| Interim Provisions on the Administration of the Subsidiaries of Securities Investment Fund Management Companies | | 证券投资基金管理公司子公司管理暂行规定 |
| (Issued by the China securities Regulatory Commission on October 29, 2012 and revised according to the Decision on Amending Relevant Provisions to Implement the Reform of the Registration System for Registered Capital, as issued by Announcement No. 20 of the China securities Regulatory Commission on July 31, 2015) | | （2012年10月29日中国证券监督管理委员会公布，根据2015年7月31日中国证券监督管理委员会第20号公告《关于落实注册资本登记制度改革修改相关规定的决定》修订 ） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For purposes of adapting to the specialized operation and management needs of securities investment fund management companies (hereinafter referred to as “fund management companies”), regulating the conduct of the subsidiaries of securities investment fund management companies (hereinafter referred to as “subsidiaries”), and protecting the lawful rights and interests of fund share holders and relevant parties, these Provisions are developed in accordance with the Securities Investment Fund Law, the Company Law, the Measures for the Administration of Securities Investment Fund Management Companies, and other relevant laws and administrative regulations. | | 第一条 为了适应证券投资基金管理公司（以下简称基金管理公司）专业化经营管理的需要，规范证券投资基金管理公司子公司（以下简称子公司）的行为，保护基金份额持有人及相关当事人的合法权益，根据《证券投资基金法》、《公司法》、《证券投资基金管理公司管理办法》和其他有关法律法规，制定本规定。 |
| Article 2 For the purpose of these Provisions, the term “subsidiaries” means limited liability companies formed under the Company Law, controlled by fund management companies, and engaged in the management of assets of specific clients, the sale of funds, and other businesses approved by the China Securities Regulatory Commission (“CSRC”). | | 第二条 本规定所称子公司是指依照《公司法》设立，由基金管理公司控股，经营特定客户资产管理、基金销售以及中国证监会许可的其他业务的有限责任公司。 |
| Article 3 To form subsidiaries, fund management companies shall fully consider their own financial strength and management capability, comprehensively conduct assessment and demonstration, reasonably and prudentially make decisions, and refrain from damaging the interests of fund share holders as a result of the formation of subsidiaries. | | 第三条 基金管理公司设立子公司应当充分考虑自身的财务实力和管理能力，全面评估论证，合理审慎决策，不得因设立子公司损害基金份额持有人的利益。 |
| Article 4 The formation, modification, termination, business activities, supervision and administration, and other matters of subsidiaries shall be governed by relevant laws and regulations. | | 第四条 子公司的设立、变更、终止以及业务活动、监督管理等事项，应当遵守有关法律法规的规定。 |
| Article 5 The CSRC and its local offices shall oversee and regulate subsidiaries and their relevant business activities in accordance with laws and administrative regulations such as the Securities Investment Fund Law and the Company Law, the CSRC provisions, and the principle of prudential supervision. | | 第五条 中国证监会及其派出机构依照《证券投资基金法》、《公司法》等法律、行政法规、中国证监会的规定和审慎监管原则，对子公司及其有关业务活动实施监督管理。 |
| Article 6 The Asset Management Association ofChina(“AMAC”)shall conduct self-disciplinary regulation of subsidiaries and their business activities in accordance with laws, administrative regulations, the CSRC provisions, and the self-regulatory rules. | | 第六条 中国证券投资基金业协会依据法律、行政法规、中国证监会的规定和自律规则，对子公司及其有关业务活动进行自律管理。 |
| | 第二章 子公司的设立 |
| Chapter II Formation of Subsidiaries | | |
| | 第七条 经中国证监会批准，基金管理公司可以设立全资子公司，也可以与其他投资者共同出资设立子公司。 |
| Article 7 With the approval of the CSRC, fund management companies may form wholly-owned subsidiaries or form subsidiaries jointly with other investors. | | 参股子公司的其他投资者应当具备下列条件： |
| To hold equity in a subsidiary, other investors shall meet the following conditions: | | |
| | （一）在技术合作、管理服务、人员培训或者营销渠道等方面具备较强优势； |
| (1) Having relative advantages in aspects such as technical cooperation, management services, personnel training, or marketing channels. | | |
| | （二）有助于子公司健全治理结构、提高竞争能力、促进子公司持续规范发展； |
| (2) Being conducive to improving the governance structure of the subsidiary, enhancing the competitiveness of the subsidiary, and promoting the sustained and compliant development of the subsidiary. | | |
| | （三）最近3年没有因违法违规行为受到重大行政处罚或者刑事处罚； |
| (3) Having not received any major administrative or criminal punishment for any violation of laws or regulations in the last three years. | | |
| | （四）没有因违法违规行为正在被监管机构调查，或者正处于整改期间； |
| (4) Being not under investigation by the regulatory authority for any violation of laws or regulations, or during a rectification period. | | |
| | （五）具有良好的社会信誉，最近3 年在金融监管、税务、工商等部门以及自律管理、商业银行等机构无重大不良记录； |
| (5) Having a good social reputation and having no record of gross violation with the financial regulatory, taxation, industry and commerce and other authorities as well as the self-disciplinary management, commercial banking and other institutions in the last three years. | | |
| | （六）中国证监会规定的其他条件。 |
| (6) Other conditions as set out by the CSRC. | | |
| | 第八条 子公司的股东不得为其他机构或者个人代持子公司的股权，任何机构或者个人不得委托其他机构或者个人代持子公司的股权。 |
| Article 8 The shareholders of a subsidiary shall not hold equity in the subsidiary on behalf of other institutions or individuals. No institutions or individuals may commission other institutions or individuals to hold equity in subsidiaries on behalf of them. | | |
| | 第九条 基金管理公司设立子公司应当以自有资金出资。 |
| Article 9 In the formation of a subsidiary, a fund management company shall make capital contribution with its own funds. | | |
| | 第十条 设立子公司，应当向中国证监会提交下列申请材料： |
| Article 10 To form a subsidiary, the following application materials shall be submitted to the CSRC: | | |
| | （一）各股东对符合参股子公司各项条件及提交申请材料真实、准确、完整、合规的承诺函； |
| (1) A letter of commitment issued by all shareholders, undertaking the satisfaction of all conditions for holding equity in a subsidiary and the veracity, accuracy, integrity and compliance of their application materials. | | |
| | （二）申请报告，内容至少包括设立子公司的目的，子公司的名称、经营范围、设立方案、股东资格条件等，并应由股东签字盖章； |
| (2) An application report, which shall at the minimum contain the formation purpose, name and scope of business of the subsidiary, the formation plan, and the eligibility requirements for shareholders and shall be signed and stamped by shareholders. | | |
| | （三）可行性研究报告，内容至少包括设立子公司的必要性和可行性，股东的基本情况及具备的优势条件，子公司的组织管理架构，子公司的业务发展规划等； |
| (3) A feasibility study report, which shall at the minimum contain the necessity and feasibility of the formation of the subsidiary, the basic information and advantages of shareholders, the organizational structure of the subsidiary, and the business development plan of the subsidiary. | | |
| | （四）各股东设立子公司的决议、决定及发起协议； |
| (4) The resolutions or decisions made by all shareholders regarding the formation of the subsidiary, and the sponsorship agreement. | | |
| | （五）在基金行业任职的自然人股东，其任职机构对该自然人参股子公司出具的无异议函； |
| (5) For each natural person shareholder holding office in the fund industry, a no action letter issued by his or her employer regarding his or her holding equity in the subsidiary. | | |
| | （六）各股东之间的关联关系说明及子公司的股权结构图； |
| (6) An explanation on the affiliation among shareholders and the equity structure chart of the subsidiary. | | |
| | （七）基金管理公司防范与其子公司之间出现风险传递和利益冲突的制度安排； |
| (7) The institutional arrangements made by the fund management company for preventing risk contagion and conflicts of interests with its subsidiaries. | | |
| | （八）子公司拟任高级管理人员的简历（参照证券投资基金行业高级管理人员任职资格申请表填写）、身份证明复印件及基金从业资格证明文件复印件； |
| (8) The resumes of the proposed senior executives of the subsidiary (which shall be filled out by referring to the application form for the office qualification of senior executives in the securities investment fund industry), photocopies of their identity certificates, and photocopies of their certificates of qualification for the fund industry. | | |
| | （九）子公司章程草案； |
| (9) A draft of the bylaws of the subsidiary. | | |
| | （十）子公司的主要管理制度； |
| (10) The main management rules of the subsidiary. | | |
| | （十一）设立子公司准备情况的说明材料，内容至少包括主要业务人员的资格条件和到位情况，办公场所购置、租赁及相关设备购置方案，工商名称预核准情况等； |
| (11) Explanation materials on the preparation for the formation of the subsidiary, which shall at the minimum contain the eligibility requirements of principal business personnel and whether they have held office, plans for purchasing or leasing the premises and for purchasing relevant equipment, and pre-approval of name by the industrial and commercial administration. | | |
| | （十二）基金管理公司出具的不与子公司进行损害基金份额持有人利益或者显失公平的关联交易，经营行为不与子公司存在利益冲突的承诺函，以及其他股东对子公司的持续规范发展提供支持的安排； |
| (12) A letter of commitment issued by the fund management company, undertaking that it will not have any affiliated transaction with the subsidiary that damages the interests of fund share holders or is evidently unfair and that its business conduct will not result in any conflict of interests with the subsidiary, and the arrangements for other shareholders to provide support for the sustained and compliant development of the subsidiary. | | |
| | （十三）律师事务所出具的法律意见书； |
| (13) A written legal opinion issued by a law firm. | | |
| ．．．．．． | | （十四）中国证监会规定的其他文件。
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