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Measures for the Administration of Disclosure of Information on Publicly Offered Securities Investment Funds [Effective]
公开募集证券投资基金信息披露管理办法 [现行有效]
【法宝引证码】

Order of the China Securities Regulatory Commission 

中国证券监督管理委员会令

(No. 158) (第158号)

The Measures for the Administration of Disclosure of Information on Publicly Offered Securities Investment Funds, as deliberated and adopted at the 2nd executive meeting of the China Securities Regulatory Commission in 2019, are hereby issued, and shall come into force on September 1, 2019. 《公开募集证券投资基金信息披露管理办法》已经中国证券监督管理委员会2019年第2次委务会审议通过,现予公布,自2019年9月1日起施行。
Chairman of the China Securities Regulatory Commission: Yi Huiman 中国证券监督管理委员会主席:易会满
July 26, 2019 2019年7月26日
Measures for the Administration of Disclosure of Information on Publicly Offered Securities Investment Funds 公开募集证券投资基金信息披露管理办法
Chapter I General Provisions 

第一章 总则

Article 1 These Measures are developed in accordance with the Securities Investment Fund Law (hereinafter referred to as the “Fund Law”) for the purposes of regulating the disclosure of information on publicly offered securities investment funds (hereinafter referred to as “funds”), and protecting the lawful rights and interests of investors and relevant parties.   第一条 为规范公开募集证券投资基金(以下简称基金)信息披露活动,保护投资者及相关当事人的合法权益,根据《证券投资基金法》(以下简称《基金法》),制定本办法。
Article 2 The parties with information disclosure obligations shall proceed from protecting the interests of fund share holders, disclose fund information in accordance with laws, administrative regulations and the provisions of the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”), and guarantee that the information is disclosed in a truthful, accurate, complete, timely, concise and accessible manner. The parties with information disclosure obligations include the fund manager, fund custodian, fund share holders who convene the meeting of fund share holders, their routine bodies and other natural persons, legal persons and unincorporated organizations prescribed by laws, administrative regulations and the CSRC.   第二条 基金信息披露义务人应当以保护基金份额持有人利益为根本出发点,按照法律、行政法规和中国证券监督管理委员会(以下简称中国证监会)的规定披露基金信息,并保证所披露信息的真实性、准确性、完整性、及时性、简明性和易得性。基金信息披露义务人包括基金管理人、基金托管人、召集基金份额持有人大会的基金份额持有人及其日常机构等法律、行政法规和中国证监会规定的自然人、法人和非法人组织。
Article 3 The parties with information disclosure obligations shall, within the time limit prescribed by the CSRC, disclose the fund information that shall be disclosed through such media as national newspapers and periodicals designated by the CSRC (hereinafter referred to as “designated newspapers and periodicals”) and designated Internet websites (hereinafter referred to as “designated websites”), and ensure that investors can consult or copy the information disclosed to the public according to the time and methods agreed upon in the fund contract.   第三条 基金信息披露义务人应当在中国证监会规定时间内,将应予披露的基金信息通过中国证监会指定的全国性报刊(以下简称指定报刊)及指定互联网网站(以下简称指定网站)等媒介披露,并保证投资者能够按照基金合同约定的时间和方式查阅或者复制公开披露的信息资料。
Article 4 Where fund shares are listed for trading on the stock exchange, the parties with information disclosure obligations shall also disclose fund information according to the self-disciplinary management rules of the stock exchange.   第四条 基金份额在证券交易所上市交易的,基金信息披露义务人还应当根据证券交易所的自律管理规则披露基金信息。
Article 5 The CSRC and its local offices shall conduct the supervision and administration of fund information disclosure activities in accordance with the law.   第五条 中国证监会及其派出机构依法对基金信息披露活动进行监督管理。
The CSRC shall, according to fund information disclosure activities, develop relevant content and format guidelines and preparation rules, among others, in a timely manner; and directly or authorize designated institutions to give standard replies to technical issues existing in fund information disclosure activities in a timely manner. 中国证监会根据基金信息披露活动情况,及时制定相关的内容与格式准则、编报规则等;根据基金信息披露活动中存在的技术问题,直接做出或授权指定机构做出规范解答。
Stock exchanges and the Asset Management Association of China shall conduct the self-disciplinary administration of fund information disclosure activities in accordance with the law. 证券交易所、中国证券投资基金业协会依法对基金信息披露活动进行自律管理。
Chapter II General Provisions on the Disclosure of Fund Information 

第二章 基金信息披露一般规定

Article 6 The fund information disclosed to the public include:   第六条 公开披露的基金信息包括:
(1) Fund prospectus. (一)基金招募说明书;
(2) Fund contract. (二)基金合同;
(3) Fund custody agreement. (三)基金托管协议;
(4) Summary of fund product materials. (四)基金产品资料概要;
(5) Announcement on the offering of fund shares. (五)基金份额发售公告;
(6) Fund offering information. (六)基金募集情况;
(7) The announcement on the listing and trading of fund shares. (七)基金份额上市交易公告书;
(8) The net asset value of the fund and the net value of fund shares. (八)基金资产净值、基金份额净值;
(9) Fund share subscription and redemption prices. (九)基金份额申购、赎回价格;
(10) Periodical reports of the fund, including annual reports, interim reports and quarterly reports (including quarterly reports on asset portfolios). (十)基金定期报告,包括年度报告、中期报告和季度报告(含资产组合季度报告);
(11) Interim reports. (十一)临时报告;
(12) Resolutions of the fund share holders' meeting. (十二)基金份额持有人大会决议;
(13) Major personnel changes of the special fund custody department of the fund manager and fund custodian. (十三)基金管理人、基金托管人的专门基金托管部门的重大人事变动;
(14) Litigation or arbitration involving fund property, fund management business and fund custody business. (十四)涉及基金财产、基金管理业务、基金托管业务的诉讼或者仲裁;
(15) Clarification announcement. (十五)澄清公告;
(16) Liquidation report. (十六)清算报告;
(17) Other information prescribed by the CSRC. (十七)中国证监会规定的其他信息。
Article 7 The following acts shall be prohibited in the public disclosure of fund information:   第七条 公开披露基金信息,不得有下列行为:
(1) Making false records, misleading statements or material omissions. (一)虚假记载、误导性陈述或者重大遗漏;
(2) Forecasting securities investment performance. (二)对证券投资业绩进行预测;
(3) Promising income or undertaking losses in violation of any provision. (三)违规承诺收益或者承担损失;
(4) Defaming any other fund manager, fund custodian or fund sales agency. (四)诋毁其他基金管理人、基金托管人或者基金销售机构;
(5) Publishing any congratulating, flattering or recommending texts of any natural person, legal person or unincorporated organization. (五)登载任何自然人、法人和非法人组织的祝贺性、恭维性或推荐性文字;
(6) Other acts prohibited by the CSRC. (六)中国证监会禁止的其他行为。
Article 8 A Chinese version shall be adopted for the fund information disclosed to the public. If a foreign language version is adopted at the same time, the parties with information disclosure obligations shall ensure consistency between the content of different versions.   第八条 公开披露的基金信息应当采用中文文本。同时采用外文文本的,基金信息披露义务人应当保证不同文本的内容一致。
In case of any discrepancy between different versions, the Chinese version shall prevail. 不同文本之间发生歧义的,以中文文本为准。
Article 9 Arabic numerals shall be adopted for fund information disclosed to the public. Unless it is otherwise specified, the currency unit shall be RMB.   第九条 公开披露的基金信息应当采用阿拉伯数字;除特别说明外,货币单位应当为人民币元。
Chapter III Disclosure of Fund Offering Information 

第三章 基金募集信息披露

Article 10 After a fund offering application is registered by the CSRC, the fund manager shall publish the announcement on the offering of fund shares, the fund prospectus announcement and the fund contract announcement on designated newspapers and periodicals three days before the offering of fund shares, and publish the announcement on the offering of fund shares, fund offering prospectus, summary of fund product materials, fund contract and fund custody agreement on designated websites. The fund custodian shall, at the same time, publish the fund contract and fund custody agreement on designated websites.   第十条 基金募集申请经中国证监会注册后,基金管理人应当在基金份额发售的三日前,将基金份额发售公告、基金招募说明书提示性公告和基金合同提示性公告登载在指定报刊上,将基金份额发售公告、基金招募说明书、基金产品资料概要、基金合同和基金托管协议登载在指定网站上;基金托管人应当同时将基金合同、基金托管协议登载在指定网站上。
Article 11 A fund manager shall publish the announcement on the entry into force of a fund contract on designated newspapers and periodicals and designated websites on the date immediately after the date when the fund contract comes into force.   第十一条 基金管理人应当在基金合同生效的次日在指定报刊和指定网站上登载基金合同生效公告。
Article 12 After a fund contract comes into force, if the information of the fund prospectus or information in the summary of fund product materials has any significant change, the fund manager shall update the fund prospectus and summary of fund product materials within three working days, and publish it on designated websites.   第十二条 基金合同生效后,基金招募说明书、基金产品资料概要的信息发生重大变更的,基金管理人应当在三个工作日内,更新基金招募说明书和基金产品资料概要,并登载在指定网站上。
Chapter IV Disclosure of Fund Operation Information 

第四章 基金运作信息披露

Article 13 Where fund shares are approved to be listed for trading on the stock exchange, the fund manager shall publish the fund share listing and trading announcement on designated websites, and publish the listing and trading announcement on designated newspapers and periodicals three working days before fund shares are listed for trading.   第十三条 基金份额获准在证券交易所上市交易的,基金管理人应当在基金份额上市交易的三个工作日前,将基金份额上市交易公告书登载在指定网站上,并将上市交易公告书提示性公告登载在指定报刊上。
Article 14 The fund manager shall disclose the information on the net value of a fund according to the following requirements:   第十四条 基金管理人应当按照下列要求披露基金净值信息:
(1) It shall disclose the net asset value of a closed-end fund and net value of fund shares on designated websites at least once each week. (一)至少每周在指定网站披露一次封闭式基金资产净值和基金份额净值;
(2) After the fund contract of an open-end fund comes into force, the fund manager shall, before handling the subscription or redemption of fund shares, disclose the net value of fund shares and accumulative net value of fund shares on designated websites at least once a week. (二)开放式基金的基金合同生效后,在开始办理基金份额申购或者赎回前,至少每周在指定网站披露一次基金份额净值和基金份额累计净值:
(3) For an open-end fund, the net value of fund shares and the accumulative net value of fund shares shall be disclosed through designated websites, the website of the fund sales agency or business outlets no later than the date immediately after each open day. (三)开放式基金在不晚于每个开放日的次日,通过指定网站、基金销售机构网站或者营业网点披露开放日的基金份额净值和基金份额累计净值;
(4) The net value of fund shares and the accumulative net value of fund shares shall be disclosed on designated websites no later than the date immediately after the last day of a half year and a year. (四)在不晚于半年度和年度最后一日的次日,在指定网站披露半年度和年度最后一日的基金份额净值和基金份额累计净值。
Where the disclosure of information on the net value of special fund varieties is otherwise prescribed by the CSRC, such provisions shall prevail. 中国证监会对特殊基金品种的净值信息披露另有规定的,从其规定。
Article 15 A fund manager shall indicate the ways of calculating the price of subscription and redemption of fund shares and the relevant subscription and redemption fee rates in the fund contract, prospectus, and other information disclosure documents of an open-end fund, and guarantee that investors can consult or copy the aforesaid information on the website or business outlets of the fund sales agency.   第十五条 基金管理人应当在开放式基金的基金合同、招募说明书等信息披露文件上载明基金份额申购、赎回价格的计算方式及有关申购、赎回费率,并保证投资者能够在基金销售机构网站或营业网点查阅或者复制前述信息资料。
Article 16 A fund manager shall prepare and complete the annual fund report within three months from the end of each year, publish the annual report on designated websites, and publish the annual report announcement on designated newspapers and periodicals.   第十六条 基金管理人应当在每年结束之日起三个月内,编制完成基金年度报告,将年度报告登载在指定网站上,并将年度报告提示性公告登载在指定报刊上。
The financial accounting report of the annual fund report shall be audited by an accounting firm qualified for conducting the securities and futures-related businesses. 基金年度报告中的财务会计报告应当经过具有证券、期货相关业务资格的会计师事务所审计。
Article 17 A fund manager shall prepare and complete the interim fund report within two months from the ending date of the first half year, publish the interim report on designated websites, and publish the interim report announcement on designated newspapers and periodicals.   第十七条 基金管理人应当在上半年结束之日起两个月内,编制完成基金中期报告,将中期报告登载在指定网站上,并将中期报告提示性公告登载在指定报刊上。
Article 18 A fund manager shall prepare and complete the quarterly fund report within 15 working days after the end of each quarter, publish the quarterly report on designated websites, and publish the quarterly report announcement on designated newspapers and periodicals.   第十八条 基金管理人应当在季度结束之日起十五个工作日内,编制完成基金季度报告,将季度报告登载在指定网站上,并将季度报告提示性公告登载在指定报刊上。
Article 19 Where a fund contract comes into force for less than two months, the fund manager is not required to prepare the quarterly report, interim report or annual report of the current period.   第十九条 基金合同生效不足两个月的,基金管理人可以不编制当期季度报告、中期报告或者年度报告。
Article 20 Where a fund contract is terminated, the fund manager shall, in accordance with the law, organize the liquidation group to liquidate the fund property and prepare a liquidation report. The liquidation report shall be audited by an accounting firm qualified for conducting the securities and futures-related businesses, and a law firm shall issue a legal opinion. The liquidation group shall publish the liquidation report on designated websites and publish the liquidation report announcement on designated newspapers and periodicals.   第二十条 基金合同终止的,基金管理人应当依法组织清算组对基金财产进行清算并作出清算报告。清算报告应当经过具有证券、期货相关业务资格的会计师事务所审计,并由律师事务所出具法律意见书。清算组应当将清算报告登载在指定网站上,并将清算报告提示性公告登载在指定报刊上。
Chapter V Disclosure of Interim Fund Information 

第五章 基金临时信息披露

Article 21 Where a fund has any major event, the relevant party with information disclosure obligations shall prepare an interim report within two days, and publish it on designated newspapers and periodicals and designated websites. For the purposes of the preceding paragraph, “major events” means the following events that may have a significant impact on the rights and interests of fund share holders or the price of fund shares:   第二十一条 基金发生重大事件,有关信息披露义务人应当在两日内编制临时报告书,并登载在指定报刊和指定网站上。前款所称重大事件,是指可能对基金份额持有人权益或者基金份额的价格产生重大影响的下列事件:
(1) Matters on the convening of and decisions made at the fund share holders' meeting. (一)基金份额持有人大会的召开及决定的事项;
(2) The termination of listing and trading, termination of fund contract, and liquidation of the fund. (二)基金终止上市交易、基金合同终止、基金清算;
(3) Raising of more capital for the fund and extending the term of the fund contract. (三)基金扩募、延长基金合同期限;
(4) Change of fund operating mode and fund merger. (四)转换基金运作方式、基金合并;
(5) Replacement of the fund manager, fund custodian, or fund share registration institution, or the fund's change of the accounting firm retained. (五)更换基金管理人、基金托管人、基金份额登记机构,基金改聘会计师事务所;
(6) The fund manager entrusts the fund service agency to handle the fund's share registration, accounting, valuation and other matters on its behalf, and the fund custodian entrusts the fund service agency to handle such matters as the accounting, valuation and review of the fund on its behalf. (六)基金管理人委托基金服务机构代为办理基金的份额登记、核算、估值等事项,基金托管人委托基金服务机构代为办理基金的核算、估值、复核等事项;
(7) Modification of the legal name or domicile of the fund manager or fund custodian. (七)基金管理人、基金托管人的法定名称、住所发生变更;
(8) The fund management company changes the shareholder holding 5% or more shares or changes the actual controller of the company. (八)基金管理公司变更持有百分之五以上股权的股东、变更公司的实际控制人;
(9) Extension of the fund offering period or termination of fund offering in advance. (九)基金募集期延长或提前结束募集;
(10) Change of the fund manager's senior executive, fund manager or the person in charge of the special fund custody department of the fund custodian. (十)基金管理人高级管理人员、基金经理和基金托管人专门基金托管部门负责人发生变动;
(11) Change of directors of the fund manager by more than 50% in the most recent 12 months, and change of main business personnel of the fund manager and special fund custody department of the fund custodian by more than 30% in the most recent 12 months. (十一)基金管理人的董事在最近12个月内变更超过百分之五十,基金管理人、基金托管人专门基金托管部门的主要业务人员在最近12个月内变动超过百分之三十;
(12) Litigation or arbitration involving fund property, fund management business or fund custody business. (十二)涉及基金财产、基金管理业务、基金托管业务的诉讼或仲裁;
(13) The fund manager or its senior executive or fund manager is subject to any major administrative penalty or criminal punishment for the conduct relating to the fund management business, or the fund custodian or the person in charge of its special fund custody department is subject to any major administrative penalty or criminal punishment for the conduct relating to the fund custody business. (十三)基金管理人或其高级管理人员、基金经理因基金管理业务相关行为受到重大行政处罚、刑事处罚,基金托管人或其专门基金托管部门负责人因基金托管业务相关行为受到重大行政处罚、刑事处罚;
(14) The fund manager uses fund property to trade in the securities offered by the fund manager, fund custodian or its controlling shareholder, actual controller or the company with which it has a significant interest relations or the securities underwritten during the underwriting period, or engages in any other significant affiliated transactions, unless it is otherwise provided for by the CSRC. (十四)基金管理人运用基金财产买卖基金管理人、基金托管人及其控股股东、实际控制人或者与其有重大利害关系的公司发行的证券或者承销期内承销的证券,或者从事其他重大关联交易事项,中国证监会另有规定的情形除外;
(15) Fund income distribution matters, except money market funds and other special fund varieties prescribed by the CSRC separately. (十五)基金收益分配事项,货币市场基金等中国证监会另有规定的特殊基金品种除外;
(16) The standards and methods for the calculation and provision of management fee, custody fee, sales service fee, subscription fee, redemption fee and other expenses and fee rates change. (十六)管理费、托管费、销售服务费、申购费、赎回费等费用计提标准、计提方式和费率发生变更;
(17) The errors in the pricing of net value of fund shares reach 0.5% of the net value of fund shares. (十七)基金份额净值计价错误达基金份额净值百分之零点五;
(18) The open-end fund begins to apply for subscription and redemption. (十八)开放式基金开始办理申购、赎回;
(19) The open-end fund has huge redemption and handling is postponed. (十九)开放式基金发生巨额赎回并延期办理;
(20) The open-end fund has undergone huge redemption consecutively and suspends the acceptance of redemption applications or delays the payment of redeemed funds. (二十)开放式基金连续发生巨额赎回并暂停接受赎回申请或延缓支付赎回款项;
(21) The open-end fund suspends the acceptance of subscription or redemption applications or accepts subscription or redemption applications once again. (二十一)开放式基金暂停接受申购、赎回申请或重新接受申购、赎回申请;
(22) Other matters that may have a significant impact on the rights and interests of fund share holders or the price of fund shares in the opinion of the party with fund information disclosure obligations or other matters prescribed by the CSRC. (二十二)基金信息披露义务人认为可能对基金份额持有人权益或者基金份额的价格产生重大影响的其他事项或中国证监会规定的其他事项。
Article 22 Where a fund share holders' meeting is convened, the convener shall announce the time when the fund share holders' meeting is convened, meeting form, matters to be deliberated, rules of procedures, voting methods and other matters on designated newspapers and periodicals and designated websites at least 30 days before the meeting is convened.   第二十二条 召开基金份额持有人大会的,召集人应当至少提前三十日在指定报刊和指定网站上公告基金份额持有人大会的召开时间、会议形式、审议事项、议事程序和表决方式等事项。
Fund share holders or the routine body of fund share holders' meeting shall convene the fund share holders' meeting by themselves in accordance with the law. If any fund manager or fund custodian fails to perform the information disclosure obligation on matters decided by the fund share holders' meeting, the convener shall perform the relevant information disclosure obligation. 基金份额持有人或基金份额持有人大会的日常机构依法召集持有人大会,基金管理人、基金托管人对基金份额持有人大会决定的事项不依法履行信息披露义务的,召集人应当履行相关信息披露义务。
Article 23 Where, during the validity term of a fund contract, any information arising from any public media or spreading on the market may have misleading influences on or result in larger fluctuation of the fund share price, which may damage the rights and interests of fund share holders, the relevant party with information disclosure obligations shall, after knowing the circumstances, immediately clarify such information publicly, and immediately report relevant circumstances to the CSRC and the stock exchange where the fund is listed for trading.   第二十三条 在基金合同期限内,任何公共媒体中出现的或者在市场上流传的消息可能对基金份额价格产生误导性影响或者引起较大波动,以及可能损害基金份额持有人权益的,相关信息披露义务人知悉后应当立即对该消息进行公开澄清,并将有关情况立即报告中国证监会、基金上市交易的证券交易所。
Chapter VI Management of Information Disclosure Affairs 

第六章 信息披露事务管理

Article 24 The fund manager and fund custodian shall establish and improve information disclosure management rules and designate a special department and senior executives to be responsible for information disclosure affairs.   第二十四条 基金管理人、基金托管人应当建立健全信息披露管理制度,指定专门部门及高级管理人员负责管理信息披露事务。
The fund manager and fund custodian shall strengthen the management and control of fund information not disclosed to the public, and establish the fund sensitive information insider registration rules. The fund manager, fund custodian and related employees shall not divulge fund information that is not disclosed to the public. 基金管理人、基金托管人应加强对未公开披露基金信息的管控,并建立基金敏感信息知情人登记制度。基金管理人、基金托管人及相关从业人员不得泄露未公开披露的基金信息。
Article 25 The party with information disclosure obligations shall, when disclosing fund information to the public, comply with the provisions of the CSRC on fund information disclosure content and format guidelines and other regulations. The matters on the disclosure of specific fund information and the disclosure of information on special fund varieties shall comply with the relevant preparation rules and other laws and regulations of the CSRC.   第二十五条 基金信息披露义务人公开披露基金信息,应当符合中国证监会相关基金信息披露内容与格式准则等法规的规定;特定基金信息披露事项和特殊基金品种的信息披露,应当符合中国证监会相关编报规则等法规的规定。
Article 26 A fund custodian shall, in accordance with the relevant laws and administrative regulations, the provisions of the CSRC and as agreed upon in the fund contract, review and examine relevant fund information disclosed to the public such as the net asset value of the fund, net value of fund shares, price of subscription and redemption of fund shares, periodical fund report, updated prospectus, summary of fund product materials, and fund liquidation report prepared by the fund manager, and confirm with the fund manager in a written or electronic form.   第二十六条 基金托管人应当按照相关法律、行政法规、中国证监会的规定和基金合同的约定,对基金管理人编制的基金资产净值、基金份额净值、基金份额申购赎回价格、基金定期报告、更新的招募说明书、基金产品资料概要、基金清算报告等公开披露的相关基金信息进行复核、审查,并向基金管理人进行书面或电子确认。
Article 27 A fund manager or fund custodian shall choose newspapers and periodicals for information disclosure from designated newspapers and periodicals, and may disclose information on a single fund in one newspaper or journal.   第二十七条 基金管理人、基金托管人应当在指定报刊中选择披露信息的报刊,单只基金只需选择一家报刊。
The fund manager and fund custodian shall submit the fund information to be disclosed to the electronic fund disclosure website of the CSRC, and ensure that the relevant information is submitted in a truthful, accurate, complete and timely manner. 基金管理人、基金托管人应当向中国证监会基金电子披露网站报送拟披露的基金信息,并保证相关报送信息的真实、准确、完整、及时。
Article 28 Fund managers shall strengthen risk disclosure in fund information disclosure documents such as fund contracts, fund prospectus, and fund share listing and trading announcements, and disclose relevant risks in fund investment operations and transactions in an evident and clear manner for funds with complicated design and high risks.   第二十八条 基金管理人应当在基金合同、基金招募说明书、基金份额上市交易公告书等基金信息披露文件中加强风险揭示,对设计复杂、风险较高的基金应以显著、清晰的方式揭示基金投资运作及交易等环节的相关风险。
The fund manager shall standardize fund name, and the fund name shall indicate core characteristics such as product type, main investment direction and investment strategies. A fund that uses a regular open or closed type and sets the minimum holding period of investors shall clearly indicate the product lock-up period or the investor's shortest holding period in the name. 基金管理人应当规范基金名称,基金名称应显示产品类型、主要投资方向或投资策略等核心特征。采用定期开放式或封闭式、设置投资者最短持有期限的基金,应当在名称中明示产品封闭期限或投资者最短持有期限。
Article 29 For the purposes of strengthening investor protection and improving the quality of information disclosure services, fund managers shall, in a timely manner, provide investors with information that has a significant impact on their investment decisions in accordance with the provisions of the CSRC. Fund sales agencies and securities companies which provide brokerage services for investors' trading and listing of fund shares shall effectively conduct relevant information transmission work in accordance with the provisions of the CSRC.   第二十九条 为强化投资者保护,提升信息披露服务质量,基金管理人应当按照中国证监会规定向投资者及时提供对其投资决策有重大影响的信息,基金销售机构、为投资者交易上市基金份额提供经纪服务的证券公司应当按照中国证监会规定做好相关信息传递工作。
Article 30 Fund managers and fund custodians may, in addition to disclosing information in accordance with the requirements of laws and regulations, focus on the provision of useful information for investors' decision-making, and under the premise of ensuring the fair treatment of investors and not misleading investors, and not affecting the normal investment operation of funds, independently enhance the quality of information disclosure services. In specific, they shall satisfy the following requirements:   第三十条 基金管理人、基金托管人除按法律法规要求披露信息外,也可着眼于为投资者决策提供有用信息的角度,在保证公平对待投资者、不误导投资者、不影响基金正常投资操作的前提下,自主提升信息披露服务的质量。具体应遵循以下要求:
(1) Providing information disclosure services to investors through SMS, email, mobile client terminal, social platform and other forms. (一)可以通过短信、电子邮件、移动客户端、社交平台等方式向投资者提供信息披露服务;
(2) The frequency of disclosure of periodical reports may be increased through monthly reports and other forms. Fund managers shall maintain the continuity and openness of information disclosure, and shall not disclose information in a temporary and selective manner for short-term marketing activities. (二)可以通过月度报告等方式提高定期报告的披露频率;基金管理人应保持信息披露的持续性和公开性,不得为短期营销行为临时性、选择性披露信息;
(3) Information may be disclosed in other public media, but shall not be earlier than the time of disclosure on designated media and the website of the stock exchange where the fund is listed for trading, and the content of the same information disclosed on different media shall be consistent. (三)可以在其他公共媒介披露信息,但不得早于指定媒介和基金上市交易的证券交易所网站,且在不同媒介上披露同一信息的内容应当一致;
(4) If autonomous disclosure mentioned above generates information disclosure fees, the expenses shall not be disbursed from fund property. (四)前述自主披露如产生信息披露费用,该费用不得从基金财产中列支。
Article 31 A specialized institution, which issues an audit report or legal opinion for the fund information disclosed to the public by the party with information disclosure obligations shall produce working papers and retain relevant files for at least ten years after the termination of the fund contract.   第三十一条 为基金信息披露义务人公开披露的基金信息出具审计报告、法律意见书的专业机构,应当制作工作底稿,并将相关档案至少保存到基金合同终止后十年。
Article 32 After the information that must be disclosed in accordance with the law is issued, the fund manager and fund custodian shall, in accordance with the provisions of relevant laws and regulations, place the information at the company's domicile and the stock exchange where the fund is listed for trading for the general public to consult and copy.   第三十二条 依法必须披露的信息发布后,基金管理人、基金托管人应当按照相关法律法规规定将信息置备于公司住所、基金上市交易的证券交易所,供社会公众查阅、复制。
Chapter VII Supervision and Administration and Legal Liability 

第七章 监督管理和法律责任

Article 33 The CSRC and its local offices shall conduct on-site and off-site inspections of information disclosure and related services by the parties with information disclosure obligations, fund sales agencies and securities companies on a periodical basis or from time to to time, and relevant entities and individuals shall cooperate.   第三十三条 中国证监会及其派出机构对信息披露义务人、基金销售机构、证券公司从事信息披露及相关服务的情况,进行定期或者不定期的现场和非现场检查,相关单位及个人应当予以配合。
Article 34 The CSRC may assess fund managers' information disclosure quality on a periodical basis and include it in the fund manager's categorized supervision and evaluation indicator system. If the fund manager falls under any of following circumstances, the CSRC may suspend the examination, and according to the seriousness of circumstances, shall not subject the fund registration application submitted by the fund manager to the summary procedure within three to 12 months, or no longer accept the fund registration application submitted by the fund manager within three to 12 months, if it violates any law or regulation, shall take measures against or punish it in accordance with relevant provisions.   第三十四条 中国证监会可以定期评估基金管理人的信息披露质量,并纳入基金管理人分类监管评价指标体系中。基金管理人存在下列情形的,中国证监会可以中止审查,并根据情节轻重,在3-12个月内对该基金管理人提交的基金注册申请不适用简易程序,或者3-12个月内不再受理基金管理人提交的基金注册申请,违反法律法规的,依照相关规定采取措施或予以处罚:
(1) There is any evident error in the information disclosure documents such as fund prospectus, fund contract, summary of fund product information materials or any other information disclosure documents in fund registration application materials. (一)基金注册申请材料中基金招募说明书、基金合同、基金产品资料概要等信息披露文件存在明显差错;
(2) There are significant differences between fund registration application materials and contract preparation guidelines, and they have not been reported to the CSRC in a truthful manner. (二)基金注册申请材料与合同填报指引存在明显差异,且未如实向中国证监会报告;
(3) Other circumstances determined by the CSRC. (三)中国证监会认定的其他情形。
Article 35 Where the party with information disclosure obligations, fund sales agency, securities company or relevant person violates the provisions of these Measures, the CSRC or its local office may take administrative regulatory measures such as ordering corrective action, holding a regulatory talk, issuing a warning letter, ordering periodical reports, and not accepting the documents relating to administrative licensing for the time being; and may take such administrative regulatory measures as holding a regulatory talk, issuing a warning letter, ordering participation in training and determining them as inappropriate against the directly responsible person in charge and other directly liable persons, and include it in credit archives.   第三十五条 基金信息披露义务人、基金销售机构、证券公司及相关人员违反本办法规定的,中国证监会及其派出机构可以采取责令改正、监管谈话、出具警示函、责令定期报告、暂不受理与行政许可有关的文件等行政监管措施;对直接负责的主管人员和其他直接责任人员,可以采取监管谈话、出具警示函、责令参加培训、认定为不适当人选等行政监管措施,记入诚信档案。
Where the fund manager violates the provisions of these Measures, which constitutes the circumstance that the corporate governance structure is unsound and internal control is unsound, among others, it shall be taken against administrative regulatory measures in accordance with Article 24 of the Fund Law. 基金管理人违反本办法规定构成公司治理结构不健全、内部控制不完善等情形的,依照《基金法》二十四条采取行政监管措施。
Article 36 Where the information disclosure activities of the party with information disclosure obligations fall under any of the following circumstances in violation of these Measures and the circumstances are serious, unless it is otherwise provided by any law or administrative regulation, the party with information disclosure obligations shall be given a warning and imposed a fine of not more than 30,000 yuan, and the directly responsible person in charge and other directly liable persons shall be given a warning and imposed on a fine of not more than 30,000 yuan:   第三十六条 基金信息披露义务人的信息披露活动存在违反本办法的下列情形之一且情节严重的,除法律、行政法规另有规定外,对基金信息披露义务人处以警告、并处三万元以下罚款,对直接负责的主管人员和其他直接责任人员,处以警告、并处三万元以下罚款:
(1) The information disclosure documents fail to comply with the relevant provisions of the CSRC in violation of the provision of Article 25 of these Measures. (一)违反本办法第二十五条的规定,信息披露文件不符合中国证监会有关规定;
(2) The fund custodian fails to review, examine or confirm the fund information disclosed to the public as required in violation of the provision of Article 26 of these Measures. (二)违反本办法第二十六条的规定,基金托管人未按规定对公开披露的基金信息进行复核、审查或者确认;
(3) The fund manager or the fund custodian fails to select the designated newspapers and periodicals as required, or fails to submit information to the electronic fund disclosure website of the CSRC as required in violation of the provision of Article 27 of these Measures. (三)违反本办法第二十七条的规定,基金管理人、基金托管人未按规定选择指定报刊,未按规定向中国证监会基金电子披露网站报送信息;
(4) The fund manager fails to disclose relevant risks in fund information disclosure documents, or fails to display core characteristics or time limit in the fund name in violation of the provision of Article 28 of these Measures; fails to provide investors with information that has a significant impact on their investment decisions in a timely manner, and the fund sales agency or the securities company fails to effectively conduct relevant information transmission work as required. (四)违反本办法第二十八条的规定,基金管理人未在基金信息披露文件中揭示相关风险,未在基金名称中显示核心特征或期限;
 向投资者及时提供对其投资决策有重大影响的信息,基金销售机构、证券公司未按规定做好相关信息传递工作;
(6) It violates the requirements of Article 30 of these Measures on autonomous information disclosure services. 
 (六)违反本办法第三十条关于自主信息披露服务的要求;
(7) It fails to fulfill the preparation obligation in violation of the provision of Article 32 of these Measures. 
 (七)违反本办法第三十二条的规定,未履行置备义务;
(8) Other circumstances determined by the CSRC. 
 (八)中国证监会认定的其他情形。
Article 37 Where the fund manager or fund custodian violates the provision of Article 24 of these Measures and the circumstances are serious, it shall be given a warning and imposed on a fine of not more than 30,000 yuan; the directly responsible person in charge and other directly liable persons shall be given a warning and imposed on a fine of not more than 30,000 yuan; if the circumstances mentioned in subparagraph (6) of Article 20 of the Fund Law are constituted, it shall be punished in accordance with Article 123 of the Fund Law. 
   第三十七条 基金管理人、基金托管人违反本办法第二十四条规定且情节严重的,处以警告、并处三万元以下罚款;对直接负责的主管人员和其他直接责任人员,处以警告、并处三万元以下罚款;构成《基金法》二十条第(六)项所述情形的,依照
Article 38 Where a fund has any major affiliated transaction as mentioned in subparagraph (14), paragraph 2 of Article 21, and the party with information disclosure obligations fails to perform the information disclosure obligation in accordance with the law, it shall be punished in accordance with Article 129 of the Fund Law. 《基金法》一百二十三条进行处罚。
Article 39 Where the information disclosure activities of the party with information disclosure obligations fall under any of the following circumstances, it shall be punished in accordance with Article 131 of the Fund Law:   第三十八条 基金发生第二十一条第二款第(十四)项所述重大关联交易事项,且基金信息披露义务人未依法履行信息披露义务的,依照《基金法》一百二十九条进行处罚。
(1) It fails to guarantee that investors can consult or copy information disclosed to the public according to the time and methods agreed upon in the fund contract in violation of the provision of Article 3 of these Measures.   第三十九条 基金信息披露义务人的信息披露活动存在下列情形之一的,依照《基金法》一百三十一条进行处罚:
(2) It violates the provision of Article 7 of these Measures. (一)违反本办法第三条的规定,未能保证投资者按照基金合同约定的时间和方式查阅或者复制公开披露的信息资料;
(3) It fails to disclose to the public the fund information prescribed in Article 6 or paragraph 2 of Article 21 of these Measures. (二)违反本办法第七条规定;
(4) It fails to disclose fund information according to the time prescribed in Article 10, 11, 12, 13, 14, 16, 17, 18, 20 or 21 of these Measures or on the designated media. (三)未公开披露本办法第六条、第二十一条第二款规定的基金信息;
(5) The financial accounting report in the annual report is disclosed without auditing, or the liquidation report is disclosed without auditing and without issuing a legal opinion in violation of the provision of Article 16 or 20 of these Measures. (四)未按照本办法第十条、第十一条、第十二条、第十三条、第十四条、第十六条、第十七条、第十八条、第二十条、第二十一条规定的时间或指定媒介披露基金信息;
Article 40 Where a specialized institution that issues the audit report, legal opinion and other documents for the fund information disclosed to the public by the party with information disclosure obligations fails to perform due diligence, and the documents issued have any false records, misleading statements or material omissions, it shall be punished in accordance with Article 143 of the Fund Law. (五)违反本办法第十六条、第二十条的规定,年度报告中的财务会计报告未经审计即予披露,清算报告未经审计、未经出具法律意见书即予披露。
Chapter VIII Supplementary Provisions   第四十条 为基金信息披露义务人公开披露的基金信息出具审计报告、法律意见书等文件的专业机构未勤勉尽责,所出具的文件有虚假记载、误导性陈述或者有重大遗漏的,依照《基金法》一百四十三条进行处罚。
Article 41 The overseas mutually recognized fund registered by the CSRC, which involves the domestic information disclosure business, shall be implemented in accordance with these Measures, unless it is otherwise provided by any law or regulation or the CSRC. 

第八章 附则

The overseas mutually recognized fund manager or agent that violates the provisions of these Measures in the disclosure of mutually recognized fund information and other related business activities may be taken against administrative regulatory measures or imposed on an administrative penalty by the CSRC in accordance with the law. 
   第四十一条 经中国证监会注册的境外互认基金,涉及境内信息披露业务的,依照本办法执行,法律法规及中国证监会另有规定的除外。
Article 42 These Measures shall come into force on September 1, 2019. The Measures for the Administration of Disclosure of Information on Securities Investment Funds (Order No. 19, CSRC) issued by the CSRC shall be repealed concurrently. 境外互认基金管理人、代理人在从事互认基金信息披露等相关业务活动中,存在违反本办法规定的,中国证监会可以依法对其采取行政监管措施或者行政处罚。
   第四十二条 本办法自2019年9月1日起施行。中国证监会发布的《证券投资基金信息披露管理办法》(证监会令第19号)同时废止。
     
     
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