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| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
(No.22) | |
（第22号） |
The Measures for the Administration of Securities Investment Fund Management Companies, which were deliberated and adopted at the 98th office meeting of the chairman of the China Securities Regulatory Commission on June 29, 2004, and approved by the State Council on August 12, 2004, are hereby promulgated, and shall come into force as of October 1, 2004. The Rules on the Establishment of Foreign-shared Fund Management Companies by Order No. 9 of the China Securities Regulatory Commission shall be repealed simultaneously. | |
《证券投资基金管理公司管理办法》已经2004年6月29日中国证券监督管理委员会第98次主席办公会议审议通过，并于2004年8月12日经国务院批准，现予公布，自2004年10月1日起施行。中国证券监督管理委员会令第9号《外资参股基金管理公司设立规则》同时废止。 |
Upon the approval of the State Council on August 12, 2004, the Interim Measures for the Administration of Securities Investment Funds as promulgated by the Securities Commission of the State Council on November 14, 1997 upon the approval of the State Council on November 5, 1997 shall be repealed simultaneously. | |
经2004年8月12日国务院批准，1997年11月5日国务院批准、1997年11月14日国务院证券委员会发布的《证券投资基金管理暂行办法》即行废止。 |
Chairman: Shang Fulin | |
主席：尚福林 |
September 16, 2004 | |
二00四年九月十六日 |
Measures for the Administration of Securities Investment Fund Management Companies | |
证券投资基金管理公司管理办法 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 The present Measures are formulated in accordance with the Securities Investment Fund Law, Company Law and other relevant laws and administrative regulations for the purpose of strengthening supervision over and administration of securities investment fund management companies, regulating acts of securities investment fund management companies, and protecting the lawful rights and interests of the fund share holders and the relevant parties concerned. | | 第一条 为了加强对证券投资基金管理公司的监督管理，规范证券投资基金管理公司的行为，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》和其他有关法律、行政法规，制定本办法。 |
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| Article 2 The “securities investment fund management company” (hereinafter referred to as the fund management company) as mentioned in the present Measures shall refer to the enterprise legal person, which is established within the territory of the People's Republic of China upon the approval of China Securities Regulatory Commission (hereinafter referred to as the CSRC) and undertakes securities investment fund management business. | | 第二条 本办法所称证券投资基金管理公司（以下简称基金管理公司），是指经中国证券监督管理委员会（以下简称中国证监会）批准，在中华人民共和国境内设立，从事证券投资基金管理业务的企业法人。 |
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| Article 3 A fund management company shall observe laws, administrative regulations and the provisions of the CSRC, scrupulously abide by good faith, be cautious and diligent, loyal and fulfill its responsibilities to manage and use fund property for the benefit of fund share holders. | | 第三条 基金管理公司应当遵守法律、行政法规和中国证监会的规定，恪守诚信，审慎勤勉，忠实尽责，为基金份额持有人的利益管理和运用基金财产。 |
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| Article 4 The CSRC and its detached offices shall conduct supervision over and administration on fund management companies and their business activities in accordance with the Securities Investment Fund Law, Company Law and other laws, administrative regulations and the provisions of the CSRC, as well as in light of the principle of prudent supervision. | | 第四条 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，对基金管理公司及其业务活动实施监督管理。 |
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| Article 5 The fund industry association shall make self-disciplinary regulation on fund management companies and their business activities according to laws, administrative regulations, provisions of the CSRC and the self-disciplinary rules. | | 第五条 基金行业的协会依据法律、行政法规、中国证监会的规定和自律规则，对基金管理公司及其业务活动进行自律管理。 |
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| Chapter II Establishment of Fund Management Companies | | 第二章 基金管理公司的设立 |
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| Article 6 The following requirements shall be met for the establishment of a fund management company: | | 第六条 设立基金管理公司，应当具备下列条件： |
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| 1. The shareholders shall meet the requirements of the Securities Investment Fund Law and the provisions of the present Measures; | | （一）股东符合《证券投资基金法》和本办法的规定； |
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| 2. Having articles of association complying with the Securities Investment Fund Law, Company Law and the provisions of the CSRC; | | （二）有符合《证券投资基金法》、《公司法》以及中国证监会规定的章程； |
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| 3. The registered capital shall be no less than RMB a hundred million Yuan, and the shareholders shall actually pay the capital in currency, and the overseas shareholders shall make capital contribution in convertible currency; | | （三）注册资本不低于1亿元人民币，且股东必须以货币资金实缴，境外股东应当以可自由兑换货币出资； |
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| 4. Having appointed senior management personnel complying with laws, administrative regulations and the provisions of the CSRC and personnel who undertake such businesses as research, investment, appraisal and marketing, etc., and the appointed senior management personnel and business personnel are no less than 15 persons and shall have obtained fund practicing qualification; | | （四）有符合法律、行政法规和中国证监会规定的拟任高级管理人员以及从事研究、投资、估值、营销等业务的人员，拟任高级管理人员、业务人员不少于15人，并应当取得基金从业资格； |
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| 5. Having a business place, safeguarding and precautious facilities meeting the requirements and other facilities relating to the business; | | （五）有符合要求的营业场所、安全防范设施和与业务有关的其他设施； |
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| 6. Having set up organizations and work post with reasonable division of work and clear functions; | | （六）设置了分工合理、职责清晰的组织机构和工作岗位； |
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| 7. Having such internal monitoring systems as supervision and audit and risk control, which meet the provisions of the CSRC; and | | （七）有符合中国证监会规定的监察稽核、风险控制等内部监控制度； |
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| 8. Other conditions as prescribed by the CSRC upon the approval of the State Council. | | （八）经国务院批准的中国证监会规定的其他条件。 |
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| Article 7 The main shareholders of a fund management company shall refer to those shareholders whose proportion of capital contribution accounts for the most of the registered capital of the fund management company (hereinafter referred to as the proportion of capital contribution), and is no less than 25% of the registered capital. | | 第七条 基金管理公司的主要股东是指出资额占基金管理公司注册资本的比例（以下简称出资比例）最高，且不低于25%的股东。 |
The main shareholders shall meet the following conditions: | |
主要股东应当具备下列条件： |
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| 1. Undertaking securities management, securities investment consulting, trust capital management or other financial capital management; | | （一）从事证券经营、证券投资咨询、信托资产管理或者其他金融资产管理； |
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| 2. The registered capital shall be no lower than RMB 3 hundred million Yuan; | | （二）注册资本不低于3亿元人民币； |
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| 3. Having better business achievements, and the quality of the assets is in good condition; | | （三）具有较好的经营业绩，资产质量良好； |
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| 4. Managing continuously for three more complete fiscal years, and the corporate governance is perfect with perfect internal monitoring systems; | | （四）持续经营3个以上完整的会计年度，公司治理健全，内部监控制度完善； |
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| 5. Having no records of administrative punishment or criminal punishment due to acts of violation of law or breach of regulations in the past 3 years; | | （五）最近3年没有因违法违规行为受到行政处罚或者刑事处罚； |
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| 6. Having no acts of embezzling customers' capitals and other acts impairing customers' interests; | | （六）没有挪用客户资产等损害客户利益的行为； |
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| 7. Not being under investigation by the regulatory institution due to acts in violation of laws and regulations or not being in rectification period; and | | （七）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； |
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| 8. Having good public credit standing, having no bad records in the administrative departments of taxation and industry and commerce, and such institutions as finance supervision, self-disciplinary management and commercial banks, etc.. | | （八）具有良好的社会信誉，最近3年在税务、工商等行政机关，以及金融监管、自律管理、商业银行等机构无不良记录。 |
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| Article 8 For other shareholders of a fund management company other than the main shareholders, their registered capital and net assets shall be no lower than RMB one hundred million Yuan, the quality of the assets shall be in good condition, and the conditions as prescribed in Item (4) through (8) of paragraph 2 of Article 7 of the present Measures shall be met in addition. | | 第八条 基金管理公司除主要股东外的其他股东，注册资本、净资产应当不低于1亿元人民币，资产质量良好，且具备本办法第七条第二款第（四）项至第（八）项规定的条件。 |
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| Article 9 In a Sino-foreign joint venture fund management company, the domestic shareholder who has the highest proportion of capital contribution shall meet the conditions for main shareholders as prescribed in paragraph 2, Article 7 of the present Measures. Other domestic shareholders shall have the conditions as prescribed in Article 8 of the present Measures. | | 第九条 中外合资基金管理公司中，出资比例最高的境内股东应当具备本办法第七条第二款规定的主要股东的条件；其他境内股东应当具备本办法第八条规定的条件。 |
The overseas shareholder in a Sino-foreign joint venture fund management company shall have the following conditions: | |
中外合资基金管理公司的境外股东应当具备下列条件： |
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| 1. Being a financial institution that is established according to the law of the country or district it is located, existing lawfully and continuously, and having financial assets management experiences, steady and sound finance, good credit, and not having been subject to the punishment of any regulatory institution or judicial department in the past three years; | | （一）为依其所在国家或者地区法律设立，合法存续并具有金融资产管理经验的金融机构，财务稳健，资信良好，最近3年没有受到监管机构或者司法机关的处罚； |
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| 2. The country or district it is located in has perfect securities laws and regulatory systems, and the securities regulatory institution there has signed securities regulatory cooperation understanding memorandum with the CSRC or other institutions recognized by the CSRC, and has been keeping effective regulatory cooperative relations; | | （二）所在国家或者地区具有完善的证券法律和监管制度，其证券监管机构已与中国证监会或者中国证监会认可的其他机构签订证券监管合作谅解备忘录，并保持着有效的监管合作关系； |
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| 3. The paid-in capital is no less than the convertible currency equal to RMB 300 million Yuan; and | | （三）实缴资本不少于3亿元人民币的等值可自由兑换货币； |
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| 4. Other conditions as prescribed by the CSRC upon the approval of the State Council. | | （四）经国务院批准的中国证监会规定的其他条件。 |
The preceding provisions shall be applied to the investment institutions in Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan district by analogy. | |
香港特别行政区、澳门特别行政区和台湾地区的投资机构比照适用前款规定。 |
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| Article 10 The proportion of capital contribution of shareholders of a fund management company shall comply with the provisions of the CSRC. | | 第十条 基金管理公司股东的出资比例应当符合中国证监会的规定。 |
A shareholder of a fund management company may not hold shares of other shareholders or own interests rights of other shareholders. No one may be the same actual controller with any other shareholder or have other affiliated relation. | |
基金管理公司的股东不得持有其他股东的股份或者拥有其他股东的权益；不得与其他股东同属一个实际控制人或者有其他关联关系。 |
The proportion of capital contribution of or proportion of rights and interests owned by the foreign party of a Sino-foreign joint venture fund management company may not exceed those in the commitment made by the state securities industry for opening to the outside world accumulatively (including those owned directly and indirectly). | |
中外合资基金管理公司外资出资比例或者拥有的权益比例，累计（包括直接持有和间接持有）不得超过国家证券业对外开放所做的承诺。 |
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| Article 11 The number of one institution shared or multi-institution shared fund management companies controlled by the same one actual controller may not exceed two, of which the number of share holding fund management companies may not exceed one. | | 第十一条 一家机构或者受同一实际控制人控制的多家机构参股基金管理公司的数量不得超过两家，其中控股基金管理公司的数量不得超过一家。 |
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| Article 12 When applying for establishing a fund management company, an applicant shall submit materials of application for the establishment in accordance with the provisions of the CSRC. | | 第十二条 申请设立基金管理公司，申请人应当按照中国证监会的规定报送设立申请材料。 |
The main shareholders shall organize and coordinate the relevant matters concerning the establishment of a fund management company, and shall undertake the main responsibility for the truthfulness and integrity of the application materials. | |
主要股东应当组织、协调设立基金管理公司的相关事宜，对申请材料的真实性、完整性负主要责任。 |
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| Article 13 Where, during the application, there is any major change in the matters involved in the application materials, the applicant shall submit updated materials to the CSRC within 5 workdays from the date of occurrence of such change. If there is any alteration on shareholders, the application documents shall be submitted once again. | | 第十三条 申请期间申请材料涉及的事项发生重大变化的，申请人应当自变化发生之日起5个工作日内向中国证监会提交更新材料；股东发生变动的，应当重新报送申请材料。 |
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| Article 14 The CSRC shall accept the application for establishing a fund management company in accordance with the Administrative License Law and the provisions of paragraph 1, Article 14 of the Securities Investment Fund Law, and make examination and decision. | | 第十四条 中国证监会依照《行政许可法》和《证券投资基金法》第十四条第一款的规定，受理基金管理公司设立申请，并进行审查，做出决定。 |
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| Article 15 The CSRC may take the following ways to make examination on the application for establishing a fund management company: | | 第十五条 中国证监会审查基金管理公司设立申请，可以采取下列方式： |
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| 1. Soliciting opinions of the relevant institutions and departments on such aspects as shareholders' conditions; | | （一）征求相关机构和部门关于股东条件等方面的意见； |
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| 2. Making examination on the contents of the application documents by taking such ways as expert's appraisal and checking, etc.; or | | （二）采取专家评审、核查等方式对申请材料的内容进行审查； |
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| 3. Making on-site inspection on the preparation for the establishment of the fund management company within 5 months from the date of acceptance. | | （三）自受理之日起5个月内现场检查基金管理公司设立准备情况。 |
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| Article 16 In case the establishment of a fund management company has been approved by the CSRC, the applicant shall go through formalities for registration within 30 days from the date when the document of approval is received, and it shall obtain the Certificate of Qualification for Fund Management from the CSRC upon the strength of the Business License of Enterprise Legal Person issued by the administrative department for industry and commerce. | | 第十六条 中国证监会批准设立基金管理公司的，申请人应当自收到批准文件之日起30日内向工商行政管理机关办理注册登记手续；凭工商行政管理机关核发的《企业法人营业执照》向中国证监会领取《基金管理资格证书》。 |
A Sino-foreign joint venture fund management company shall also apply for obtaining the Certificate of Approval for Foreign Investment Enterprises in accordance with the provisions of laws and administrative regulations and open a foreign exchange capital account. | |
中外合资基金管理公司还应当按照法律、行政法规的规定，申领《外商投资企业批准证书》，并开设外汇资本金账户。 |
A fund management company shall make a public notice on its establishment in the newspapers and periodicals designated by the CSRC within 10 days from the date when it has gone through the formalities for industry and commerce registration. | |
基金管理公司应当自工商注册登记手续办理完毕之日起10日内，在中国证监会指定的报刊上将公司成立事项予以公告。 |
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| Chapter III Alteration and Dissolution of Fund Management Companies | | 第三章 基金管理公司的变更、解散 |
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| Article 17 In case of altering the following major matters concerned, a fund management company shall report to the CSRC for approval: | | 第十七条 基金管理公司变更下列重大事项，应当报中国证监会批准： |
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| 1. Alteration of any shareholder, registered capital or proportion of capital contribution of shareholders; | | （一）变更股东、注册资本或者股东出资比例； |
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| 2. Alteration of the name and residence; | | （二）变更名称、住所； |
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| 3. Amendment of articles of association; and | | （三）修改章程； |
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| 4. Other major matters prescribed by the CSRC. | | （四）中国证监会规定的其他重大事项。 |
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Article 18 After any fund management company alters any shareholder, registered capital, proportion of capital contribution of shareholders, the provisions of Chapter II of the present Measures shall be complied with for shareholder's conditions, proportion of capital contribution of shareholders, amount and registered capital of shareholder shared fund management companies.
．．．．．． | | 第十八条 基金管理公司变更股东、注册资本、股东出资比例后，股东的条件、股东的出资比例、股东参股基金管理公司的数量、注册资本等应当符合本办法第二章的规定。
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