The China Securities Investment Fund Industry Association revised the new regulations and requested that fund management practitioners' self -discipline constraints, and they must not leave at will, luxurious wealth.
According to the surging news report, the China -Foundation Association revised the release of the management rules (hereinafter referred to as the management rules) and supporting rules and the registered registration rules of the investment management personnel (hereinafter referred toThe registered registration rules are hereby).
For fund practitioners, the management rules increase the specific requirements of the main responsibility of practicing behavior management of employees, strengthen the management of practicing behavior of employees, and clarify the six prohibited behavior requirements that employees cannot have.
Specifically include: abuse of power, neglect of duties, do not perform their duties in accordance with regulations, deceive, mislead, and unfair to investors' behavior;Or stakeholders' acts of incorrect interests; fabricating false, bad information or publishing, proper dissemination, and other behaviors that harm career reputation and industry reputation; interfere or instigate and assist others to interfere with supervision and management or self -discipline management; deviate from society;The core values of doctrine, corrupted social atmosphere, violated public order and good customs, extravagant wealth, gold worship, hedonism, and extreme individualism; violating vocational ethics and social morality, or other behaviors stipulated by laws, administrative regulations, China Securities Regulatory Commission, and associations stipulatedEssence
The revised registered registered rules clearly clearly clearly have the ability to perform their duties and work experience requirements for investment management personnel.
Registration rules have two requirements for fund managers' office. We must have the qualifications of fund employment to meet the requirements of business experience in investment management and investment research. In the past yearIntegrity and compliance related requirements; on the other hand, those who manage special products such as pension target funds, manager products, and REITS funds in the manager shall also have corresponding experience or investment performance requirements on the basis of meeting the aforementioned requirements.
At the level of investment manager, the registered registration rules are required, and the fund manager must have the qualifications of the fund to meet the requirements of the relevant business experience of investment management, investment research, and investment consulting.On the other hand, the investment manager of the manager product of the manager should also have corresponding experience experience and investment performance requirements.
At the level of departure, the registered registration rules stipulate that there are no special circumstances that the management of public fund products is in the raising period, and the departure time is less than 24 months;I took the initiative to leave for less than one year and the departure time was less than 18 months; in the short term, I frequently changed the employment unit and must not be registered as a fund manager.
The China -foundation Association said that the amendment aims to promote the establishment of a team of fund practitioners with high professional ethics and strong professional ability to protect investors' legitimate rights and interests and promote the high -quality development of the fund industry.
