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Guidelines for the Investment of Publicly Offered Securities Investment Funds in Credit Derivatives [Effective]
公开募集证券投资基金投资信用衍生品指引 [现行有效]
【法宝引证码】

Announcement of the China Securities Regulatory Commission 

中国证券监督管理委员会公告

(No. 1 [2019]) (〔2019〕1号)

The Guidelines for the Investment of Publicly Offered Securities Investment Funds in Credit Derivatives are hereby issued and shall come into force on the date of issuance. 现公布《公开募集证券投资基金投资信用衍生品指引》,自公布之日起施行。
China Securities Regulatory Commission 中国证监会
January 15, 2019 2019年1月15日
Guidelines for the Investment of Publicly Offered Securities Investment Funds in Credit Derivatives 公开募集证券投资基金投资信用衍生品指引
Article 1 For the purposes of regulating the investment of publicly offered securities investment funds (hereinafter referred to as “funds”) in credit derivatives, preventing investment risks, and protecting the lawful rights and interests of investors, these Guidelines are developed according to the Securities Investment Fund Law, the Measures for the Administration of the Operations of Publicly Offered Securities Investment Funds, and other relevant laws and regulations.   第一条 为规范公开募集证券投资基金(以下简称基金)投资信用衍生品的行为,防范投资风险,保护投资人合法权益,根据《证券投资基金法》《公开募集证券投资基金运作管理办法》和其他有关法律法规,制定本指引。
Article 2 For the purposes of these Guidelines, “credit derivatives” means credit derivative instruments that comply with the relevant business rules of the stock exchanges or interbank market and that are specially for managing credit risks.   第二条 本指引所称信用衍生品,是指符合证券交易所或银行间市场相关业务规则,专门用于管理信用风险的信用衍生工具。
Article 3 The investment of funds in credit derivatives shall be conducted under the principle of risk management for the purpose of risk hedging, in compliance with the relevant rules of the stock exchanges or interbank market, except the special fund types recognized by the China Securities Regulatory Commission. Money market funds shall not invest in credit derivatives.   第三条 基金投资信用衍生品的,应当按照风险管理的原则,以风险对冲为目的,并遵守证券交易所或银行间市场的相关规定,中国证监会认定的特殊基金品种除外。货币市场基金不得投资信用衍生品。
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