Two, the securities and futures institutions shall record the establishment, alteration, extension and termination of the asset management plan, and submit the filing materials on time. All asset management plans shall be filed with the Association, and only after obtaining the registration certificate can they apply for opening a securities market trading account.
Three, the securities and futures business institutions shall regularly submit the asset management plan operation report and risk monitoring report, and the event that has a significant impact on the asset management plan shall also be reported to the Association in a timely manner.
Four, the association's acceptance of the asset management plan for the record does not exempt the securities and futures operating institutions from the legal responsibility of disclosing product information in a true, accurate, complete and timely manner.
Acceptance of filing does not mean that the association guarantees and judges the compliance, investment value and investment risk of the asset management plan. Investors should identify the investment risks of products themselves and bear the possible losses caused by investment behavior.
Five, the association will establish and improve the asset management plan for the record verification process, in accordance with the principle of "substance is more important than form", through written examination, inquiry, interview and other means to verify the record materials. If there is any doubt about the compliance of the asset management plan, the association may consult the China Securities Regulatory Commission, or issue a letter of concern for filing or conduct on-site inspection to the asset manager, who shall cooperate.
The intransitive verb association will strengthen the filing and verification of asset management plans. For securities and futures institutions that violate laws, regulations and self-discipline rules, depending on the seriousness of the case, the association may take disciplinary measures such as talking reminder, written warning, requiring correction within a time limit, blacklisting, public condemnation, and suspension of filing. If the circumstances are serious, it shall be transferred to the China Securities Regulatory Commission for handling.
Seven, the association of securities and futures institutions to accept the guidance and supervision of the China Securities Regulatory Commission, and with the China Securities Regulatory Commission and China Securities Association, China Futures Association, China Securities Depository and Clearing Co., Ltd., China Futures Margin Monitoring Center and other self-regulatory organizations to establish regulatory cooperation and information sharing mechanism.