副行长及合规负责人任职资格申请资料清单

申请材料目录(一式三份):

(1)申请人授权签字人签署的申请书,申请书中应当说明拟任人拟任的职务、职责、权限,及该职务在本机构组织结构中的位置;(I will prepare a draft first, to be reviewed by Bruce/Frankie/ Ivy and finally approved by Keith)

(2)申请人授权签字人签署的对拟任人的授权书 (格式2, Frankie/Ivy/Evin to prepare according to JD, to be reviewed by Bruce and finally approved by Keith. Notarization is required as well.) 及该签字人的授权书;(I will prepare Keith’s PA)

(3)经授权签字人签字的拟任人简历、身份证明和学历证明复印件;(Frankie/Ivy/Evin to prepare, to be certified true copy by Bruce and finally endorsed by Keith)

(4)拟任人从事商业银行业务及相关管理经验、履职计划的详细说明;(格式4, Frankie/Ivy/Evin to prepare accordingly)

(5)拟任人签署的无不良记录陈述书以及任职后将守法尽责的承诺书;(格式5, Frankie/Ivy/Evin to prepare accordingly)

(6)外商独资银行、中外合资银行章程规定应当召开股东会或者董事会会议的,还应当报送相应的会议决议;(NA)

(7)拟任人离任审计报告(经济责任审计报告)或者原任职机构出具的履职评价;(格式7, Frankie/Ivy/Evin to provide accordingly, to be signed / stamped by ex-employer)

(8)拟任人在银行、银行集团及其关联企业中担任、兼任其他职务的情况说明(格式8, Frankie/Ivy/Evin to prepare accordingly)

(9)外资银行高级管理人员任职资格申请(备案)表 (格式9,Frankie/Ivy/Evin to prepare accordingly, to be approved by Keith)


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