| Notice of the General Office of the Ministry of Human Resources and Social Security on Issues concerning Strengthening the Administration of Pension Products | | 人力资源社会保障部办公厅关于加强养老金产品管理有关问题的通知 |
| (No. 85 [2019] of the General Office of the Ministry of Human Resources and Social Security) | | （人社厅发〔2019〕85号） |
| The human resources and social security departments (bureaus) of all provinces, autonomous regions, municipalities directly under the Central Government, and Xinjiang Production and Construction Corps; the human resources and social security bureaus of all cities under separate state planning; and all enterprise annuity fund investment managers and custodians: | | 各省、自治区、直辖市及新疆生产建设兵团人力资源社会保障厅（局），各计划单列市人力资源社会保障局，各企业年金基金投资管理人、托管人： |
| For the purpose of further strengthening the administration of pension products, you are hereby notified of the relevant issues as follows in accordance with the Measures for the Administration of Enterprise Annuity Funds (Order No. 11 of the MOHRSS), the Notice of the Ministry of Human Resources and Social Security and the Ministry of Finance on Issuing the Interim Measures for the Administration of Occupational Annuity Funds (No. 92 [2016], MOHRSS), and the Notice of the Ministry of Human Resources and Social Security, the China Banking Regulatory Commission, the China Securities Regulatory Commission, and the China Insurance Regulatory Commission on Issues concerning Pension Products Invested by Enterprise Annuities (Order No. 24 [2013], MOHRSS) (hereinafter referred to as the “Document (No. 24 [2013], MOHRSS)”): | | 为进一步加强养老金产品管理，根据《企业年金基金管理办法》（人力资源社会保障部令第11号）、《人力资源社会保障部 财政部关于印发职业年金基金管理暂行办法的通知》（人社部发〔2016〕92号）和《人力资源社会保障部 银监会 证监会 保监会关于企业年金养老金产品有关问题的通知》（人社部发〔2013〕24号）等规定，现就有关问题通知如下： |
| I. The Ministry of Human Resources and Social Security shall supervise and administer pension products in accordance with laws and regulations and under the principle of prudential regulation. An investment manager's application for launching or changing a pension product shall be governed by the requirements of this Notice. | | 一、人力资源社会保障部依照法律法规和审慎监管原则，对养老金产品实施监督管理。投资管理人申请发行、变更养老金产品，按本通知要求执行。 |
| II. An investment manager may directly sell pension products to enterprise annuity funds, occupational pension funds, and other qualified investors recognized by the Ministry of Human Resources and Social Security. A same pension product may be sold to various qualified investors. An investment manager shall constantly improve the investment efficiency by enlarging the administration scale of a pension product already in operation. | | 二、投资管理人可以面向企业年金基金、职业年金基金，以及其他经人力资源社会保障部认可的合格投资者定向销售养老金产品。同一养老金产品可以面向不同合格投资者销售。投资管理人应通过扩大已运作养老金产品的管理规模，不断提高投资效率。 |
| The investment manager of the investment portfolio of enterprise annuity plan and occupational annuity plan may invest the entrusted investment assets of the investment portfolio in pension products. The legal person trustee may directly allocate the fund assets of the enterprise annuity plan and the occupational annuity plan under trusteeship administration to pension products. | | 企业年金计划、职业年金计划投资组合的投资管理人，可以将投资组合的委托投资资产投资于养老金产品。法人受托机构可以将受托管理的企业年金计划、职业年金计划基金资产，直接分配给养老金产品。 |
| III. When applying to the Ministry of Human Resource and Social Security for recordation of a pension product, the investment manager shall submit the following materials: | | 三、投资管理人向人力资源社会保障部申请备案养老金产品，应报送下列材料： |
| 1. a Letter for Recordation of the Pension Product (see Annex 1); | | （一）养老金产品备案函（见附件1）； |
| 2. a Letter of Commitment (see Annex 2); | | （二）承诺书（见附件2）； |
| 3. a Recordation Explanation of the Pension Product (see Annex 3); | | （三）养老金产品备案说明（见附件3）； |
| 4. a Table of Basic Elements of the Pension Products (see Annex 4); | | （四）养老金产品基本要素表（见附件4）； |
| 5. a Contract for the Investment Management of the Pension Product; | | （五）养老金产品投资管理合同； |
| 6. an Investment Instructions for the Pension Product; | | （六）养老金产品投资说明书； |
| 7. a Custody Contract for the Pension Product; | | （七）养老金产品托管合同； |
| 8. Business Rules on Registration (where another agency is entrusted with acting as the registrant, the entrusted agency shall submit an agency agreement); and | | （八）注册登记业务规则（委托其他机构担任注册登记人的，应当提交委托代理协议书）； |
| 9. Other materials required to be submitted. | | （九）其他需要提供的材料。 |
| IV. Where any of the changes occurs to a pension product as listed in paragraph 5 of Article 3 of the Document (No. 24 [2013], MOHRSS) and the investment manager and the custodian have negotiated and agreed on the proposed change of the pension product, the investment manager shall notify the shareholders and then apply to the Ministry of Human Resources and Social Security for recordation. The following materials shall be provided for recordation: | | 四、发生人社部发〔2013〕24号文第三条第（五）款所列示的养老金产品变更情形，且投资管理人与托管人协商一致拟变更养老金产品的，应在告知份额持有人后，向人力资源社会保障部申请备案。备案时应提供下列材料： |
| 1. a Letter for Recordation of Change of the Pension Product (see Annex 5); | | （一）养老金产品变更备案函（见附件5）； |
| 2. an Explanation for Change of the Pension Product (see Annex 6); | | （二）养老金产品变更内容说明（见附件6）； |
| 3. a Comparison Table of Change of the Pension Product (see Annex 7); | | （三）养老金产品变更内容对照表（见附件7）； |
4. the revised Contract for the Investment Management of the Pension Product or supplementary contract;
．．．．．． | | （四）修改后的养老金产品投资管理合同或补充合同；
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