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Measures for the Administration of Disclosure of Information on Publicly Offered Securities Investment Funds [Not Yet Effective]
公开募集证券投资基金信息披露管理办法 [尚未生效]
【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。
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