Fund supervision belongs to administrative law enforcement activities. As a law enforcement agency, the establishment of the regulatory agency is stipulated by law, and its authority is also given by law. Therefore, the fund supervision department must establish the concept of supervision according to law.

(B) the "three public" principle

Fund is one of the important participants in the securities market, and the principle of "openness, fairness and justice" in the securities market is also applicable to the fund market.

The principle of paying equal attention to supervision and self-discipline

The state's supervision of the fund market is the guarantee of the market, and the self-discipline of fund practitioners is the foundation of the market.

(4) The principle of continuity and effectiveness of supervision.

Fund supervision should follow the principle of continuity to avoid ups and downs and affect the normal development of the fund industry. On the other hand, we should adhere to the principle of effective supervision in fund supervision. To properly handle the relationship between regulatory costs and regulatory benefits, it is necessary to ensure that the market can self-regulate and cannot supervise; If supervision is necessary, the supervision cost should be reduced as much as possible on the premise of ensuring the efficiency of supervision.

(5) The principle of prudential supervision