The directors, supervisors, senior managers and other employees of the fund manager who publicly offers funds shall not hold the post of fund custodian or other fund managers, and shall not engage in securities trading or other activities that harm the interests of fund property and fund share holders. Below, I will share with you the test sites for fund managers to prohibit behavior. Welcome to read and browse.
1 learning objectives
Prohibition of fund managers
2 kaodian shorthand
The directors, supervisors, senior managers and other employees of the fund manager who publicly offers funds shall not hold the post of fund custodian or other fund managers, and shall not engage in securities trading or other activities that harm the interests of fund property and fund share holders.
Fund managers, directors, supervisors, senior managers and other employees of publicly offered funds shall not commit the following acts:
(1) Engage in securities investment of fund property with its inherent property or other people's property.
(2) Unfair treatment of different fund properties managed by them.
(3) Taking advantage of fund property or position to seek benefits for people other than fund share holders.
(4) Commit gains or bear losses to fund share holders in violation of regulations.
(5) Embezzling or misappropriating the fund property.
(6) divulging undisclosed information obtained by taking advantage of his position, and using the information to engage in or express or imply others to engage in relevant trading activities.
(seven) dereliction of duty, do not perform their duties according to the provisions.
(eight) other acts prohibited by laws, administrative regulations and the provisions of the the State Council securities regulatory authority.
3 synchronous self-test
The behaviors that fund managers, directors, supervisors, senior managers and other employees in Public Offering of Fund are not allowed to have include ().
1. Unfair treatment of different fund properties under its management.
Two. Embezzlement and misappropriation of fund property
Three. Dereliction of duty, failure to perform duties according to regulations
Four. Misappropriation of its inherent property or other people's fund property to engage in securities investment.
A.Ⅰ、Ⅱ、Ⅲ
B.Ⅰ、Ⅳ
C.Ⅲ、Ⅳ
D.Ⅰ、Ⅱ、Ⅲ、Ⅳ
Answer d
According to "People's Republic of China (PRC) Securities Investment Fund Law", fund managers, directors, supervisors, senior managers and other employees who offer funds publicly shall not commit the following acts: (1) Invest their inherent property or other people's property in fund property. (2) Unfair treatment of different fund properties managed by them. (3) Taking advantage of fund property or position to seek benefits for people other than fund share holders. (4) Commit gains or bear losses to fund share holders in violation of regulations. (5) Embezzling or misappropriating the fund property. (6) divulging undisclosed information obtained by taking advantage of his position, and using the information to engage in or express or imply others to engage in relevant trading activities. (seven) dereliction of duty, do not perform their duties according to the provisions. (eight) other acts prohibited by laws, administrative regulations and the provisions of the the State Council securities regulatory authority.
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