSJX [2015] No. 0071 (CITIC Bank Co., Ltd. Shenyang Branch) |
| Relevant regulations | Interim Regulations on Stamp Duty |
| Document batch number | SDSSJF [2015] No. 0071 |
| Reason for approval | Violation of the Provisional Regulations on Stamp Duty |
| Approval content | Fine 175.8 yuan. |
| Handled by | Shenyang Local Taxation Bureau No. 3 Inspection Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Jinan Branch JYXZ [2015] No. 10 (CITIC Bank Co., Ltd. Jinan Branch) |
| Relevant regulations | |
| Document batch number | JYXZ [2015] No. 10 |
| Reason for approval | On site inspection on the management of customer reserves of payment institutions found problems |
| Approval content | other |
| Handled by | People's Bank of China Jinan Branch |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Qingdao Shinan District Office, SAT [2017] No. 520 (CITIC Bank Qingdao Branch) |
| Relevant regulations | |
| Document batch number | QNGS [2017] No. 520 |
| Reason for approval | For the 11.71 million yuan of non-performing assets of Qingdao Jiade Textile Co., Ltd. written off by Qingdao Branch in 2014, there were cases of post round seizure, and there were assets that had not been disposed and could be compensated, the tax department considered that it did not meet the pre tax deduction conditions, and required Qingdao Branch to pay 2927500 yuan of tax and 859221.25 yuan of overdue fine |
| Approval content | other |
| Handled by | Qingdao Shinan District Office, SAT |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Yingkou Bagong (Xiao) XXZZ [2016] No. 0008 (Dalian Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YBGXXJZ [2016] No.0008 |
| Reason for approval | Violation of fire management |
| Approval content | other |
| Handled by | Yingkou Bayuquan District Public Security Fire Brigade |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hebei Provincial Office, SAT [2015] No. 1 (Shijiazhuang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | Tax Collection and Management Law |
| Document batch number | JGSJ [2015] No. 1 |
| Reason for approval | Violation of the Tax Collection Administration Law |
| Approval content | other |
| Handled by | Hebei Provincial Office, SAT |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanxi Provincial Price Bureau Jin Jia Jian Chu [2014] No. 3 (CITIC Bank Co., Ltd. Taiyuan Branch) |
| Relevant regulations | |
| Document batch number | JJJC [2014] No. 3 |
| Reason for approval | During the loan process, M&A advisory fees are collected in a bundled manner, mandatory fees are collected, only fees are collected, no services are provided, and less services are provided |
| Approval content | Fine 15000000.00 yuan |
| Handled by | Shanxi Provincial Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hubei Provincial Price Bureau Ejiaojiao [2014] No. 01 (Wuhan Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Ejiaojiao [2014] No. 01 |
| Reason for approval | Collect international consulting fees; Bundling with loan business; No substantive service content; Charge the loan commitment fee for exceeding the standard; Credit authentication fee is charged for exceeding the standard; House mortgage registration fees transferred by self inspection in violation of regulations |
| Approval content | Fine 10276462.29 yuan |
| Handled by | Price Bureau of Hubei Province |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Beijing Municipal Development and Reform Commission JFGJG [2014] No. 18 (Head Office Business Department of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JFGJG [2014] No. 18 |
| Reason for approval | Corporate financing arrangement fees are charged for self supporting projects; Charge the loan commitment fee in excess of the HO standard; The standard of electronic remittance fee for wages paid on behalf is higher than the government guidance price |
| Approval content | Fine 9558470.00 yuan |
| Handled by | Beijing Municipal Commission of Development and Reform |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Ningbo Price Bureau YJGJD [2014] No. 8 (Ningbo Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YJJC [2014] No. 8 |
| Reason for approval | Bundle with credit business, collect consulting fees from some enterprises, and only charge no service but little service; Collection of asset management fees from some financing business clients without providing substantive services; Transferring the expenses that should be borne by itself to the customer; Transfer mortgage registration fee; Self defined standard charge |
| Approval content | Fine 7805729.09 yuan |
| Handled by | Ningbo Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shaanxi Provincial Price Bureau Shaanxi Price Inspection Office [2014] No. 05 (Xi'an Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | SJJC [2014] No. 05 |
| Reason for approval | Collect the company's asset management fee and capital market consulting service fee; Compulsory charges bundled with loans, without targeted, personalized and substantive services; Transferring the house mortgage registration fee that should be borne by itself |
| Approval content | Fine 5138480.00 yuan |
| Handled by | Shaanxi Provincial Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Zhejiang Price Inspection Office [2014] No. 20 (Hangzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | ZJJG [2014] No. 20 |
| Reason for approval | Transfer the cost and transfer the mortgage registration fee burden to the borrower; Collect consulting fees from some enterprises, but do not provide substantive services, only charge for no services or less services; Charging project financing fees from some enterprises, without providing substantive services, only charging for no services or less services. |
| Approval content | Fine 4104100.00 yuan |
| Handled by | Price Bureau of Zhejiang Province |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Sichuan Provincial Development and Reform Commission CFGJGJD [2014] No. 18 (Chengdu Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | CFGJZ [2014] No. 18 |
| Reason for approval | Collect consulting fees from enterprises, capital market consulting fees, investment bank enterprise management consulting fees, etc., and only charge for no or less services |
| Approval content | Fine 3590355.00 yuan |
| Handled by | Sichuan Provincial Development and Reform Commission |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hebei Provincial Price Bureau Jijianjian Office [2014] No. 4 (Shijiazhuang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Ji Jia Jian Chu [2014] No. 4 |
| Reason for approval | Transfer the commission charge of entrusted loan that should be paid by the client to the borrower; The issuance of letters of credit is tied to the capital market consulting fees, and no substantive services are provided; Transferred house mortgage registration fee |
| Approval content | Fine 3569500.00 yuan |
| Handled by | Price Bureau of Hebei Province |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shandong Provincial Price Bureau Lu Jia Jian Chu [2014] No. 15 (CITIC Bank Co., Ltd. Qingdao Branch) |
| Relevant regulations | |
| Document batch number | LJJG [2014] No. 15 |
| Reason for approval | Penalties for service charges: financing arrangement fee, service consultant fee, mortgage house registration fee |
| Approval content | Fine 2712194.40 yuan |
| Handled by | Shandong Provincial Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Henan Development and Reform Commission YFGJGJD [2015] No. 4 (Zhengzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YFGJGD [2015] No. 4 |
| Reason for approval | Illegal charges |
| Approval content | Fine 2476110.00 yuan |
| Handled by | Henan Provincial Development and Reform Commission |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Gansu Banking Regulatory Bureau GYJX [2016] No. 2 (Lanzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | GYJX [2016] No. 2 |
| Reason for approval | Illegal transfer of discount bills |
| Approval content | Fine 2000000.00 yuan |
| Handled by | Gansu Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Heilongjiang Provincial Price Supervision and Administration Bureau Hei Jia Jian Chu [2014] No. 19 (Harbin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Hei Jia Jian Chu [2014] No. 19 |
| Reason for approval | Collecting third-party fund supervision fees and binding mandatory charges with structured financing loans, and not providing substantive services except for performing their own loan issuing responsibilities; Collecting investment and financing consulting service fees and binding mandatory fees with loans, except for performing their own loan issuing duties, they did not provide other substantive services. |
| Approval content | Fine 1823000.00 yuan |
| Handled by | Heilongjiang Provincial Price Supervision Administration |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | The People's Bank of China Yinzhijianjuezi [2016] No. 1 (CITIC Bank Co., Ltd. Shanghai Branch) |
| Relevant regulations | |
| Document batch number | YJFXZZ [2016] No. 1 |
| Reason for approval | Bank card acquiring business is not standardized |
| Approval content | Fine 1462941.55 yuan |
| Handled by | People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Chongqing Price Bureau YJJG [2014] No. 31 (Chongqing Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YJJC [2014] No. 31 |
| Reason for approval | When providing financing for the enterprise, it collects consulting fees from the financing enterprise and does not provide substantive services; In the process of housing mortgage registration, the client (borrower) did not pay the mortgage registration fee to the housing management department, but directly paid it to the housing management department, transferring the amount of the mortgage registration fee |
| Approval content | Fine 1376740.00 yuan |
| Handled by | Chongqing Pricing Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Liaoning Provincial Price Bureau Liao Jia Jian Chu [2015] No. 9 (Shenyang Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | LJJG [2015] No. 9 |
| Reason for approval | Illegal charges |
| Approval content | Fine 1198250.00 yuan |
| Handled by | Price Bureau of Liaoning Province |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Shanghai Price Bureau No. 2320140031 (CITIC Bank Co., Ltd. Shanghai Branch) |
| Relevant regulations | |
| Document batch number | No. 2320140031 |
| Reason for approval | It is linked to the loan and compulsory charges; Fees only, no service or no substantive content |
| Approval content | Fine 917400.00 yuan |
| Handled by | Shanghai Price Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Chongqing Banking Regulatory Bureau YYJF [2015] No. 143 (Chongqing Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YYJF [2015] No. 143 |
| Reason for approval | Illegal issuance of working capital loans; Illegal transfer of loan to deposit and withdrawal of deposit; Illegal handling of letters of credit |
| Approval content | Fine 900000.00 yuan |
| Handled by | Chongqing Banking Regulatory Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Tianjin Development and Reform Commission Tianjin Price Inspection Office [2015] No. 12 (Tianjin Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | JJJK [2015] No. 12 |
| Reason for approval | It is bundled with the loan and has no substantive service content; House mortgage registration fees transferred in violation of regulations |
| Approval content | Fine RMB 866470.00 |
| Handled by | Tianjin Development and Reform Commission |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | People's Bank of China Hangzhou Central Sub branch ZYXJ [2015] No. 16 (CITIC Bank Hangzhou Branch) |
| Relevant regulations | |
| Document batch number | ZYXJ [2015] No. 16 |
| Reason for approval | It involves financial statistics, political contributions, account opening, currency management, credit management and anti money laundering. |
| Approval content | Fine 841000.00 yuan |
| Handled by | Hangzhou Center Sub branch of the People's Bank of China |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Foshan Supervision Branch FYJXZZ [2015] No. 1 (CITIC Bank Co., Ltd. Foshan Branch) |
| Relevant regulations | |
| Document batch number | FYJXZZ [2015] No. 1 |
| Reason for approval | Handle the discount of commercial bills without real trade background for Foshan Shunde Lecong Runfeng Trade Co., Ltd |
| Approval content | Fine 800000.00 yuan |
| Handled by | Foshan Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Hubei Supervision Bureau EBJX [2015] No. 78 (Wuhan Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | EBJX [2015] No. 78 |
| Reason for approval | There is a lack of due diligence in post loan inspection, and the loan is misappropriated; Violation of bank acceptance business without real trade background. |
| Approval content | Fine 800000.00 yuan |
| Handled by | CBRC Hubei Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Guangdong Supervision Bureau YYJXZZ [2017] No. 23 (CITIC Bank Co., Ltd. Guangzhou Branch) |
| Relevant regulations | |
| Document batch number | YYJXZZ [2017] No. 23 |
| Reason for approval | Bank acceptance bill business seriously violates prudent operation rules; Loan business seriously violates prudent operation rules |
| Approval content | Fine 800000.00 yuan |
| Handled by | Guangdong Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Hohhot Development and Reform Bureau, Huimin District Price Supervision Bureau, HFGPJZ [2014] No. 4 (Hohhot Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | Hui Fa Gai Jia Jian Chu [2014] No. 4 |
| Reason for approval | Illegal charges |
| Approval content | Fine 786730.00 yuan |
| Handled by | Hohhot Development and Reform Bureau Huimin District Price Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC XYJXZZ [2017] No. 3 (Changsha Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | XYJXZZ [2017] No. 3 |
| Reason for approval | The application materials of senior managers' qualifications conceal important facts, handle bank acceptance bill business without real trade background, return loan funds to the borrower's account and transfer them to time deposits, and falsely increase the deposit scale |
| Approval content | Fine 700000.00 yuan |
| Handled by | CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Henan Supervision Bureau YYJXZ [2015] No. 12 (Zhengzhou Branch of CITIC Bank Co., Ltd.) |
| Relevant regulations | |
| Document batch number | YYJXZ [2015] No. 12 |
| Reason for approval | The lender failed to monitor the credit funds in place, the loan was misappropriated or was not entrusted to pay as required; "Three checks" on loans are not in place; Discount commercial bills without real trade background |
| Approval content | Fine 700000.00 yuan |
| Handled by | Henan Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Huzhou Branch of CBRC Huzhou Supervision Bureau HYJX [2015] No. 16 (China CITIC Bank Co., Ltd. Huzhou Branch) |
| Relevant regulations | |
| Document batch number | HYJX [2015] No. 16 |
| Reason for approval | Loan funds flow into the securities market; Illegal deposit taking and loan granting |
| Approval content | Fine 700000.00 yuan |
| Handled by | Huzhou Branch of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Jiangxi Supervision Bureau GYJXZ [2015] No. 11 (CITIC Bank Nanchang Branch) |
| Relevant regulations | |
| Document batch number | GYJXZ [2015] No. 11 |
| Reason for approval | Transferring loans to deposits and handling bank acceptance bills without real trade background |
| Approval content | Fine 700000.00 yuan |
| Handled by | Jiangxi Supervision Bureau of CBRC |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | Guangxi Zhuang Autonomous Region Price Bureau Gui Jia Cha Chu [2015] No. 5 (CITIC Bank Co., Ltd. Nanning Branch) |
| Relevant regulations | |
| Document batch number | GJC [2015] No. 5 |
| Reason for approval | Collecting consulting fees from enterprises for taking things, failing to provide substantive services, which is inconsistent with the quality and price of services; Transferring the mortgage house registration fee that should be borne by our bank |
| Approval content | Fine 666250.00 yuan |
| Handled by | Price Bureau of Guangxi Zhuang Autonomous Region |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Qingdao Supervision Bureau QYJXZZ [2016] No. 6 (CITIC Bank Co., Ltd. Qingdao Branch) |
| Relevant regulations | |
| Document batch number | QYJXZZ [2016] No. 6 |
| Reason for approval | Issuing bank acceptance bills and issuing bank acceptance bills without real trade background |
| Approval content | Fine 600000.00 yuan |
| Handled by | CBRC Qingdao Supervision Bureau |
|
| Announcement date of punishment decision: November 24, 2017 |
|---|
| title | CBRC Dongguan Supervision Branch DYJXZZ [2015] No. 7 (CITIC Bank Co., Ltd. Dongguan Zhongtang Sub branch) |
| Relevant regulations | |
| Document batch number | DYJXZZ [2015] No. 7 |
| Reason for approval | The loan fund payment management and control are not in compliance, and are suspected of seriously violating the prudent operation rules |
| Approval content | Fine 600000.00 yuan |
| Handled by | Dongguan Branch of CBRC |
|
| Announcement date of punishment decision: December 31, 2016 |
|---|
| title | Decision of the People's Bank of China on Administrative Penalty |
| Relevant regulations | |
| Document batch number | YJFXZZ [2016] No. 1 |
| Reason for approval | The applicant's outsourcing management of bank card acquiring business is not standardized; The receipt package management of the special customers who did not directly transfer the settlement funds to Shanghai Qiantuo and other companies was not standardized; Failing to directly transfer the settlement funds to the acquiring bank settlement account of the special customers exhibited by Shanghai Qiantuo and other companies; Provide offline card acquiring business transaction and capital channels for UnionPay Finance, and settle accounts in banks; Provide offline card acquiring business transaction and capital channels for UnionPay Finance, and settle accounts in banks; Provide UnionPay Finance with offline card acquiring business transaction and funding channels, and fail to bear the first liability for compensation in case of capital loss of merchants as required; When the merchant implementing the special guest name system has capital losses, it fails to bear the first compensation liability as required; When the merchant implementing the special guest name system has capital losses, it fails to bear the first compensation liability as required; The People's Bank of China shall implement the special guest name system and other matters. |
| Approval content | The People's Bank of China will confiscate the illegal income of 1462941.55 yuan and impose a fine of 1462941.55 yuan twice the illegal income on the applicant Shanghai Branch. |
| Handled by | People's Bank of China |
|
| Date of investigation announcement: January 29, 2016 |
|---|
| title | Announcement of China CITIC Bank |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Recently, the Lanzhou Branch of the Bank had a bill business risk event. Upon verification, the amount of risks involved is 969 million yuan. |
| Approval content | At present, the public security organ has filed a case for investigation. The Bank is actively cooperating with the investigation work, strengthening coordination and communication with relevant institutions, and ensuring capital security to the maximum extent. |
| Handled by | police |
|
| Announcement date of admonition conversation: February 15, 2015 |
|---|
| title | Self disciplinary punishment information of dealers association - February 4, 2015 |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Industrial and Commercial Bank of China Limited (hereinafter referred to as "ICBC") and CITIC Bank Co., Ltd. (hereinafter referred to as "CITIC Bank"), as the lead underwriters of the debt financing tool "13 Zhejiang Construction Investment MTN001", failed to organize and hold a shareholders' meeting in a timely manner after learning that the issuer Zhejiang Construction Investment Group Co., Ltd. integrated the minority shareholders' equity issues of its subsidiaries, Violation of the Regulations on the Meeting of the Holders of Debt Financing Instruments of Non financial Enterprises in the Inter bank Bond Market. |
| Approval content | According to the relevant self-discipline regulations, ICBC and CITIC Bank will be given the punishment of encouraging conversation and be ordered to correct after being approved by the self-discipline disciplinary meeting. |
| Handled by | China Association of Interbank Market Dealers |
|
| Announcement date of rectification notice: February 15th, 2015 |
|---|
| title | Self disciplinary punishment information of dealers association - February 4, 2015 |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Industrial and Commercial Bank of China Limited (hereinafter referred to as "ICBC") and CITIC Bank Co., Ltd. (hereinafter referred to as "CITIC Bank"), as the lead underwriters of the debt financing tool "13 Zhejiang Construction Investment MTN001", failed to organize and hold a shareholders' meeting in a timely manner after learning that the issuer Zhejiang Construction Investment Group Co., Ltd. integrated the minority shareholders' equity issues of its subsidiaries, Violation of the Regulations on the Meeting of the Holders of Debt Financing Instruments of Non financial Enterprises in the Inter bank Bond Market. |
| Approval content | According to the relevant self-discipline regulations, ICBC and CITIC Bank will be given the punishment of encouraging conversation and be ordered to correct after being approved by the self-discipline disciplinary meeting. |
| Handled by | China Association of Interbank Market Dealers |
|
| Announcement date of regulatory concern: January 30, 2015 |
|---|
| title | Decision on Supervising and Paying Attention to CITIC Bank Co., Ltd |
| Relevant regulations | Listing Rules of Shanghai Stock Exchange |
| Document batch number | SZGJH [2015] No. 0003 |
| Reason for approval | It is found that China CITIC Bank Co., Ltd. (hereinafter referred to as "the Company") held the first extraordinary general meeting of shareholders in 2015 on January 28, 2015, and released the announcement of relevant resolutions of the general meeting of shareholders through the "disclosure" system of the Hong Kong Stock Exchange at 22:49 that night, but did not disclose them on all domestic designated media at the same time. The above behaviors of the Company violate Article 16.1 and other relevant provisions of the Listing Rules of Shanghai Stock Exchange (hereinafter referred to as "Listing Rules"). |
| Approval content | Our department pays attention to this. We hope that your company will strengthen the management of information disclosure, standardize its operations in strict accordance with laws, regulations and the Listing Rules, earnestly fulfill its information disclosure obligations, and ensure that the company will disclose all major information in a timely, fair, true, accurate and complete manner. |
| Handled by | Shanghai Stock Exchange Listed Company Supervision Department No.1 |
|
| Date of investigation announcement: December 2, 2014 |
|---|
| title | Announcement on Major Issues of Jiangsu Sanfangxiang Industrial Co., Ltd |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Jiangyin Xingren Textile Co., Ltd., the holding subsidiary of Jiangsu Sanfangxiang Industrial Co., Ltd., signed agreements related to the purchase of wealth management products with Wuxi Branch of CITIC Bank Co., Ltd. and Jiangyin Sub branch of CITIC Bank on April 15, 2014 and April 23, 2014 respectively, to purchase the trust win series of CITIC wealth management from Jiangyin Sub branch of CITIC Bank with its own capital of 4.8 million yuan (corporate) The 14115 phase RMB financial products and the 14116 phase RMB financial products of CITIC Financial's Xinying series (corporate) were purchased from Jiangyin Sub branch of CITIC Bank with its own capital of 15.2 million yuan, both of which were principal guaranteed floating income type, with a duration of 182 days, totaling 20 million yuan. After the expiry of the financial product, the company asked for the principal and income from China CITIC Bank Jiangyin Sub branch, but after the bank's verification, Chen Yichun, the customer manager of China CITIC Bank Jiangyin Sub branch, privately forged the "Special Seal for Contract of China CITIC Bank Co., Ltd. Wuxi Branch", "Official Seal for Business of China CITIC Bank Jiangyin Sub branch", and "Seal for Settlement of China CITIC Bank Jiangyin Sub branch" As well as the personal seal and receipt of the bank counter operator signed the aforementioned financial product related agreement with Xingren Company, and transferred the 20 million yuan of financial product purchased by Xingren Company for other purposes, causing Xingren Company to fail to recover the principal and income on time. |
| Approval content | Xingren Company has reported the case to the public security organ, which has accepted and launched investigation, and the criminal suspect Chen Yichun has been arrested. The company will fully cooperate with the work of the public security organ to protect the legitimate rights and interests of the company to the maximum extent. At present, Xingren Company has recovered 1.02 million yuan. |
| Handled by | police |
|
| Announcement date of admonition conversation: March 17, 2014 |
|---|
| title | Self disciplinary punishment information of dealers association - March 4, 2014 |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | As the issuer of debt financing instruments, Zhongke Yinghua High Technology Co., Ltd. failed to disclose the major equity acquisition agreement and subsequent progress, changes in legal representative and general manager, changes in accounting estimates and other important matters in a timely manner during the existence of relevant debt financing instruments, and failed to disclose the change in the use of raised funds in advance in accordance with relevant regulations; The lead underwriter, CITIC Bank, failed to fully fulfill its responsibilities in the follow-up management work such as information disclosure supervision and raised funds monitoring. According to the relevant self-discipline regulations, upon deliberation and decision of the self-discipline disciplinary meeting, Zhongke Yinghua will be given a notice of criticism, ordered to correct, and Wang Yi, the person directly responsible, will be given a admonitory talk; China CITIC Bank will be given admonitory talk and ordered to make corrections. |
| Approval content | As the issuer of debt financing instruments, Zhongke Yinghua High Technology Co., Ltd. failed to disclose the major equity acquisition agreement and subsequent progress, changes in legal representative and general manager, changes in accounting estimates and other important matters in a timely manner during the existence of relevant debt financing instruments, and failed to disclose the change in the use of raised funds in advance in accordance with relevant regulations; The lead underwriter, CITIC Bank, failed to fully fulfill its responsibilities in the follow-up management work such as information disclosure supervision and raised funds monitoring. According to the relevant self-discipline regulations, upon deliberation and decision of the self-discipline disciplinary meeting, Zhongke Yinghua will be given a notice of criticism, ordered to correct, and Wang Yi, the person directly responsible, will be given a admonitory talk; China CITIC Bank will be given admonitory talk and ordered to make corrections. |
| Handled by | China Association of Interbank Market Dealers |
|
| Announcement of admonition conversation Date: December 10, 2013 |
|---|
| title | Self disciplinary punishment information of dealers association - November 13, 2013 |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Linzhou Heavy Machinery Group Co., Ltd., as the issuer of debt financing instruments, delayed the disclosure of major events related to capital reduction and the holding of the shareholders' meeting during the duration of debt financing instruments. The lead underwriters, China Merchants Bank and CITIC Bank, did not fully fulfill their responsibilities in the follow-up management work. According to the relevant self-discipline regulations, after the deliberation and decision of the special office meeting of the dealer association secretariat, Linzhou Heavy Machinery Co., Ltd. will be given a notice of criticism, ordered to correct, and Cao Qingping, the direct responsible person, will be given a admonitory talk; The main underwriters, China CITIC Bank and China Merchants Bank, will be given admonitory talk and ordered to correct. |
| Approval content | Linzhou Heavy Machinery Group Co., Ltd., as the issuer of debt financing instruments, delayed the disclosure of major events related to capital reduction and the holding of the shareholders' meeting during the duration of debt financing instruments. The lead underwriters, China Merchants Bank and CITIC Bank, did not fully fulfill their responsibilities in the follow-up management work. According to the relevant self-discipline regulations, after the deliberation and decision of the special office meeting of the dealer association secretariat, Linzhou Heavy Machinery Co., Ltd. will be given a notice of criticism, ordered to correct, and Cao Qingping, the direct responsible person, will be given a admonitory talk; The main underwriters, China CITIC Bank and China Merchants Bank, will be given admonitory talk and ordered to correct. |
| Handled by | China Association of Interbank Market Dealers |
|
| Announcement date of admonition conversation: October 22, 2013 |
|---|
| title | Self disciplinary punishment information of dealers association - September 25, 2013 |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | Jiangsu Huihong International Group Co., Ltd., as the issuer of relevant debt financing instruments, failed to disclose the external guarantee information of its subsidiary Zhongrong Xinjia in compliance with the regulations during the duration of debt financing instruments. The lead underwriters, CITIC Bank, Minsheng Bank and Guangfa Bank, did not specifically understand the external guarantee of Zhongrong Xinjia as a contingency in their due diligence, nor did they guide the enterprises to disclose the above information in the prospectus. Jintiancheng Law Firm issued a legal opinion for Jiangsu Huihong's debt financing instruments for the two phases, but did not verify the external guarantee of Zhongrong Xinjia. According to the relevant self-discipline regulations, Jiangsu Huihong will be given admonitory talk and ordered to correct after the deliberation and decision of the special office meeting of the dealer association secretariat; Give the lead underwriters China CITIC Bank, China Minsheng Bank and China Guangfa Bank an admonitory talk and order them to correct; Jintiancheng Law Firm was given admonition and conversation punishment, and ordered to correct. |
| Approval content | Jiangsu Huihong International Group Co., Ltd., as the issuer of relevant debt financing instruments, failed to disclose the external guarantee information of its subsidiary Zhongrong Xinjia in compliance with the regulations during the duration of debt financing instruments. The lead underwriters, CITIC Bank, Minsheng Bank and Guangfa Bank, did not specifically understand the external guarantee of Zhongrong Xinjia as a contingency in their due diligence, nor did they guide the enterprises to disclose the above information in the prospectus. Jintiancheng Law Firm issued a legal opinion for Jiangsu Huihong's debt financing instruments for the two phases, but did not verify the external guarantee of Zhongrong Xinjia. According to the relevant self-discipline regulations, Jiangsu Huihong will be given admonitory talk and ordered to correct after the deliberation and decision of the special office meeting of the dealer association secretariat; Give the lead underwriters China CITIC Bank, China Minsheng Bank and China Guangfa Bank an admonitory talk and order them to correct; Jintiancheng Law Firm was given admonition and conversation punishment, and ordered to correct. |
| Handled by | China Association of Interbank Market Dealers |
|
| Announcement date of rectification notice: April 28, 2012 |
|---|
| title | Announcement of China CITIC Bank Co., Ltd. on Disclosure of Audit Situation of the National Audit Office |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | In recent years, the company has actively implemented the national macro-control requirements, increased support for economic development, improved the overall operation quality and efficiency, and achieved steady operation and healthy development. However, some branches also have problems such as illegal loan granting and bill business handling, and lax credit "three checks", which need to be corrected and improved. |
| Approval content | The company attaches great importance to the above problems, has taken effective measures to rectify them, and has seriously dealt with the relevant responsible persons. The company believes that this audit has an important guiding role for the internal control construction and risk prevention work of CITIC Bank. The company will further improve the awareness of compliance operation, strengthen the construction of internal control mechanism, and realize the healthy and sustainable development of various businesses. |
| Handled by | National Audit Office |
|
| Announcement date of rectification notice: July 22, 2008 |
|---|
| title | Explanation on the completion of corporate governance rectification of China CITIC Bank Co., Ltd |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | 1. The Company shall establish a working group to support the operation of each special committee in accordance with the rules of procedure of each special committee of the Board of Directors; 2. The Company shall formulate the Detailed Rules for the Implementation of the Administrative Measures for Information Disclosure of CITIC Bank and the Internal Reporting System for Major Information; 3. Continue to improve the establishment and functions of the office of the Board of Supervisors and strengthen the work force. |
| Approval content | The Bank has taken improvement measures for the outstanding rectification items in the special work of corporate governance in accordance with the regulatory requirements, and continued to take measures to rectify the problems found in the self inspection and on-site inspection of corporate governance and the measures taken to rectify them. All work has progressed smoothly and achieved good results. In the future, the Bank will continue to improve the corporate governance structure, take more effective measures, continue to establish and improve various relevant systems, and effectively improve the level of corporate governance. |
| Handled by | Beijing Securities Regulatory Bureau |
|
| Announcement date of rectification notice: December 28, 2007 |
|---|
| title | Report of China CITIC Bank Co., Ltd. on rectification of special corporate governance activities |
| Relevant regulations | |
| Document batch number | JZGSF [2007] No. 297 |
| Reason for approval | （1） The controlling shareholders of the company currently control two commercial banks, which leads to horizontal competition problems of the company. （2） The company has not yet established a corresponding working group according to the rules of procedure of the professional committee of the board of directors. （3） The relevant minutes of the Board of Directors of the Company are incomplete. （4） In accordance with the principles of the Administrative Measures for Information Disclosure of CITIC Bank formulated by the Company in accordance with the Administrative Measures for Information Disclosure of Listed Companies, the Company shall formulate operational implementation rules, and formulate a systematic and standardized Internal Reporting System for Major Information in line with relevant regulatory provisions. （5） The independence of the Secretary of the Board of Directors and the Office of the Board of Directors needs to be improved. A special department responsible for information disclosure has not been set up, which is not conducive to the management and control of information disclosure. wait |
| Approval content | Since the Bank's successful listing in Hong Kong and Shanghai, it needs to directly face the strict supervision and evaluation of domestic and overseas regulators and investors, so the Bank has always attached great importance to the corporate governance system and level. Through a series of special corporate governance activities since the listing, the Bank has continuously increased its efforts to improve corporate governance, gradually improved the level of corporate governance, and continuously improved relevant systems and systems. In the future, the Bank will take more effective measures in the actual operation of corporate governance in combination with the actual situation of the Bank to further improve the level of corporate governance. |
| Handled by | Beijing Securities Regulatory Bureau |
|
