(1) Being sentenced to punishment for committing crimes of corruption, bribery, dereliction of duty, property infringement or disrupting the order of the socialist market economy;
(2) The directors, supervisors, factory directors, managers and other senior managers who are personally responsible for the bankruptcy liquidation of the company or enterprise where they work or the revocation of their business licenses due to poor management have not been more than five years since the date of bankruptcy liquidation or revocation of their business licenses;
(three), the amount of personal debt is relatively large, and it is not paid off at maturity;
(4) Employees of fund managers, fund custodians, stock exchanges, securities companies, securities registration and settlement institutions, futures exchanges, futures brokerage companies and other institutions and staff of state organs who are dismissed for illegal acts;
(5) Lawyers, certified public accountants, employees of asset appraisal institutions and verification institutions, and investment consulting employees who have their practice certificates revoked or their practice qualifications cancelled due to illegal acts;
(six) other personnel prohibited from engaging in fund business by laws and administrative regulations.
Legal basis: People's Republic of China (PRC) Securities Investment Fund Law.
Article 15 Under any of the following circumstances, a person may not serve as a director, supervisor, senior manager or other employee of a fund manager of a publicly offered fund:
(1) Being sentenced to punishment for committing crimes of corruption, bribery, dereliction of duty, property infringement or disrupting the order of the socialist market economy;
(2) The directors, supervisors, factory directors and senior managers who are personally responsible for the bankruptcy liquidation of the company or enterprise where they work or the revocation of their business licenses due to poor management have not been more than five years since the date of bankruptcy liquidation or revocation of their business licenses;
(three) the amount of personal debt is relatively large, and it has not been paid off at maturity;
(4) Employees of fund managers, fund custodians, stock exchanges, securities companies, securities registration and settlement institutions, futures exchanges, futures companies and other institutions and staff of state organs who are dismissed for illegal acts;
(5) Lawyers, certified public accountants, employees of asset appraisal institutions and verification institutions, and investment consulting employees who have their practice certificates revoked or their practice qualifications cancelled due to illegal acts;
(six) other personnel prohibited from engaging in fund business by laws and administrative regulations.
Article 16 The directors, supervisors and senior managers of fund managers who offer funds publicly shall be familiar with securities investment laws and administrative regulations, and have at least three years of work experience related to their positions; Senior managers should also have the qualifications for fund practice.