完善我国律师业务培训制度的几点构想
上海市华达律师事务所 韦群林
一、 我国律师业务培训制度简介
当今时代,知识爆炸,新信息、新思想、新知识层出不穷,处于计划经济向市场经济、人治社会向法治社会转型过渡时期的中国法律与中国法学更不例外。可以毫不夸张地说,一个八十年代初期在“法律工具论”理念下培养出来的法律本科毕业生,如果毕业后从来没有“充电”,那么,二十年后,很可能根本听不懂大学同学关于法律或法学的专业谈话。
面对现实,面对挑战,企图学习上一劳永逸、“吃老本”的想法就变得十分不现实,“知识更新”、“终生教育”的观念为人们所普遍接受。甚至在中国共产党十六大报告当中,都出现了“发展继续教育,构建终生教育体系”的论述。
对作为法律实践者的律师,不仅司法部领导强调过要“懂法律、懂经济、懂外语、懂科技”,而且在律师业务培训的制度设计上,也由《中华人民共和国律师暂行条例》的“组织律师学习政治和法律业务知识,总结、交流律师的工作经验”这种法律顾问处(律师事务所)自行组织学习的做法,改变为《中华人民共和国律师法》当中的“律师协会履行下列职责:(三)组织律师业务培训”即由律师协会组织律师业务培训的制度,从而不仅使该项制度法律化,而且提高了要求,加强了行业协会的监督,使业务更加落实到实处,避免了律师事务所组织学习的流于形式、缺乏监督、层次不高、培训资源不能共享等等弊端;此外,作为配套管理措施,1996年11月25日司法部《律师执业证管理办法》将律师“完成业务培训的证明”作为律师办理执业证年度注册的必备文件;2003年5月30日司法部《关于进一步加强律师执业管理若干问题的通知》则明确要求律师“参加年检注册和律师培训情况”作为律师执业档案至少应当包括的材料,可见司法行政管理部门对律师业务培训的重视程度和管理力度上的逐步加大。
1997年3月13日司法部《关于进一步规范律师培训工作的通知》规定了现行的律师业务培训制度主要内容:每年度培训不少于40课时;培训的内容主要是新颁布的法律、法规(含有关司法解释)、与律师从事业务有关的经济、科技等领域专业知识和外语知识、司法部和全国律协颁布的有关律师工作的规章和规范性文件和律师职业道德、执业纪律方面的规章等等;培训方式为短期培训班、专题讲座等;律师参加境外培训和学历教育,亦可视为完成了本年度业务培训的课时;培训机构上由省级以上司法行政机关和律师协会负责组织;凡未经刑事辩护业务培训并取得结业证书的律师,不得出庭辩护;建立律师培训登录制度,从1997年度年检注册后开始,参加规定课时的培训作为律师注册的前提条件之一;各地司法行政机关要高度重视律师继续教育培训工作。
二、现行律师业务培训制度的缺憾
现行律师培训制度在向律师及时传播新知识、新信息和新理念(如知识更新、终生教育等等),交流业务经验,提高律师业务水平等等方面无疑是发挥了巨大作用。但是,这部处于律师法和刑事诉讼法实施后而“急就章”出台的律师业务培训制度的不完善之处也是明显的(当然也是难以避免的)。因此,从合法性、合理性及我国律师管理体制的改革趋势角度反思、评判现行的律师业务培训制度,对于进一步完善该项制度、提高律师业务培训制度的效率、改革我国律师业务管理体制、促进司法行政部门依法行政,都具有积极的意义。
1、 现行律师业务培训制度似乎由司法行政管理部门过多地包揽了本属于律师
协会的法定职责,与早在1993年12月就由国务院批复同意的《司法部关于深化律师工作改革的方案》当中即已明确的,要建立司法行政机关行政管理与律师协会行业管理相结合的管理体制、并逐步向司法行政机关宏观管理下的律师协会行业管理体制过渡的要求相左。
1997年1月1日实施的《中华人民共和国律师法》明确将“组织律师业务培训”作为律师协会的法定职责,且并未限定一定是“省级以上”律师协会才有此项职责。而司法部《关于进一步规范律师培训工作的通知》则就律师培训事项不仅避开中华全国律协发号施令,而且,还将司法行政机关作为组织培训的主要主体,且阻却了省级以下律师协会对其依法拥有的“组织律师业务培训”职责的行使。尽管实际培训中地市级律协甚至县级律协也在组织律师业务培训,但这就人为的造成了立法和规章的不统一,令各级律协处于尴尬之地。而由司法行政机关对培训学时、培训方式、具体培训内容等等细节进行过多的描写,则显然有碍“司法行政机关宏观管理下的律师协会行业管理体制”这一改革目标与理念的实现。
2、培训实行“一刀切”,缺乏起码的针对性,造成了培训对象上“培训过度”
和“培训不足”缺陷并存,不符合教育学基本规律。
由于历史原因,改革开放对律师的急切需求也就造成了我国律师队伍法律水平的巨大参差不齐,法律大专与法学博士共存,法律专业和非法律专业同在,地区差别更是明显,以致于立法和司法考试办法至今还在对“具有高等院校法律专业本科以上学历,或者高等院校其他专业本科以上学历具有法律专业知识”这一本来就已经不高的起点进行 “地区变通”,弱化取得法律执业资格起码的学历要求。如此造成的结果就是大量的法律大专生、非法律专业本科毕业生(所谓“具有法律专业知识”缺乏起码的量化要求,几乎成了“毫无意义的空气震动”)充斥律师队伍;同时,由于律师行业的相对工薪阶层而言的自由和高收入(当然也是高风险),连年来吸引了不少法学(律)硕士博士以及法学专家教授(兼职为主)加入其中。
按照教育规律,“因材施教”乃是教育效率和合理性基本要求。不分对象、不顾现实,一律同样的学时、同样的内容、同样的培训方式,似乎是犯了毛泽东同志在《反对党八股》一文中早就批评过的“无的放矢、不看对象”的错误,其结果必然造成培训对象上“培训过度”和“培训不足”缺陷并存,不符合教育学基本规律。
3、 有关“凡未经刑事辩护业务培训并取得结业证书的律师,不得出庭辩护”
等刑事辩护培训内容实际上以抽象行政行为的方式剥夺了律师的刑事案件辩护权,违反《中华人民共和国律师法》有关律师可以“接受刑事案件犯罪嫌疑人的聘请,为其提供法律咨询,代理申诉、控告,申请取保候审,接受犯罪嫌疑人、被告人的委托或者人民法院的指定,担任辩护人”、“律师依法执业受法律保护”的规定,侵犯了律师的依法执业权。
注意到修正后的1997年1月1日《中华人民共和国刑事诉讼法》实施后,律师执业当中极有可能会遭致公、检不配合甚至职业报复的历史背景,也许司法部当时确实是出于对律师的一片关爱之心而有此规定,从情理也可以理解。果真如此,则乃是司法部针对律师执业当中极有可能会遭致公、检不配合甚至职业报复这一顽症开错了药方。以抽象的侵犯律师依法执业权的违法行政规定来对付司法机关在律师执业过程中而进行的具体的侵害律师执业权的行为,不仅让律师执业权遭受了双重的侵害,而且付出十分沉重的法治上的代价。
4、 所谓建立律师培训登录制度、参加规定课时的培训作为律师注册的前提条
件之一的做法,尽管符合行政效率原则,有其合理之处,且有司法部部门规章可资参考,但法律依据不足。
司法行政权作为行政权的一种,是“法无明文规定即不可为之”的公权力;而与其相对应,律师执业权则是属于私权利之列,“法无明文规定即不受限制”。
《中华人民共和国律师法》对公民取得律师执业权的积极要件乃是“拥护中华人民共和国宪法并具有律师资格;在律师事务所实习满一年;品行良好”;消极要件主要是“无民事行为能力或者限制民事行为能力的;受过刑事处罚的,但过失犯罪的除外;被开除公职或者被吊销律师执业证书的。” 以及“国家机关的现职工作人员不得兼任执业律师;律师担任各级人民代表大会常务委员会组成人员期间,不得执业”。 除此之外,非有违法及违反职业道德与执业纪律并受停止执业、吊销律师执业证书之处罚者,已经取得律师执业证书的,其执业权利不应受到法外限制。
尽管《中华人民共和国律师法》明确“国务院司法行政部门依照本法对律师、律师事务所和律师协会进行监督、指导”,但是,这种“指导、监督”权力必须以法律为界限。换言之,离开律师法的规定设置律师执业证书注册制度以及实行参加规定课时的培训作为律师注册的前提条件之一、未经注册的律师执业证书无效的做法实际上背离了律师法有关律师执业消极条件的规定,在限制了律师执业权的同时为司法行政部门自我扩权创造了条件。因此,尽管这种做法客观上很符合行政管理上的效率原则,有其合理之处,但严格说来这种没有法律根据、自我扩权的规章本身的合法性就令人怀疑,其法律依据并不充足。
5、 忽视了律师学历的差别而规定的学历课时认可制度缺乏公平,不分学历状
况而笼统规定“律师参加境外培训和学历教育,亦可视为完成了本年度业务培训的课时”实际上是促成了低学历免律师业务培训的做法。
按照现行的法律规定,取得法律职业资格的起码学历一般应为本科学历,2002年1月30日司法部《关于进一步推动律师工作改革的若干意见》也要求“力争到2006年底除个别地区外,使45岁以下的律师,全部达到大学本科以上的学历”,可见达到本科学历乃是法律要求、大势所趋。在此情况下,如果将为“本科达标”而进行的学历教育的课时“视为完成了本年度业务培训的课时”,则显然是相对加重了已经达到本科,甚至法律本科、硕士、博士学历的律师的培训负担,减轻的恰恰是应该加强培训的大专学历者的培训义务,如此“鞭打快牛”式的“反向免培训”的做法,忽视了对谁更该加强律师业务培训、对谁更应该减少或者免除常规的律师业务培训这一显而易见的道理,不仅极不合理,而且似乎也与律师业务培训的宗旨背道而驰。
6、尽管国家统一司法考试初步消除了律师、法官、检察官三者在职业资格准入上的法律障碍,但在业务培训上依然是各自为政、自我封闭,不利于“法律职业共同体”的形成和我国司法改革的深化。
三、 完善现行律师业务培训制度的几点构想
根据上述分析,结合我国律师师法的有关规定,并参照“司法行政机关宏观管理下的律师协会行业管理体制”这一律师管理体制改革的目标,以及目前据称已至攻坚阶段的我国司法改革目标的实现,对完善我国律师业务培训制度提出如下构想,供律师协会与司法行政部门决策时参考。
1、 根据现行律师法的有关“组织律师业务培训”系律师协会的职责的规定,
在司法部的指导、监督下,由中华全国律师协会按照其章程的规定,制定《律师业务培训指引》或类似行业规范,指导各级律师协会依法组织律师业务培训工作,改变现行的《关于进一步规范律师培训工作的通知》言不正、名不顺的尴尬局面。
2、 针对律师学历、资历、水平的不同,科学、合理、实事求是地分级规定每
年律师应完成的培训学时和培训方式。
其中,对于没有取得法律专业本科学历或其他专业硕士学历的律师(可称为“重点培训人员”),应加大培训学时,每年至少应为96学时(即平均每月培训不少于一个工作日)且培训方式应为短期培训班、专题讲座等非自学方式,切实提高律师业务素质。
对于其余人员,即达到法律本科但未获得相应的法学教研或律师系列副高级以上职称者,或虽有硕士以上学位但不具备法律系列本科以上学历者(可称为“一般培训人员”),每年的律师业务培训学时至少应为目前的40学时且培训方式应为短期培训班、专题讲座等非自学方式。
对于已经取得法学(律)硕士以上学历、或法律本科以上学历且获得法学教研或律师系列副高级以上职称者(可称为“实质免培训人员”),可不要求具体学时、不限定具体的培训方式,允许其自学。之所以称只为“实质免培训人员”而不实行免培训制度,乃是至少在理念上应体现“发展继续教育,构建终生教育体系”的要求。
3、 对于不具备国民序列教育本科学历(主要是部分不具备本科学历的“重点
培训人员”)、为达到国民教育序列本科学历而参加学历教育学习的律师,不得抵扣律师业务培训学时。
对于其他类型的学历教育,如已经具备非法律专业本科以上学历、参加非法律专业本科以上学历教育的学时,同样不得抵扣律师业务培训学时,理由是首先应当鼓励律师取得法律系列本科以上的学历。
此外,如已经具备法律本科学历、攻读硕士以上学位的;或具备非法律专业本科学历、参加法律(学)专业本科以上学历学习的,可以根据有效学习单上记载的学时,抵扣律师业务培训学时。
4、 在没有法律规定的情况下,不得在律师业务培训的规定中违法限制律师的
违反外汇管理处罚施行细则(附英文)
国家外管局
违反外汇管理处罚施行细则(附英文)
(一九八五年三月二十五日国务院批准)
第一条 为贯彻执行《中华人民共和国外汇管理暂行条例》第三十一条、第三十三条的规定,特制定本细则。
第二条 下列行为,都属于套汇:
一、除经国家外汇管理局及其分局(以下简称管汇机关)批准或者国家另有规定者外,以人民币偿付应当以外汇支付的进口货款或者其他款项的;
二、境内机构以人民币为驻外机构、外国驻华机构、侨资企业、外资企业、中外合资经营企业、短期入境个人支付其在国内的各种费用,由对方付给外汇,没有卖给国家的;
三、驻外机构使用其在中国境内的人民币为他人支付各种费用,由对方付给外汇的;
四、外国驻华机构、侨资企业、外资企业、中外合资经营企业及其人员,以人民币为他人支付各种费用,而由他人以外汇或者其他相类似的形式偿还的;
五、未经管汇机关批准,派往外国或者港澳等地区的代表团、工作组及其人员,将出国经费或者从事各项业务活动所得购买物品或者移作他用,以人民币偿还的;
六、境内机构以出口收入或者其他收入的外汇抵偿进口物品费用或其他支出的。
第三条 对套汇者区别情况作如下处罚:
一、套入方所得外汇尚未使用的,责令其限期调回,强制收兑;套入方所得外汇已被使用,责令其补交等值的外汇,强制收兑,或者扣减相应的外汇额度;套入方所得外汇已被使用而无外汇归还的,补交所购物品的国内外差价;以上并可另按套汇金额处以10%至30%的罚款。
二、对套出外汇方,根据情节轻重,按套汇金额处以10%至30%的罚款。
第四条 下列行为,都属于逃汇:
一、未经管汇机关批准,境内机构将收入的外汇私自保存、使用、存放境外的;
违反《对侨资企业、外资企业、中外合资企业外汇管理施行细则》的规定,将收入的外汇存放境外的;
二、境内机构、侨资企业、外资企业、中外合资经营企业以低报出口货价、佣金等手段少报外汇收入,或者以高报进口货价、费用、佣金等手段多报外汇支出,将隐匿的外汇私自保存或者存放境外的;
三、驻外机构以及在境外设立的中外合资经营企业的中方投资者,不按国家规定将应当调回的利润留在当地营运或者移作他用的;
四、除经管汇机关批准,派往外国或者港澳等地区的代表团、工作组及其人员不按各该专项计划使用外汇,将出国经费或者从事各项业务活动所得外汇存放境外或者移作他用的。
第五条 对逃汇者区别情况作如下处罚:
一、逃汇所得外汇尚未使用的,责令违法者或者其主管部门限期调回,强制收兑,或者没收全部或者部分外汇,并可另按逃汇金额处以10%至50%的罚款;
二、逃汇所得外汇已被使用的,责令其补交等值的外汇,强制收兑或者予以没收,并可另按逃汇金额处以10%至50%的罚款;
三、逃汇所得动汇已被使用而无外汇归还的,按逃汇金额处以30%以上、等值以下的罚款,或者没收非法所得,或者罚、没并处。
第六条 下列行为,都属于扰乱金融:
一、未经国家外汇管理局批准经营外汇业务,或者超越批准经营范围扩大外汇业务的;
二、未经国务院或者国务院授权机关批准,境内机构在国内外发行具有外汇价值的有价证券,接受外国或者港澳等地区的银行、企业贷款的;
三、除经管汇机关批准,境内机构以外汇计价结算、借贷、转让、质押,或者以外币流通、使用的;
四、私自买卖外汇、变相买卖外汇,或者超过国家外汇管理局规定价格买卖外汇,以及倒买倒卖外汇的。
第七条 对犯有前条违法行为者区别情况作如下处罚:
一、对犯有第一项违法行为者,分别责令其停止经营外汇业务、停止超越批准经营范围的外汇业务,或者没收非法所得,或者处以非法经营额等值以下的罚款,或者罚、没并处;
二、对犯有第二项违法行为者,不准其发行新的债券或者接受新的贷款,并可按其债券或者贷款金额处以20%以下罚款;
三、对犯有第三、四项违法行为者,强制收兑违法外汇,没收非法所得,或者处以违法外汇等值以下的罚款,或者罚、没并处。
第八条 对第二、四、六条未作具体规定的其他违反外汇管理的违法行为,可以区别情况,参照本细则最相类似的条款处理。
第九条 违反外汇管理,情节轻微,或者主动向管汇机关坦白交待违法事实、真诚悔改、检举立功的,可以从宽处理直至免予处罚;抗拒检查、掩盖违法事实、屡教不改的,按照本细则第三、五、七条的规定从重处罚。
第十条 套汇、逃汇、扰乱金融,情节严重的案件,应当移送司法机关依法处理。
第十一条 管汇机关查处违反外汇管理案件,为了防止违法单位转移资金,可以通知银行冻结其违法款项,冻结时间不超过两个月,届期自动解冻。遇有特殊情况需要适当延长冻结时间的,管汇机关应当重新办理通知手续。对于拒不缴付罚没款项的违法单位,管汇机关可以从其开户银
行帐户中强制扣款。
第十二条 管汇机关处理违反外汇管理案件,应当制发处罚决定书,通知被查处的单位或者个人。当事人对管汇机关的处罚决定不服,可以在接到处罚决定书之日起的十五日内,向上一级管汇机关申请复议;当事人不服复议决定的,可以向当地人民法院起诉。
第十三条 违反外汇管理的案件,由管汇机关处理;通过货物、行李物品、邮递物品、运输工具进出国境,从而具有走私性质的套汇、逃汇案件,由海关处理;利用外汇、外币票证进行投机倒把的案件,由工商行政管理机关处理。
第十四条 经济特区违反外汇管理处罚办法,由广东省、福建省人民政府参照本细则另行制定。
第十五条 本细则由国家外汇管理局负责解释。
第十六条 本细则自发布之日起施行。(附英文)
IMPLEMENTING RULES ON PUNISHMENT OF VIOLATION OF FOREIGN EXCHANGECONTROL
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
IMPLEMENTING RULES ON PUNISHMENT OF VIOLATION OF FOREIGN EXCHANGE
CONTROL
(Approved by the State Council on March 5, 1985, promulgated by
the State Administration of Foreign Exchange Control on April 5, 1985)
Article 1
These Rules are formulated for the implementation of Articles 31 and 33 of
the Interim Regulations for Foreign Exchange Control of the People's
Republic of China.
Article 2
The following acts shall be regarded as unlawful procurement of foreign
exchange:
1) paying in Renminbi for imports or other items that ought to be paid in
foreign exchange, unless otherwise approved by the State Administration of
Foreign Exchange Control or its branch offices
(hereinafter referred to as foreign exchange control agencies), or
stipulated by the State;
2) paying in Renminbi by organizations within territory to defray the
expenses in China for organizations stationed abroad, foreign
organizations stationed in China, enterprises with overseas Chinese
capital, foreign-capital enterprises, Chinese-foreign equity joint
ventures, and individuals coming to China for a short stay, in return for
reimbursement in foreign exchange which is not sold to the State;
3) paying in Renminbi by organizations stationed abroad to defray expenses
with their own Renminbi in China for others in return for reimbursement in
foreign exchange;
4) paying in Renminbi by foreign organizations stationed in China,
enterprises with overseas Chinese capital, foreign-capital enterprises,
Chinese-foreign equity joint ventures and the personnel thereof to defray
expenses for others in return for reimbursement in foreign exchange or in
other forms of a similar nature;
5) making repayments without approval of foreign exchange control agencies
in Renminbi by delegations, working groups or members thereof sent abroad
or to Hong Kong, Macao and other regions, who put to other uses or spend
on purchase of goods the foreign exchange allocated for the mission or
that earned from their various kinds of business operations;
6) offsetting export proceeds or other foreign exchange earnings against
import costs or other expenditures by organizations within territory.
Article 3
Unlawful procurement of foreign exchange shall be penalized according to
different circumstances in the following ways:
1) If the foreign exchange unlawfully procured remains unused, the party
procuring the foreign exchange from others shall be ordered to repatriate
the foreign exchange within a prescribed time limit for a compulsory sale
to the State. If it has been used up, the party concerned must repay it
either by a compulsory sale to the State of an equal amount of foreign
exchange or by a deduction of the amount from the foreign exchange quota
allotted to the said party. In case the said party has no foreign exchange
to repay, the difference between the domestic and international market
prices of the goods purchased with the unlawfully procured exchange shall
be paid. In addition, a fine equivalent to 10-30% of the amount of the
foreign exchange unlawfully procured may be imposed.
2) The party procuring foreign exchange for others shall be fined a sum
equivalent to 10-30% of the amount of the foreign exchange illegally
procured in light of the seriousness of the case.
Article 4
The following acts shall be regarded as evasion of foreign exchange
control:
1) retaining, spending or depositing foreign exchange earnings abroad by
organizations within territory without prior approval of the exchange
control agencies; depositing foreign exchange earnings abroad in violation
of the Regulations for Foreign Exchange Control Relating to Enterprises
with Overseas Chinese Capital, Foreign-capital Enterprises and
Chinese-foreign Equity Joint Ventures;
2) retaining or depositing abroad without authorization the foreign
exchange which is concealed by organizations within territory, enterprises
with overseas Chinese capital, foreign-capital enterprises and Chinese-
foreign equity joint ventures and which is acquired through such means as
reporting less foreign exchange receipts by understating the export prices
or commissions, or reporting more foreign exchange expenditures by
overstating the import prices, expenses and commissions.
3) retaining for business operations abroad or putting to other uses the
profits that ought to be repatriated according to State provisions, by
organizations stationed abroad or by Chinese joint venturers in Chinese-
foreign equity joint ventures established abroad;
4) failing to use the foreign exchange allocated for the mission or earned
from various kinds of business operations according to plans and
depositing it abroad or putting it to other uses, without otherwise
approval of the foreign exchange control agencies, by delegations or
working groups and the members thereof sent abroad or to Hong Kong, Macao
and other regions.
Article 5
Evasion of foreign exchange control shall be penalized according to
different circumstances in the following ways:
1) if the foreign exchange acquired through evasion still remains unused,
the evader or the involved competent department shall be ordered to
repatriate it within a prescribed time limit for compulsory sale to the
State; or the full amount of foreign exchange or part thereof shall be
confiscated. In addition, a fine equivalent to 10-50% of the amount of the
foreign exchange evaded may be imposed;
2) if the foreign exchange acquired through evasion has been used up, the
evader shall be ordered to repay an equal amount of foreign exchange which
shall be sold to the State or confiscated. In addition, a fine equivalent
to 10-50% of the amount of the foreign exchange evaded may be imposed;
3) if the evader has no foreign exchange to repay, a fine equivalent to no
less than 30% of but no more than the full amount of the foreign exchange
acquired through evasion shall be imposed, or the illegal gains therefrom
shall be confiscated, or the fine and confiscation shall be imposed
concurrently.
Article 6
The following acts shall be regarded as disrupting financial stability:
1) engaging in foreign exchange business without prior approval of the
State Administration of Foreign Exchange Control or on a scale beyond the
approved business scope;
2) issuing securities denominated in foreign currencies in China or
abroad, or accepting loans offered by banks or enterprises in foreign
countries or in Hong Kong, Macao and other regions by organizations within
territory without prior approval of the State Council or the departments
authorized by the State Council;
3) using foreign currency by organizations within territory, without
otherwise approval of the foreign exchange control agencies, as the
monetary unit in settling accounts, borrowing or lending, making transfers
or obtaining mortgages, or as a medium of exchange in business
transactions;
4) buying and selling foreign exchange without authorization or in any
disguised form, or at rates above those set by the State Administration of
Foreign Exchange Control, or profiteering in buying and selling foreign
exchange.
Article 7
The following penalties shall be imposed on the offenders involved in the
cases listed in the preceding Article according to different
circumstances:
1) For cases' referred to in paragraph (1), the offenders shall be ordered
to cease their foreign exchange business or operations that exceed the
approved scope, or their unlawful earnings shall be confiscated or a fine
up to but no more than the full amount of the illegal operating fund shall
be imposed, or the fine and confiscation shall be imposed concurrently.
2) For cases referred to in paragraph (2), the offenders shall be ordered
not to issue new securities or not to accept new loans, and may also be
fined a sum up to but no more than 20% of the securities issued or loans
accepted.
3) For cases referred to in paragraphs (3) and (4), the offenders shall be
ordered to sell their unlawfully transacted foreign exchange to the State
and their illegal gains shall be confiscated, or a fine up to but no more
than the full amount of the foreign exchange illegally transacted shall be
imposed, or the fine and confiscation shall be imposed concurrently.
Article 8
For other acts in violation of foreign exchange control not specifically
listed in Articles 2, 4 and 6, penalties may be meted out according to the
seriousness of the case with reference to the most relevant provisions
provided in these Rules.
Article 9
In cases of minor offences, the offenders who voluntarily confess to their
unlawful activities before the foreign exchange control agencies, show
sincere repentance and demonstrate meritorious conduct by informing
against other offenders shall be dealt with leniently or exempt from
punishment. Offenders who refuse to confess, try to cover up their
offences or refuse to mend their ways despite repeated admonition shall be
punished severely in accordance with Articles 3, 5 and 7 of these Rules.
Article 10
Serious cases of unlawful procurement of foreign exchange, evasion of
foreign exchange control or disrupting financial stability shall be
transferred to judicial organs for handling according to law.
Article 11
To prevent violators from transferring their unlawfully acquired funds
when violations of foreign exchange control are under investigation, the
foreign exchange control agencies may ask the banks to freeze the funds in
question for a period of no more than two months. Upon expiry, the funds
shall be unfrozen automatically. If an extension of the period is
necessary under special circumstances, the relevant foreign exchange
control agency shall renew the notification to the bank concerned. In case
a violator refuses to pay the fine or the sum to be confiscated, the
relevant foreign exchange control agency may enforce the penalty by
deducting the sum from the violator's bank account.
Article 12
In cases where the foreign exchange control agencies impose penalties,
notices of penalty decision shall be served to the units or individuals
being penalized. If the party concerned does not agree with the penalty
decision, it(he) may appeal to the foreign exchange control agency at the
next higher level for reconsideration within 15 days as of the date of
receipt of the notice. If the party concerned still does not agree with
the decision of reconsideration, it(he) may bring a suit in the local
people's court.
Article 13
Cases involving violation of foreign exchange control regulations shall be
handled by the foreign exchange control agencies; cases involving unlawful
procurement of foreign exchange and evasion of foreign exchange control
that are of the nature of smuggling by means of illegally getting the
goods into or out of the country as part of luggage and personal effects,
by post or other means of transport, shall be handled by the Customs; and
cases involving the use of foreign exchange or payment instruments in
foreign currency for speculation and profiteering shall be handled by the
administrative departments for industry and commerce.
Article 14
Measures for penalizing violations of foreign exchange control in the
special economic zones shall be separately formulated by the Governments
of Guangdong and Fujian Provinces by taking reference to these Rules.
Article 15
The State Administration of Foreign Exchange Control shall be responsible
for interpreting these Rules.
Article 16
These Rules shall come into force as of the date of promulgation.