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Interim Provisions on the Securities Investment Fund Custody Business Conducted by Non-Bank Financial Institutions (2020 Amendment) [Expired]
非银行金融机构开展证券投资基金托管业务暂行规定(2020修正) [失效]
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Interim Provisions on the Securities Investment Fund Custody Business Conducted by Non-Bank Financial Institutions 

非银行金融机构开展证券投资基金托管业务暂行规定

(Issued via Announcement No. 15 [2013] of China Securities Regulatory Commission on March 15, 2013; amended for the first time in accordance with the Decision to Amend and Repeal Thirteen Regulatory Documents including the Provisions on the Administration of Subordinated Debts of Securities Companies by China Securities Regulatory Commission on December 7, 2017; and amended for the second time in accordance with the Decision of the China Securities Regulatory Commission to Amend Certain Securities and Futures Regulatory Documents on March 20, 2020) (2013年3月15日中国证券监督管理委员会公告[2013]15号公布 根据2017年12月7日《中国证监会关于修改、废止<证券公司次级债管理规定>等十三部规范性文件的决定》修改 根据2020年3月20日中国证券监督管理委员会《关于修改部分证券期货规范性文件的决定》修正)

Article 1 In order to standardize the securities investment fund (hereinafter referred to as the “fund”) custody business conducted by qualified non-bank financial institutions, protect the lawful rights and interests of fund share holders, and promote the sustained and sound development of the fund industry, these Provisions are developed in accordance with the Securities Law , the Securities Investment Fund Law , the Measures for the Administration of the Securities Investment Fund Custody Business , and other relevant laws and administrative regulations and rules.   第一条 为了规范符合条件的非银行金融机构开展证券投资基金(以下简称基金)托管业务,维护基金份额持有人合法权益,促进基金行业持续健康发展,根据《证券法》、《证券投资基金法》及《证券投资基金托管业务管理办法》等法律、行政法规及规章,制定本规定。
Article 2 For the purposes of these Provisions, “non-bank financial institutions” means financial institutions legally formed within the territory of the People's Republic of China other than commercial banks.   第二条 本规定所称非银行金融机构是指在中国境内依法设立的除商业银行之外的其他金融机构。
Article 3 Where a non-bank financial institution applies to the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”) for conducting the fund custody business, the CSRC shall approve its custody qualification in accordance with the law.   第三条 非银行金融机构向中国证券监督管理委员会(以下简称中国证监会)申请开展基金托管业务,中国证监会依法核准其托管资格。
Article 4 The CSRC shall, in accordance with the law, conduct supervision and administration of the fund custody business conducted by non-bank financial institutions.   第四条 中国证监会依法对非银行金融机构从事基金托管业务活动进行监督管理。
The Asset Management Association of China shall conduct self-regulatory management of the fund custody business conducted by non-bank financial institutions. 中国证券投资基金业协会对非银行金融机构从事基金托管业务活动实行自律管理。
Article 5 To apply for conducting the fund custody business, a non-bank financial institution shall meet the following conditions:   第五条 非银行金融机构申请开展基金托管业务,应当具备下列条件:
(1) Its year-end net assets in each of the past three years were not less than 2 billion yuan, and its risk control indicators have continuously complied with the relevant provisions of the regulatory authorities. (一)最近3个会计年度的年末净资产均不低于20亿元人民币,风险控制指标持续符合监管部门的有关规定;
(2) It has a specialized fund custody department, the structure of which can ensure the integrity and independence of the custody business operation, and the department has a fixed place meeting its business needs and is equipped with an independent security monitoring system and custody business technology system. (二)设有专门的基金托管部门,部门设置能够保证托管业务运营的完整与独立,部门有满足营业需要的固定场所,并配备独立的安全监控系统和托管业务技术系统;
(3) The proposed senior executives of the fund custody department shall meet the statutory requirements, and the number of the department's personnel qualified for the fund business shall not be less than 1/2 of the number of employees of the department; the proposed practitioners in fund clearing, accounting, investment supervision, information disclosure, internal audit and monitoring, and other business, the number of whom shall not be less than eight, shall be qualified for the fund business, and those at core business posts such as accounting and supervision posts shall have two or more years of working experience in the custody business. (三)基金托管部门拟任高级管理人员符合法定条件,基金托管部门取得基金从业资格的人员不低于部门员工人数的1/2;拟从事基金清算、核算、投资监督、信息披露、内部稽核监控等业务的执业人员不少于8人,并具有基金从业资格,其中,核算、监督等核心业务岗位人员应当具备2年以上托管业务从业经验;
(4) It meets the conditions for ensuring the safekeeping of fund assets and the integrity and independence of fund assets, it shall not engage in any business which may cause a major conflict of interest with the custody business, and it has a safe and efficient clearing and settlement system which provides the funds with the centralized clearing and settlement of securities and capital. (四)具备安全保管基金财产、确保基金财产完整与独立的条件,不从事与托管业务潜在重大利益冲突的其他业务,具备安全高效的清算、交割系统,能够为基金办理证券与资金的集中清算、交割;
(5) It has adequate and effective internal auditing and monitoring rules and risk control rules.
......
 (五)具备完善的内部稽核监控制度和风险控制制度;
......

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