1. Ensure that the company's operation strictly abides by relevant national laws and regulations and industry supervision rules, and consciously form business ideas and business concepts of law-abiding operation and standardized operation;

2. Prevent and resolve business risks, improve management efficiency, ensure stable business operation and the safety and integrity of entrusted assets, and realize the sustained, stable and healthy development of the company;

3. Ensure that the financial information of funds and fund managers is true, accurate, complete and timely.

I. The internal control of a fund management company shall follow the following principles:

(1) robustness principle. Internal control should include all businesses, departments or institutions and personnel at all levels of the company, and cover all links such as decision-making, implementation, supervision and feedback.

(2) the principle of effectiveness. Through scientific internal control means and methods, a reasonable internal control procedure is established to maintain the effective implementation of the internal control system.

(3) the principle of independence. The responsibilities of various institutions, departments and posts of the company shall remain relatively independent, and the operation of the company's fund assets, self-owned assets and other assets shall be separated.

(4) The principle of mutual restraint. The internal departments and positions of the company should be clear and balanced.

(5) The principle of cost-effectiveness. The company uses scientific management methods to reduce operating costs, improve economic benefits and achieve the best internal control effect through reasonable cost control.

Second, the essence of internal control objectives can be summarized as follows:

1, achieving organizational goals economically and efficiently;

2. Carry out business activities according to the general or special authorization of the management organ;

3. Ensure the safety of assets and the integrity of information;

4. Prevention and detection of fraud and errors;

5. Ensure the quality of financial reports and provide reliable financial information in time.

From the perspective of the development of internal control theory, the goal of internal control in modern organizations is not to check and correct mistakes in the traditional sense, but to point to all aspects of organizational management, showing a trend of diversification and deepening.