Since its establishment, Public Offering of Fund has always adhered to the asset management origin of "entrusted financial management", adhered to the concept of long-term investment and value investment, focused on the investment targets with reasonable valuation and sustainable growth in performance, paid attention to balanced allocation, and pursued long-term stable appreciation of assets. This is mainly based on the sound laws and regulations of Public Offering of Fund's operation and management. 1. The proportion of compliance personnel of fund companies should be higher than 1.5%. In the compliance department of a fund management company, there shall be no less than 65,438+0.5% compliance managers with more than three years' working experience in securities, finance, law, accounting, information technology and other related fields, and no less than two. The compliance management personnel of the Compliance Department do not include those in positions such as risk management. The investment management department of a fund management company and other departments and branches that are difficult to control compliance risks shall be equipped with full-time compliance management personnel. China Fund Industry Association said that if the staffing of compliance management personnel of fund management companies does not meet the requirements of Article 21 of the Code, they should be recruited and adjusted as soon as possible to ensure that they meet the requirements before 20 17 12 3 1. Two. Fund companies should abide by five principles. A fund management company shall implement compliance management through effective internal control measures. And should follow the following five principles: first, the principle of soundness. The company shall, in combination with the business scale and type of the company and the actual situation of the internal organization, establish a perfect compliance management system and equip corresponding compliance personnel to achieve comprehensive coverage of compliance management; The second is the principle of effectiveness. The company shall use scientific management methods and systematic management tools to establish an effective compliance management process to ensure the compliance operation of the company and funds and improve the effectiveness of compliance management; The third is the principle of matching powers and responsibilities. The powers and responsibilities in compliance management should be reasonably distributed and arranged among the board of directors, management, subordinate units (departments at all levels, branches and subsidiaries) and employees of the company, so as to match the powers and responsibilities, and each subject should bear corresponding compliance responsibilities for violations within the scope of duties; The fourth is the principle of mutual restraint. The responsibilities of departments and posts within the company should be clear and balanced, and the roles of mutual restriction and supervision should be reflected in the aspects of governance structure, institutional setup, responsibility distribution and business process. The fifth is the principle of timeliness. Compliance management should reflect the new trend of fund industry development, timely reflect the latest requirements of laws and regulations, normative documents, regulatory policies and self-discipline rules, and constantly adjust and improve them. Three. Defining the duties of the inspector general The inspector general shall perform his duties in accordance with the provisions of the Measures and guide the compliance management department to carry out compliance management. Including but not limited to compliance review, compliance inspection, compliance consultation, compliance publicity and training, compliance report, etc. Moreover, the inspector general shall not have the following behaviors: leaving his post without authorization, failing to perform his duties without reason, illegally authorizing others to perform his duties on his behalf, taking advantage of his duties to seek personal gain, abusing his power to interfere with the normal operation of the fund and the company, etc. The inspector general and compliance management personnel shall strictly abide by the confidentiality system and have the obligation to keep confidential the non-public information they have in performing their duties. Do not disclose non-public information to other institutions or personnel in violation of laws, regulations and the articles of association, and do not use non-public information to conduct securities investment activities for yourself or others. Four. Clarify the post requirements of the inspector general. The inspector general shall be familiar with relevant laws, regulations and standards, be honest and trustworthy, be familiar with securities fund business, have the professional knowledge and skills required for double-edged compliance management, and meet the following post requirements: have worked in securities funds for more than ten years, and have passed the competency examination for compliance managers organized by China Asset Management Association. Or engaged in securities fund work for more than five years, and passed the legal professional qualification examination, or worked for more than five years in the securities regulatory agency's securities fund industry self-discipline organization. Of course, there are other conditions stipulated by the China Securities Regulatory Commission. V. The proportion of compliance personnel reached 65,438+0.5%. The compliance department of a fund management company shall have more than three years of working experience in securities, finance, law, accounting, information technology and other related fields, and the number of compliance management personnel shall be no less than 65,438+0.5% of the company headquarters, and no less than two. Compliance management personnel in the compliance department, excluding personnel in positions such as risk management. The investment management department of a fund management company and other departments with difficulties in compliance risk management shall be equipped with full-time compliance management personnel. A fund management company shall bring subsidiaries at all levels into a unified compliance management system to ensure the consistency of compliance culture. Specific requirements include but are not limited to the following: 1. Require subsidiaries to submit compliance reports regularly. The specific contents of the compliance report include but are not limited to the basic situation of compliance management, the formulation and implementation of compliance management system, the performance of various compliance management functions, the compliance operation of various businesses, the discovery and rectification of compliance risks, and the compliance work in the next stage. 2. Require subsidiaries to report major risks in a timely manner; 3. Supervise and inspect the compliance of subsidiaries' compliance management and operation management behaviors; 4. Review the basic compliance management system of subsidiaries; 5. When a major risk event occurs in the material company, the main responsible person shall be treated in compliance with the relevant system; 6. Evaluate the compliance management of subsidiaries and compliance management matters required by other regulatory agencies every year. Seven. The inspector general's income is above the median. If the director is qualified after examination, the ranking of his total annual salary income in the total annual salary income of the company's senior management personnel shall not be lower than the median level. If the compliance management personnel who pass the examination are competent, their total annual salary income shall not be lower than the average level of the company's personnel at the same level. Eight. If a fund management company violates the provisions of this Code, the Association may, depending on the seriousness of the case, take disciplinary measures against the economic management company, such as criticizing, warning, publicly condemning, blacklisting, requiring rectification within a time limit, cleaning up the illegal business, suspending accepting business, suspending some members' rights, and canceling membership. If the directors, supervisors, chairman, inspector general, other senior managers and directly responsible personnel of a fund management company fail to perform their duties diligently, resulting in major violations of laws and regulations or major compliance risks of the company, the association may take disciplinary measures such as notification, criticism, warning, public condemnation, blacklisting, compulsory training, suspension of fund qualification and cancellation of fund qualification, depending on the seriousness of the case. There are many relevant laws and regulations in Public Offering of Fund, and the above list is only a small part of them. These laws and regulations restrict Public Offering of Fund's behavior and provide reference for him. Only in this way can we ensure that Public Offering of Fund is the most transparent and standardized fund. Therefore, on the whole, Public Offering of Fund's assets are safer and more acceptable.