The basic principles of compliance management of fund managers include independence, objectivity, impartiality, professionalism and coordination. The following are the specific contents of each principle:

(1) Principle of independence: The principle of independence mainly means that the Compliance Department and the Inspector General should have independent positions in the organizational system of the fund company, and compliance management should be independent of other business activities.

(II) Objectivity principle: Objectivity principle means that compliance personnel should objectively evaluate the violation facts according to relevant laws and regulations, so as to avoid collusion between compliance personnel and business personnel.

(III) Principle of fairness: The principle of fairness means that compliance personnel should adhere to uniform standards to evaluate and report the risk of violation when inspecting business departments.

(4) Principle of professionalism: The principle of professionalism means that compliance personnel should be familiar with the business system, understand the operational processes of various businesses of fund managers, and accurately understand and grasp the provisions and changing trends of laws and regulations.

(V) Principle of coordination: The principle of coordination means that compliance personnel should correctly handle the relationship with other departments and regulatory departments of the company, and strive to form a joint force of compliance of the company to avoid internal friction.