Guangdong Provincial Local Financial Supervision Bureau issued the rules of applicable to free discretion in administrative punishment

The 21st Century Business Herald reporter Xin Jizhao Shenzhen reported on July 19, the Guangdong Provincial Local Financial Supervision and Administration Bureau released the "Application Rules for the Free Tailoring of the Administrative Punishment of the Guangdong Provincial Local Financial Supervision and Administration Bureau" (referred to as the "Applicable Rules"). It will be implemented from August 1st.

This rule applies to the investigation and punishment of citizens, legal persons or other organizations in the Guangdong Provincial Local Financial Supervision Bureau that violates laws, regulations and regulations on local financial supervision and management. Guangzhou, Shenzhen Local Financial Supervision Bureau, local city -level financial work bureaus, Hengqin Guangdong -Australia In -depth Cooperation Zone Financial Development Bureau, Nansha Financial Work Bureau, and Qianhai Local Financial Supervision Bureau shall be implemented with reference to these rules.

In order to clarify the definition of the freedom tailoring of the administrative punishment of local financial supervision, the "Application Rules" clearly stipulate that the right to discrete the administrative penalty refers to For citizens, legal persons, or other organizations that violate the order of local financial management, decide whether to give administrative penalties, what administrative penalties to the administrative penalty for administrative penalties.

In order to standardize the exercise of free tailoring of administrative penalties, Article 4 and 5 of the "Application Rules" stipulates that exercise of free tailoring of local financial supervision administrative penalties shall follow the principles of fairness and fairness, the principles of openness and transparency, the principles of comparable punishment, the combination of punishment and education Principles, procedures legitimate principles, comprehensive tailor principles and other principles.

Regarding the tailoring level of administrative penalties for free tailoring, the "Application Rules" divide the level of administrative penalties into no punishment, reduce punishment, general punishment, general punishment, and severely punishment according to relevant laws and regulations and regulations. Article 8 and 9 of Article 8 shall be specified in specific applications. The "Application Rules" stipulates that if there is no case, from the circumstances of light, or minimizing administrative penalties, or no administrative penalties, general punishment shall be given in accordance with the law in the statutory penalty. The "Application Rules" also stipulates the principle of tailoring of the mixed situation in Article 11.

Among them, Article 33 of the "Administrative Penalty Law" "If the initial illegal and the harmful consequences are slight and corrected in time, they may not be punished by administrative penalties." "Those who fully implement the" first illegal and the harmful consequences and make a slight correction in time, may not be provided with administrative penalties ", and formulate a tolerance for penalty penalties in multiple fields." Because the relevant illegal acts in the field of local financial supervision directly damage the legal rights and interests of the public, affect the economic and financial order and social stability, it will generally cause a certain "harmful consequences". In summary, most illegal acts in the field of local financial supervision should not be applied to "the first violation of the law and the harmful consequences and the timely correction can not be corrected in time.

According to the local financial regulatory bureaus of Guangdong Province, among the regulatory industries of the local financial regulatory authorities, only financing guarantee companies, pawn banks, and regional equity trading markets have corresponding regulatory regulations and regulations. Standards for market administrative penalties. In accordance with the authorization of the "Regulations on the Prevention and Disposal of illegal Funding", the provincial local financial supervision and administration bureau's leading departments that lead and dispose of illegal fund -raising work mechanisms as the provincial government to exercise administrative penalties' tailoring standards. In addition, the administrative penalties of the Guangdong Provincial Local Financial Supervision and Administration Bureau have been formulated for minor illegal violations of laws and regulations.

In October 2018, the "Guangdong Provincial Institutional Reform Plan" was issued and established the Provincial Local Financial Supervision Administration to be responsible for small loan companies, financing guarantee companies, commercial factoring, financial leasing, pawn banks, local financial asset management companies and regions and regions Supervision of 7 local financial organizations such as sex equity markets.

In November 2020, the Guangdong Provincial Local Financial Regulatory Bureau, in accordance with the Law, Regulations, and Regulations of Laws, regulations, and rules, in accordance with the Law of the People's Republic of China and the Regulations on the Regulations on the Regulations on the Free Tailoring of Administrative Punishment of Administrative Penalties ", combined with the actual situation of local financial supervision and law enforcement work, the" " The Application Rules of the Administrative Penalty Administrative Punishment of the Guangdong Provincial Local Financial Supervision and Administration Bureau (trial), which further regulates local financial supervision and law enforcement behaviors, guides the front -line law enforcement personnel to carry out law enforcement and punishment work from practical and uniform local financial supervision and law enforcement standards.

On May 1, 2021, the implementation of the "Regulations on the Prevention and Disposal of Illegal Funding", the Guangdong Provincial Local Financial Supervision and Administration Bureau led the departments of the provincial government's prevention and disposal of the illegal fund -raising working mechanism to exercise the administrative penalties given by the regulations.

On July 15, 2021, the implementation of the "Administrative Penalty Law of the People's Republic of China" was implemented, and the tailoring of administrative penalties had new regulations, highlighting the principle of combining administrative penalties and education. In order to apply the above changes and ensure the requirements of laws and regulations, the Guangdong Provincial Local Financial Supervision Bureau made corresponding modifications and improvement on the "Application Rules".

The following is the full text:

Application rules for the application of free discretion in the administrative punishment of local financial supervision and administration of Guangdong Province

Article 1 In order to regulate the exercise of the freedom tailoring of the administrative punishment of local financial supervision and management, ensure administration in accordance with the law, and safeguard the legitimate rights and interests of citizens, legal persons, and other organizations, in accordance with the "Law on the Administrative Penalty of the People's Republic of China" and "Guangdong Province regulates the free discretion of administrative punishment administrative punishment The provisions of the provisions "and other laws, regulations, and regulations, combine the actual law enforcement of local financial supervision and administration in our province, formulate this rule.

Article 2 These rules are applicable to the investigation and punishment of citizens, legal persons or other organizations in the Guangdong Provincial Local Finance Supervision and Administration Bureau that violates laws, regulations and regulations on local financial supervision and management. Guangzhou, Shenzhen Local Financial Supervision Bureau, local city -level financial work bureaus, Hengqin Guangdong -Australia In -depth Cooperation Zone Financial Development Bureau, Nansha Financial Work Bureau, and Qianhai Local Financial Supervision Bureau shall be implemented with reference to these rules.

Article 3 The right to discrete the administrative punishment in these rules refers to the act of the local financial supervision and administration bureau of Guangdong Province within the scope of administrative penalties stipulated in laws, regulations, and regulations. Decide whether to give administrative penalties, what administrative penalties are given, and what kind of administrative penalties are given.

Article 4 The administrative penalties for local financial supervision and management must follow the principles of justice, fairness, and disclosure, compare punishment, and combine punishment and education. The legality and rationality of the administrative punishment of administrative penalties.

Article 5 The exercise of free tailoring of administrative penalties must be based on facts and laws as the criterion. It must be comparable to the facts, nature, plot, and social hazards of illegal acts, and to adapt to the economic development level of illegal acts.

Exercise the freedom of administrative penalties for illegal acts such as factors such as facts, nature, plot, and social harm, and the types and amplitude of the penalties should be basically the same.

Article 6 The implementation of administrative penalties for local financial supervision and management, according to the facts, nature, plot and social hazards, and subjective fault factors of illegal acts, etc., distinguish between non -punishment, reduced punishment, light punishment, general punishment, and heavy punishment.

Article 7 If the parties have one of the following circumstances, the punishment shall not be punished according to law:

(1) The main body that is not punished by the law;

(2) The illegal behavior is slight and corrected in time, which does not cause the consequences of harm;

(3) The parties have evidence to prove that there is no subjective fault;

(4) illegal acts have not been discovered within 2 years, except for other provisions of the law;

(5) Other situations that are not punished by laws, regulations, and rules.

If the first illegal and harmful consequences are mild and corrected in time, they may not be punished by administrative penalties.

Article 8 If the parties have one of the following circumstances, the administrative penalty shall be lightly or reduced according to law:

(1) The main body of the law that should be lighter or reduced from the punishment;

(2) Actively eliminating or reducing the consequences of the harm of illegal acts;

(3) Those who are coercive or deceived by others;

(4) Actively supply illegal acts that the local financial regulatory authorities have not yet mastered;

(5) In cooperation with local financial regulatory departments to investigate and deal with illegal acts, it has a performance performance;

(6) Law, regulations, and rules of regulations in accordance with the law or reduce punishment according to law.

Article 9 If the parties have one of the following circumstances, the penalty shall be punished according to law:

(1) Disrupting public order, obstructing public safety, infringing personal rights and property rights, obstructing financial management order, serious circumstances, and no crime has been constituted;

(2) After the local financial supervision and management department ordered to stop or order to correct illegal acts, it continues to implement illegal acts;

(3) Evidence of hiding and destroying illegal acts;

(4) In the common illegal act, it plays a main role or instability, coercion, and deceiving others to implement illegal acts;

(5) The cumulative illegal acts have been implemented within one year;

(6) The reporter and witnesses crack revenge;

(7) Obstructing law enforcement officers to investigate and deal with illegal acts;

(8) Laws, regulations, and rules should be stipulated in other circumstances that should be punished.

Article 10 If the party's illegal act does not have a situation of not being punished by administrative penalties from the circumstances of light, light or minimizing administrative penalties, general punishment shall be given in accordance with law in the statutory penalty.

Article 11 If the illegal behavior of the parties shall also have a comprehensive tailoring of the case of the case with a heavy, from light, or reducing administrative penalties.

Article 12 The scale of general punishment, light punishment, and heavy penalties is calculated in the following ways:

General punishment: [y+(x-y) × 30%] above, [y+(x-y) × 70%] below, the above, below contains the number;

From light punishment: [y+(x-y) × 30%] below to the legal minimum fine, the following does not contain the number;

From heavy punishment: [y+(x-y) × 70%] above the legal maximum penalty amount, the above does not contain the number.

X is the legal maximum penalty amount, Y is the legal minimum penalty amount. When there is no minimum penalty amount, the Y value is zero.

Article 13 If there are two or more (including two items) stipulated in Article 9 of these rules, the punishment shall be punished at the upper limit of the amount of fine.

Article 14 The Provincial Local Financial Supervision and Administration Bureau shall collect evidence that may affect the free tailoring of administrative punishment, and verify the statements and defense opinions put forward by the parties.

Article 15 The report of the investigation of the case, the notice of administrative punishment, and the decision of administrative penalties shall stipulate the reasons and basis for exercising the right to discrete.

Article 16 The Provincial Local Financial Supervision and Administration Bureau shall supervise the work of regulating the free discretion of administrative penalties through administrative law enforcement supervision and inspection, administrative law enforcement evaluation and evaluation, and the review of administrative law enforcement.

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