Core Viewpoint - The Financial Regulatory Bureau has issued a new management measure for the qualifications of directors and senior management in banking institutions, effective from June 1, 2025, aimed at tightening the entry standards and enhancing the integrity and compliance of high-level personnel [1][2]. Summary by Sections General Principles - The revised measure includes seven chapters and 45 articles, focusing on the qualifications and management of directors and senior management in banking institutions [2]. Qualification Conditions - The new measure introduces stricter qualification conditions, including a "clean record of integrity" and specific disqualifications for individuals with serious credit violations or ongoing investigations [5][6]. Administrative Penalties - Different types of administrative penalties have been categorized with specific impact periods: one year for warnings and fines, and five years for market entry bans [3][4]. Training Requirements - Financial institutions are required to ensure that candidates for senior positions undergo necessary anti-money laundering and anti-terrorist financing training before assuming their roles [7]. Management Responsibilities - Financial institutions must establish robust procedures for selecting and appointing directors and senior management, ensuring compliance with the new qualification conditions [7][8]. Regulatory Oversight - Regulatory bodies are empowered to conduct thorough checks on candidates' qualifications, including reviewing their professional history and compliance records [6][8]. Transition Provisions - Existing qualified personnel can transfer between similar positions without reapplying for qualifications, except for specific high-responsibility roles that require a new application [8][9].

近日，为进一步强化对银行业金融机构董事（理事）和高级管理人员（以下简称高管人员）的监督管 理，严把准入关口，国家金融监督管理总局修订发布《银行业金融机构董事（理事）和高级管理人员任 职资格管理办法》（以下简称《办法》），自2025年6月1日起施行。 与此前版本相比，修订后的《办法》对行政处罚种类进行了更细致的区分，并相应设置了差异化的影响 期限，对相关人员的职业流动和职务提拔作出了更具针对性的限制。业内人士指出，这一调整避免了过 往"一刀切"的监管模式，显著提升了监管措施的精准性和有效性。 三大调整严防银行业高管"带病流动" 《办法》所称高级管理人员，是指金融机构总部及分支机构管理层中对该机构经营管理、风险控制有决 策权或重要影响力的各类人员。 南都湾财社记者了解到，《办法》最早于2013年11月发布，至今已经过去了11年有余。"《办法》在强 化资质条件要求、严把准入关口、加强任职资格持续监管等方面发挥了积极作用，但随着近年来银行业 的改革发展，出现了一些需要重点关注的问题。"国家金融监督管理总局相关负责人在介绍修订原因时 表示。 据介绍，《办法》主要修订内容包括：一是秉持过罚相当原则，调整监管处罚对高管人员 ...

Core Points - The National Financial Regulatory Administration has released the "Management Measures for the Qualifications of Directors and Senior Management Personnel of Banking Financial Institutions," effective from June 1, 2025 [1] - The measures primarily revise three aspects: adjusting the impact of regulatory penalties on senior management appointments, reinforcing the responsibility of financial institutions in the selection process, and standardizing reporting requirements [1] Group 1 - The principle of proportionality in penalties has been emphasized, with adjustments made to the impact of regulatory penalties on the appointment and promotion of senior management [1] - Financial institutions are required to improve the procedures and standards for selecting and appointing senior management, ensuring the authenticity and completeness of application materials [1] - Other revisions include standardizing the reporting requirements for qualification management and enhancing alignment with relevant laws and regulations [1] Group 2 - Administrative penalties will have specific impact periods: a one-year impact for warnings, criticisms, and fines, preventing individuals from being approved for senior positions if they have received such penalties within the past year [2] - A five-year impact period is set for market entry bans, where individuals subject to such measures will be deemed unqualified if the ban has not expired within five years [2] - For penalties that result in the cancellation of qualifications, the execution will follow the specified penalty period, with individuals deemed unqualified if they have not completed the penalty duration [2]