Article 1 In order to regulate the governance structure of insurance companies and strengthen the compliance management of insurance companies, the present Guidelines are set down according to the Company Law of the People's Republic of China, the Provisions on Administering Insurance Companies, the Guiding Opinions concerning Regulating the Governance Structure of Insurance Companies and other laws and regulations.

The compliance chief and the compliance department of an insurance company shall ensure that all important internal management systems and business procedures are in compliance.

Guidelines for the Compliance Management of Insurance Companies

Please carry them out in light of your actual situation.

(3) under the leadership of the board of directors and the general manager, setting down the annual compliance risk management plan, taking full charge of the compliance management work and directing the work of the compliance department and persons in the compliance related posts

An insurance company shall do the same for the compliance department or the compliance posts of its branch office when conditions permit.

While the insurance company shall establish the compliance departments or compliance posts in its branch offices in light of its business scale, organizational structure and risk management work demands.

The compliance chief shall be a senior manager of the parent company, and may not concurrently take charge of the business department or the financial department.

Article 6 The board of directors of an insurance company shall bear ultimate liabilities for the compliance management of the company, and shall perform the compliance duties as follows

The general manager of a branch office or central sub branch of the insurance company shall perform the compliance duties that are prescribed in Items 3 and 5 of the preceding Paragraph.

(4) the framework of compliance management and routes for reporting information

The board of directors and the senior managers of an insurance company shall advocate ethics and values of honesty and good faith, advocate such philosophies as voluntary compliance and compliance bringing about values, etc., and make internal compliance management and external supervision better interacted with each other.

(1) helping the compliance chief to set down and revise the compliance policies and the annual compliance risk management plan of the company, advocating the implementation of such policies and plan, and helping the senior managers to cultivate a compliance culture in the company

(2) organizing the departments and branch offices of the company to set down and revise the post compliance manual and other compliance management rules and systems

(5) investigating the abnormal circumstances that happened in the operation of the company in accordance with law, and when necessary, requiring the compliance chief and the compliance department to assist and

In order to effectively identify and actively prevent and eliminate compliance risks and ensure sound and stable business operation, an insurance company shall, according to the requirements of the present Guidelines, set up sound compliance management systems, improve the organizational structure of compliance management, clarify compliance management responsibilities and build up a perfect compliance management system.

(1) the company's objective and basic principles of the compliance management

(6) the major procedures for identifying and managing compliance risk.

Meanwhile, it will strengthen the training of listed companies, strengthen the consciousness of improving governance and standardizing operation of listed companies, and constantly improve the quality of listed companies.

(3) identifying and evaluating the compliance risks of the company for at least once every year as well as verifying the compliance risk management plan of the next year

Article 23 The securities firm should set up responsible person for regulatory compliance to audit, supervise or check legal and regulatory compliance of management behavior of securities firm.

(4) determining whether to establish the compliance department and its functions

Article 9 The general manager of an insurance company shall perform the compliance duties as follows

Article 16 An insurance company shall equip the compliance department or the compliance posts with sufficient compliance personnel.

(1) setting down and revising compliance policies and reporting them to the general manager for verification

The compliance department or the compliance posts shall provide compliance support to the business activities done by any other department, branch office or any employee and marketing staff, and assist and direct each department or branch office to set down the post compliance manual for compliance management.

To appoint someone to be the compliance chief, an insurance company shall, in accordance with the Administrative Provisions on the Post holding Qualifications of Directors and Senior Managers of Insurance Companies and the relevant provisions promulgated by China Insurance Regulatory Committee, submit the appointment for approval.

Article 26 The compliance department of an insurance company shall conduct various kinds of compliance investigations in the company according to the requirements of the senior managers, the auditing committee of the board of directors or the board of directors.

Article 15 An insurance company shall set down rules and systems to guarantee that the compliance chief, the compliance department and the compliance posts enjoy the following rights

The report provided in particular an overview of the main international initiatives in corporate governance disclosures and discussed the status of implementation of good practices of corporate governance disclosures at the company level.

It is recognized that there is an increase in the number of corporate governance accolades, awards, ratings, rankings and even corporate governance stock market indexes where constituents are selected on the basis of good practices in corporate governance.

(5) Corporate governance and its status

The corporate governance structures in place to assess, manage and report on these types of risks should be the subject of corporate governance disclosure.

The compliance department, post and staff in any of these branch offices shall be responsible to the chief person in charge of the branch and the compliance department or posts I in the higher level.

(2) the compliance culture advocated by the company

A compliance policy, as a programmatic document for the compliance management of an insurance company, shall at least contain the contents as follows

(6) other compliance duties as stipulated in the articles of association of the company.

(6) other compliance duties as stipulated in the articles of association.

Article 27 The compliance department of an insurance company shall set up a cooperation mechanism with the human resource department, set down a compliance training plan, develop an effective compliance training and education program, and shall regularly organize compliance training courses.

Investors and public officials in countries where controlled companies dominate should stop using global governance standards based on the designers experience with widely held firms in the US. Rather, they should strive to develop standards appropriate for controlled firms.

This responsible person shall not take management position of the securities firm in the same time.

Article 3 Compliance management means that insurance companies shall prevent, identify, evaluate, report and handle compliance risks by taking measures such as establishing the compliance department or the compliance posts, setting down and carrying out compliance policies, conducting compliance monitoring and providing compliance trainings, etc.

Article 29 In order to evaluate and assess the performance of duties by senior managers at various levels and subject the managers concerned in violations to corresponding responsibilities, an insurance company shall set up an effective compliance evaluation and accountability system and take compliance management as an important indicator of annual evaluation.

Circular of China Insurance Regulatory Commission concerning Printing and Distributing the Guidelines for the Compliance Management of Insurance Companies

Article 18 Not only the compliance department, the compliance posts and the professional compliance personnel shall be responsible for compliance, but also each employee and each marketing staff member.