(1) Principle of independence

The principle of independence mainly means that the compliance department and the inspector general should have an independent status in the organizational system of the fund company, and compliance management should be independent of other departments. Various business operations.

(2) Principle of Objectivity

The principle of objectivity means that compliance personnel should objectively evaluate the facts of violations in accordance with relevant laws and regulations to avoid collusion between compliance personnel themselves and business personnel. .Irregularities.

(3) Principle of impartiality

The principle of impartiality means that compliance personnel should adhere to unified standards to assess and report the risks of irregularities when verifying 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 the fund manager’s various businesses, and accurately understand and grasp the law Regulations and changing trends.

(5) Principle of coordination

The principle of coordination means that compliance personnel should correctly handle the relationship with other departments and regulatory authorities of the company, strive to form the company's compliance synergy, and avoid Internal consumption.

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