(1) A fund sales institution shall, in accordance with the requirements of relevant laws and regulations, improve the internal control system and business execution system, improve the internal supervision and feedback system, strengthen the compliance control of the back-office management system on the rate, and strengthen the unified management and supervision of the fund sales expenses of branches.
(2) The fund sales organization collects sales expenses from investors according to the fund contract and prospectus; Without the prospectus and announcement, different rates may not be applied to different investors.
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(3) The fund manager and the fund sales organization shall stipulate the proportion of sales expenses such as subscription (subscription) fee, redemption fee and sales service fee in the Fund Sales Agreement and its supplementary agreement, and accordingly confirm the fund sales income according to their actual sales expenses, and make accounting, bookkeeping and tax payment according to law.
(4) Before the fund sales organization sells the fund products of the fund manager, it shall sign a sales agreement with the fund manager to stipulate the payment ratio and method. The fund manager and the fund sales organization may agree in the fund sales consultation that a certain proportion of customer maintenance fee shall be extracted according to the amount of funds sold by the sales organization, which shall be used to pay the relevant expenses incurred by the fund sales organization due to customer service and sales activities, and the customer maintenance fee shall be charged from the fund management fee.
(5) The fund manager and the fund sales organization shall clearly stipulate the settlement method and payment method of sales expenses in the fund sales agreement, and shall not sign other supplementary agreements on sales expenses other than customer maintenance fees.
(6) The fund manager shall not pay the customer maintenance fee to the sales organization that is not based on the sales fund amount, and shall not pay the sales commission or reward in disguise outside the fund sales agreement.
(7) In fund sales activities, fund sales institutions shall not commit the following acts: ① Commercial bribery in the activities of signing sales agreements or selling funds; (2) Reduce the fees of the fund for the purpose of crowding out competitors; (3) changing the charging items or charging standards to fund investors without announcement, or reducing the charging standards in disguised form by means of collecting first and then returning, financial treatment, etc.; (4) Selling funds by lottery, kickback or giving away in kind, insurance, fund shares, etc.; ⑤ Other acts that violate the provisions of laws and administrative regulations and disrupt the competitive order of the industry.
(8) The fund manager shall specify the following information about the fund sales expenses in the prospectus and the fund share offering announcement: ① the collection conditions, methods, uses and expense standards of the fund sales expenses; ② Explain the level of fund sales expenses to investors with examples in a simple and clear format; ③ Other information items related to fund sales expenses stipulated by China Securities Regulatory Commission.
(9) The fund manager shall disclose the amount of management fee, custody fee and fund sales service fee accrued from the fund property in the semi-annual report and annual report of the fund, and explain the total customer maintenance fee paid to the fund sales organization in the management fee.
(10) The fund manager shall list the specific payment items and usage of the total fund sales fees and customer maintenance fees paid from the management fees in the quarterly regulatory audit report.