Regulations for Securities Investment Fund Management Companies to Set up Establishments in Hong Kong | | 中国证券监督管理委员会关于证券投资基金管理公司在香港设立机构的规定 |
| (Issued via Announcement No.12 [2008] of China Securities Regulatory Commission on April 8, 2008; and amended 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) | | （2008年4月8日中国证券监督管理委员会公告[2008]12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） |
| Article 1 Fund management companies may, in light of their business development, set up establishments in Hong Kong (hereinafter referred to as HK establishments) to engage in assets management and such sort of business. | | 第一条 基金管理公司可以根据自身业务发展需要，到香港地区设立机构(以下统称香港机构)，从事资产管理类相关业务。 |
| HK establishments can be in the form of branch company, office or subsidiary company or other form allowed by the CSRC. | | 香港机构可以采取分公司、办事处、子公司及中国证监会允许的其他形式。 |
| Article 2 A fund management company shall, before setting up establishments in Hong Kong, make serious research on the market situation, supervisory environment and legal environment of Hong Kong, take into full account its financial strength and management capacity, prudently make decisions based on its long-term development plan and the normal operation of its current business, and make sure that its business operation and the interests of fund holders will not be damaged due to setting up establishments in HK. | | 第二条 基金管理公司到香港地区设立机构前应当对香港的市场状况、监管环境以及法律法规等进行认真研究，充分考虑基金管理公司本身的财务实力和管理能力，结合基金管理公司的长远发展规划，兼顾基金管理公司现有业务的正常运营审慎决策，不应由于到香港设立机构影响基金管理公司本身的业务运营，损害基金持有人的利益。 |
| Article 3 To set up a HK establishment, a fund management company shall satisfy the basic requirements on establishing branch institutions by fund management companies as specified in the Measures for the Administration of Securities Investment Fund Management Companies (Order No. 84, CSRC), fall in line with the internal decision-making procedure for companies, have clear business objective and planning, have proper arrangements on the administration of the HK establishment and be capable of remaining in good financial condition after making financial contribution to the HK establishment. | | 第三条 基金管理公司申请到香港设立机构，应当具备《证券投资基金管理公司管理办法》(证监会令第84号)中关于基金管理公司设立分支机构的基本条件，符合公司内部决策程序，有明确的商业目标和商业计划，对香港机构的管理有明确安排，在对香港机构进行出资后公司仍能保持良好的财务状况。 |
Article 4 To set up a HK establishment, a fund management company shall file the following material (one original and one photocopy for each item):
．．．．．． | | 第四条 基金管理公司申请到香港设立机构应当报送以下材料(原件1份，复印件1份)：
．．．．．． |
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