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Notice of the China Insurance Regulatory Commission on Strengthening the Supervision of the Portfolio Insurance Asset Management Product Business [Expired]
中国保监会关于加强组合类保险资产管理产品业务监管的通知 [失效]
【法宝引证码】

Notice of the China Insurance Regulatory Commission on Strengthening the Supervision of the Portfolio Insurance Asset Management Product Business 

中国保监会关于加强组合类保险资产管理产品业务监管的通知

(No. 104 [2016] of the China Insurance Regulatory Commission) (保监资金〔2016〕104号)

All insurance asset management companies and pension companies: 各保险资产管理公司、养老保险公司:
For the purposes of strengthening the supervision of the insurance asset management product business, regulating market conduct, and reinforcing risk management and control, in accordance with the Interim Measures for the Administration of the Utilization of Insurance Funds, the Notice on Issues concerning the Pilot Program of the Asset Management Product Business of Insurance Asset Management Companies (No. 124 [2013], CIRC, hereinafter referred to as the “Pilot Program Notice”), and other provisions, the China Insurance Regulatory Commission (“CIRC”) is standardizing the portfolio insurance asset management product (i.e. insurance asset management products formed in accordance with the Pilot Program Notice, hereinafter referred to as the “products”) business. You are hereby notified of the specific matters as follows: 为加强保险资产管理产品业务监管,规范市场行为,强化风险管控,根据《保险资金运用管理暂行办法》《关于保险资产管理公司开展资产管理产品业务试点有关问题的通知》(保监资金〔2013〕124号,以下简称《试点通知》)等规定,我会将对组合类保险资产管理产品(即根据《试点通知》设立的保险资产管理产品,以下简称产品)业务进行规范。现就具体事项通知如下:
I. Standards for managers   一、管理人规范要求
A manager that applies for conducting the product business shall, in addition to meeting the conditions as set forth in the Pilot Program Notice, meet the following standards: 申请开展产品业务的管理人,除具备《试点通知》规定的条件外,还应符合以下规范要求:
(1) It has been one year or more since it obtained the qualification to manage insurance funds as a trustee. (一)取得保险资金受托管理资质一年以上。
(2) It has set up a specialized product business management department, and the department has five or more professionals with the relevant experience in product research, development, and design, investment management, legal compliance, and risk management, among others. (二)设立专门的产品业务管理部门,且该部门需配备具有产品研发设计、投资管理、法律合规、风险管理等相关经验的专业人员不少5名。
(3) If the CIRC has set forth any investment management capacity requirements for the underlying assets in which the products issued by the manager invest, it shall have the corresponding capacity. (三)管理人发行产品,保监会对其产品投资的基础资产有投资管理能力要求的,应当具备相应能力。
(4) The manager shall, according to the regulatory requirements, submit a third-party special audit report on its internal control over utilization of insurance funds in the prior year, together with an overhaul report if any relevant issues are exposed in the audit report. (四)管理人需按监管要求提交上年度保险资金运用内部控制第三方专项审计报告,如审计报告揭示相关问题,应一并提交整改报告。
(5) It is not under official investigation by the regulatory or judicial authority for any violation of laws and regulations or pending an overhaul; and it has not received any administrative or criminal punishment for any major violation of laws and regulations or major dishonest behavior in the last three years. (五)没有因违法违规行为正在被监管机构立案调查、司法机关立案侦查,或者正处于整改期间;且最近三年内没有因重大违法违规行为、重大失信行为受到行政处罚或者刑事处罚。
II. Scope of underlying assets   二、基础资产范围
The scope of underlying assets in which the products invest shall be strictly governed by the Pilot Program Notice. If the products are pooled fund products or the funds of the products involve insurance funds, the specific varieties of investment instruments for the products shall, in compliance with the provisions on the utilization of insurance funds, be limited to the following:
......
 产品投资的基础范围应当严格按照《试点通知》执行。产品为集合产品或产品资金涉及保险资金的,产品具体投资品种应当遵循保险资金运用相关规定,且限于以下投资范围:
......

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