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The listing and trading of fund shares involves the interests of many investors and is closely related to the financial fields such as securities, and should be approved in accordance with the conditions and procedures prescribed by law. In essence, fund share is a kind of securities in a broad sense. Therefore, the provisions of this article on the examination and approval of fund share listing transactions are basically consistent with those of the Securities Law on the examination and approval of securities listing transactions.
According to the relevant regulations, the approval procedures for the listing of fund shares are as follows:
1. The fund manager submits the listing application, listing announcement, fund raising application approval document, fund share offering document, fund contract, fund custody agreement, capital verification report, qualification certificates of fund manager and fund custodian, fund property custody certificate, etc. to the stock exchange. And apply to the stock exchange for listing and trading of fund shares.
2. The stock exchange shall review the documents submitted by the fund manager, issue audit opinions on those that meet the requirements for listing and trading, draw up the time for listing and trading, and attach relevant documents, which shall be submitted to the the State Council Securities Regulatory Authority for approval.
3. The securities regulatory authority in the State Council shall examine the documents submitted by the stock exchange in accordance with regulations, make a decision of approval or disapproval, notify the stock exchange and the fund manager, and explain the reasons for disapproval.
4. If the application for listing and trading of fund shares is approved by the the State Council Securities Regulatory Authority, the stock exchange will issue a listing announcement and sign a listing and trading agreement with the fund manager to arrange the listing and trading of fund shares.
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