Guidelines for Compliance Management by Insurance Companies

保险公司合规管理指引

These Guidelines aim to help insurance companies cope with compliance risks through specialized corporate governance stipulations.

(Issued by the China Insurance Regulatory Commission on September 7 2007 and effective as of January 1 2008.)

(中国保险业监督管理委员会于二零零七年九月七日印发，自二零零八年一月一日起施行。)

Bao Jian Fa [2007] No.91

保监发 [2007] 91号

PART ONE: GENERAL PROVISIONS

第一章总则

Article 1: These Guidelines have been formulated pursuant to such laws and regulations as the PRC Company Law, the Provisions for the Administration of Insurance Companies, and the Guiding Opinions on Regulating the Governance Structure of Insurance Companies (Trial Implementation) in order to regulate the governance structure of insurance companies and strengthen compliance management by insurance companies.

第一条为了规范保险公司治理结构，加强保险公司合规管理，根据《中华人民共和国公司法》、《保险公司管理规定》、《关于规范保险公司治理结构的指导意见（试行）》等法律法规，制订本指引。

Article 2:

第二条本指引所称的合规是指保险公司及其员工和营销员的保险经营管理行为应当符合法律法规、监管机构规定、行业自律规则、公司内部管理制度以及诚实守信的道德准则。