证 券投资基金管理公司管理办法 administration of securities investment fund management companies procedures.docVIP

证券投资基金管理公司管理办法 Administration of Securities Investment Fund Management Companies Procedures （Promulgated by the China Securities Regulatory Commission on 16 September 2004 and effective as of 1 October 2004.） 颁布日期实施日期颁布单位：中国证券监督管理委员会 PART ONE GENERAL PROVISIONS Article 1 These Procedures have been formulated in accordance with the Securities Investment Funds Law， the Company Law and other relevant laws and administrative regulations in order to strengthen the regulation of securities investment fund management companies， standardize the acts of securities investment fund management companies and protect the lawful rights and interests of fund shareholders and relevant parties. Article 2 For the purposes of these Procedures， the term “securities investment fund management companies” （Fund Management Companies） means enterprise legal persons established in the People‘s Republic of China upon approval of the China Securities Regulatory Commission （CSRC） to engage in securities investment fund management businesses. Article 3 Fund Management Companies shall comply with laws， administrative regulations and the provisions of the CSRC and act with good faith， prudence and due diligence， loyalty and responsibility， to manage and use fund properties in the interest of fund shareholders. Article 4 The CSRC and its agencies shall implement supervision and administration on Fund Management Companies and their business activities in accordance with laws and administrative regulations such as the Securities Investment Funds Law and the Company Law， the provisions of the CSRC and the principle of prudential regulation. Article 5 The association of the fund industry shall carry out self-regulation on Fund Management Companies and their business activities in accordance with laws， administrative regulations， the provisions of the CSRC and the rules of self-regulation. PART TWO ESTABLISHMENT OF FUND MANAGEMENT COMPANIES Article 6 To establish a Fund Manag