1. The fund management company has a risk control committee (or compliance review and risk control committee) and other risk control institutions, which are responsible for controlling the risks in the fund operation as a whole.
2. Formulate internal risk control system. It mainly includes: investing in strict accordance with the investment ratio stipulated in laws and regulations and fund contracts, and not engaging in fund investment prohibited by laws and regulations.
Business; Adhere to the principle of independence, fund assets managed by fund management companies and their own assets should be managed independently and separately, and company accounting and fund accounting should be strictly separated; The centralized trading system is implemented, and each transaction must be recorded in writing and stamped with a time stamp; Strengthen internal information control, implement space isolation and access control system to prevent internal important information from leaking; The front and back office departments should operate independently and so on.
3. Internal supervision and audit control. The purpose of supervision and audit is to check and evaluate the legality, compliance and effectiveness of the company's internal control system and the company's investment operation, supervise the implementation of the company's internal control system, reveal the risks in the company's internal management and investment operation, put forward suggestions for improvement in time, ensure the effective implementation of national laws and regulations and the company's internal management system, and safeguard the legitimate rights and interests of fund investors.
Fund management company is the main pillar of modern capital market and the main organizer and supplier of long-term funds in capital market. To become the dominant force in the capital market, we must have mature investment ideas, specialized research methods, good governance structure, standardized products, strict internal risk control system, strict external supervision and information disclosure system. As a buyer of the capital market, we should check and balance with securities companies, make reasonable valuation and pricing for listed companies, promote listed companies to improve corporate governance, promote industrial upgrading, optimize industrial structure, accelerate innovation in technology, products and systems, improve the return on capital, let investors share the dividend of company growth, and realize a win-win situation between investors and the capital market. At the same time, in accordance with the principles of honesty, credit and diligence, we will conscientiously fulfill our fiduciary obligations, do a good job in investor education according to the changes in market investment value, and reasonably decide the timing and scale of raising funds. Investors should be fully aware that the performance advertised by fund management companies often cannot represent future earnings, and keep a high degree of vigilance against those fund management companies that publicize unilaterally, do not fully reveal risks, and become misleading advertising.