The term "senior management personnel" as mentioned in these Measures refers to the general manager, deputy general managers, chief financial officer, compliance director, risk director, information technology director, members of the management committee or executive committee who exercise management responsibilities and are responsible to the board of directors, personnel who actually perform the above duties, and other personnel stipulated by laws and regulations, China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) and the company's articles of association.
The term "employees" as mentioned in these Measures refers to the personnel engaged in securities fund business and related management work in securities fund operating institutions. Article 3 The appointment of directors, supervisors, senior managers and heads of branches by securities fund operating institutions shall be filed with the relevant agencies of China Securities Regulatory Commission according to law.
Employees of securities companies shall meet the requirements for engaging in securities business, and be registered in China Securities Industry Association (hereinafter referred to as Securities Industry Association) in accordance with regulations; Employees of publicly offered securities investment fund management companies (hereinafter referred to as fund management companies) shall meet the requirements for engaging in fund business, and shall be registered with China Asset Management Association (hereinafter referred to as fund industry association) in accordance with regulations to obtain fund business qualifications.
Securities fund management institutions shall not employ persons who do not meet the post requirements as directors, supervisors, senior managers and heads of branches, engage in securities fund business and related management, or authorize persons who do not meet the post requirements or post requirements to actually perform relevant duties in violation of regulations. Article 4 Directors, supervisors, senior managers and employees of securities fund operating institutions shall abide by laws and regulations and the provisions of the China Securities Regulatory Commission, abide by the articles of association and industry norms, abide by integrity, be diligent and conscientious, and practice in good faith, and shall not harm the national interests, social interests and the legitimate rights and interests of investors. Article 5 The China Securities Regulatory Commission and its dispatched offices shall supervise and manage the directors, supervisors, senior managers and employees of securities fund operating institutions according to law.
Securities industry associations, fund industry associations (hereinafter referred to as industry associations) and other self-regulatory organizations shall exercise self-regulatory management over the directors, supervisors, senior managers and employees of securities fund operating institutions according to law. Chapter II Management of Directors, Supervisors and Senior Managers Article 6 The directors, supervisors and senior managers to be appointed as securities fund operating institutions shall meet the following basic requirements:
(a) integrity, good conduct;
(two) familiar with the laws and regulations of securities funds and the provisions of the China Securities Regulatory Commission;
(3) Having more than 3 years working experience in securities, funds, finance, law, accounting and information technology. Related to the position he proposed;
(4) Having management experience and management ability suitable for the proposed position;
(5) The senior manager of the securities fund operating institution to be appointed has served as the department head of the securities fund operating institution for more than 2 years, or has served as the department head of the financial institution for more than 4 years, or has considerable post management experience;
(6) Other conditions stipulated by laws and regulations and the China Securities Regulatory Commission.
The chairman of the board of directors, senior managers and other personnel engaged in the operation and management of the securities fund operating institution to be proposed shall also meet the requirements of the securities fund practitioners.
As the person in charge of compliance, risk control and information technology of securities fund operating institutions, other conditions stipulated by China Securities Regulatory Commission shall also be met. Article 7 Under any of the following circumstances, a person may not serve as a director, supervisor or senior manager of a securities fund operating institution:
(1) The existence of Article 146 of the Company Law, Paragraph 2 of Article 124 of the Securities Law, Paragraphs 2 and 3 of Article 125 of the Securities Investment Fund Law and Article 15;
(2) Being sentenced to punishment for committing crimes of endangering national security, terrorism, corruption, bribery, embezzlement of property, misappropriation of property, underworld crimes or disrupting social and economic order, or being deprived of political rights for committing crimes;
(3) Being subject to administrative punishment by the financial supervision department due to major violations of laws and regulations or being banned from the securities market by the China Securities Regulatory Commission, and the execution period has not exceeded 5 years;
(four) in the last five years, the China Securities Regulatory Commission has cancelled the qualification of fund practice or the fund industry association has cancelled the qualification of fund practice;
(5) Being the legal representative and the main person in charge of the operation and management of an institution that has been taken over, revoked, declared bankrupt or revoked its business license, and it has not been more than five years since the company was taken over, revoked, declared bankrupt or revoked its business license, unless it can be proved that I am not personally responsible for the company's takeover, revocation, declared bankrupt or revoked its business license;
(6) Being recognized as an inappropriate candidate by the China Securities Regulatory Commission or being taken disciplinary action by an industry association that is not suitable for engaging in related business, and the time limit has not expired;
(7) Being placed on file for investigation by an administrative organ or being placed on file for investigation by a judicial organ because of a suspected illegal crime, and the final handling opinion has not yet been formed;
(eight) other circumstances identified by the China Securities Regulatory Commission according to law.