Compliance inspection should follow the following principles: independence, objectivity, impartiality, professionalism and coordination.

The principle of independence mainly means that the Compliance Department and the Inspector General should have an independent position in the organizational system of the fund company, and the compliance management should be independent from other business activities. The principle of objectivity means that compliance personnel should objectively evaluate the facts of violation according to relevant laws and regulations, and avoid the violations of collusion between compliance personnel themselves and business personnel.