Notice of the National Development and Reform Commission and the Ministry of Finance on Re-promulgating the Charging Standards for Administrative and Institutional Fees of the China Banking Regulatory Commission and on Other Relevant Issues

国家发展改革委、财政部关于重新发布银监会行政事业性收费标准及有关问题的通知

Promulgating Institution: National Development and Reform Commission; Ministry of Finance

Document Number: Fa Gai Jia Ge [2010] No. 2095

Promulgating Date: 09/13/2010

Effective Date: 01/01/2010

颁布机关: 国家发展和改革委员会; 财政部

文      号: 发改价格[2010]2095号

颁布时间: 09/13/2010

实施时间: 01/01/2010

With a view to strengthening fee-charging administration, regulating fee-charging behavior, and effectively safeguarding the legitimate rights and interests of citizens, legal persons and other social organizations, pursuant to the Notice of the Ministry of Finance and the National Development and Reform Commission on Re-publishing the Administrative and Institutional Fee Items of China Banking Regulatory Commission (Cai Zong [2010] No. 60), the fee-charging standards for administrative and institutional fees applicable to the China Banking Regulatory Commission (CBRC) have been sorted out, re-examined and re-verified, and are hereby promulgated. Relevant issues are also notified as follows:

    为加强收费管理，规范收费行为，切实维护公民、法人和其他社会组织的合法权益，根据《财政部、国家发展改革委关于重新发布银监会行政事业性收费项目的通知》（财综[2010]60号）的有关规定，对你会行政事业性收费标准进行了清理和重新审核，现予以发布并将有关问题通知如下:

1. Institution regulatory fee. The institution regulatory fee charged by the CBRC from various commercial banks, credit cooperatives, finance companies, trust and investment companies, financial leasing companies, postal savings institutions, etc., included under the scope of regulation (hereinafter referred to as the "Regulated Entities") shall be calculated and collected according to a certain percentage of the paid-in capital at the previous year end of each of the Regulated Entities, taking into consideration the risk factors. The specific fee-charging standard is: institution regulatory fee = paid-in capital at the previous year end × 0.05% × risk-adjusted coefficient. The risk-adjusted coefficient shall be determined based on the regulatory rating of a given Regulated Entity, namely, 0.9 for Rating A, 0.95 for Rating B, 1 for Rating C, 1.05 for Rating D, and 1.1 for Rating F. 

      一、机构监管费。你会向纳入监管范围的各类商业银行、信用社、财务公司、信托投资公司、金融租赁公司、邮政储蓄机构等（以下简称“被监管单位”）收取的机构监管费，按被监管机构上年末实收资本的一定比例并考虑风险因素计收。具体收费标准为:机构监管费=上年末实收资本×0.05%×风险调整系数。风险调整系数根据被监管单位的监管评级确定，其中一级为0.9，二级为0.95，三级为1，四级为1.05，五级为1.1。

2. Business regulatory fee. The business regulatory fee charged by the CBRC from a Regulated Entity shall be calculated and collected in the manner of multiplying, progressively, the graded rate by the balance after deduction of its paid-in capital at the previous year end from its total assets at the same year end, adding all the products, and taking into consideration the risk factors. The specific fee-charging standard is: business regulatory fee = (total assets at the previous year end – paid-in capital at the previous year end) × the graded rate × risk-adjusted coefficient – regulatory fees already paid by overseas branch offices in their respective host country.

       二、业务监管费。你会向被监管单位收取的业务监管费,按上年末资产总额减去上年末实收资本后的一定比例分档累加并考虑风险因素计收。具体标准为:业务监管费=(上年末资产总额-上年末实收资本)×分档费率×风险调整系数-境外分支机构在所在国家缴纳的监管费。

The graded rates for 2010 are: 0.007% for the portion of no more than RMB 3 trillion, 0.005% for the portion of more than RMB 3 trillion but no more than RMB 5 trillion, 0.003% for the portion of more than RMB 5 trillion but no more than RMB 7 trillion, and 0.001% for the portion of more than RMB 7 trillion but no more than RMB 9 trillion. Business regulatory fee shall be waived for the portion above RMB 9 trillion. The graded rates for 2011 and 2012, respectively, shall be reduced by 10% on a yearly basis according to the above standards.

    2010年的分档费率为:3万亿元(含3万亿元)以下部分为0.007%,3万亿元以上至5万亿元(含5万亿元)部分为0.005%,5万亿元以上至7万亿元(含7万亿元)部分为0.003%,7万亿元以上至9万亿元(含9万亿元)部分为0.001%,9万亿以上部分免收。2011年和2012年的分档费率按上述标准逐年递减10%。

The risk-adjusted coefficient shall be determined based on the regulatory rating of a given Regulated Entity, namely, 0.9 for Rating A, 0.95 for Rating B, 1 for Rating C, 1.05 for Rating D, and 1.1 for Rating F.

    风险调整系数根据被监管单位的监管评级确定,其中一级为0.9,二级为0.95,三级为1,四级为1.05,五级为1.1。

Regulatory fees paid by overseas branch offices of a Regulated Entity to the authorities at their respective domicile in the previous year may be used to offset the business regulatory fee payable by the domestic legal person, provided that the total amount of offsetting shall not exceed the business regulatory fee payable by such overseas branch offices according to the above standards.

    被监管单位的境外分支机构上一年度向所在地缴纳的监管费,可抵扣境内法人计缴的业务监管费,但抵扣总额不得超过该境外分支机构按上述标准计收的业务监管费数额。

3. The CBRC shall handle the formalities for change of the fee-charging permit with the National Development and Reform Commission (NDRC) as required, strictly comply with the foregoing provisions, prohibit from adding new chargeable items, expanding the charging scope and raising fee-charging standards without authorization, and shall consciously accept the supervision and inspection by price departments and finance departments.

       三、你会应按规定到国家发展改革委办理收费许可证变更手续,严格执行上述规定,不得擅自增加收费项目、扩大收费范围和提高收费标准,并自觉接受价格、财政部门的监督检查。

4. This Notice shall come into effect on January 1, 2010 and shall remain effective for three (3) years thereafter. Upon expiration of the three-year period, the CBRC shall apply to the NDRC and the Ministry of Finance anew.

       四、本通知自2010年1月1日起执行,有效期3年。有效期满后,由你会向国家发展改革委、财政部重新申报。

National Development and Reform Commission

Ministry of Finance

September 13, 2010

    国家发展改革委

    财政部

    二〇一〇年九月十三日