To apply for the qualifications of senior managers of a fund management company, the fund management company shall submit the following application materials to the China Securities Regulatory Commission:

(a) the application for the qualification examination and the application form for the post qualification of the proposed senior management personnel (hereinafter referred to as the proposed person);

(2) Resolutions of relevant meetings;

(3) Proof of work experience specified in Item (3) of the preceding article;

(four) the outgoing audit report, outgoing review report or expert opinion issued by the work unit in the last three years;

(five) opinions on the candidates;

(six) a copy of the candidate's identity, education and degree certificate;

(seven) a copy of the qualification certificate of the proposed fund;

(eight) a copy of the certificate of passing the securities investment legal knowledge examination for the proposed senior managers;

(9) Legal opinions that the post-holding conditions and procedures comply with laws, administrative regulations, provisions of the China Securities Regulatory Commission and the articles of association;

(ten) other materials as prescribed by the China Securities Regulatory Commission.

To apply for the post qualification of a senior manager of the fund custody department, the fund custody bank shall submit the application materials other than items (2) and (9) of the preceding paragraph to the China Securities Regulatory Commission.

Extended data

operating duty

1. According to the investment strategy of the Investment Decision Committee, supported by the research report of the research department, combined with the analysis of the securities market, listed companies and investment opportunities, formulate specific investment plans for the managed funds, including: asset allocation, industry allocation and heavy stock investment plans;

2. Provide funds to the R&D department according to the provisions of the fund contract;

3. Visit the listed companies for further research and in-depth analysis of the stock fundamentals;

4. Build a portfolio and make independent decisions within the scope of authorization; If not, it should be reported to the person in charge of investment and the investment decision-making Committee for approval before issuing trading instructions to the traders in the central trading room.

Baidu Encyclopedia-Fund Manager

Baidu Encyclopedia-Measures for the Administration of Senior Managers in Securities Investment Fund Industry