(A) the principle of protecting the interests of investors

The principle of protecting the interests of investors is the concentrated expression of the purpose and purpose of fund supervision activities, and fund supervision should take protecting the interests of investors, that is, fund share holders, as the primary goal.

(B) the principle of moderate supervision

Market failure requires government intervention, but government intervention in modern market economy should be "moderate" intervention, that is, government supervision is moderate.

(3) the principle of efficient supervision

The so-called efficient supervision means that fund supervision activities should not only achieve the fundamental goal of fund supervision in the way of maximizing value, but also promote the efficient development of fund industry through fund supervision activities.

(four) the principle of supervision according to law

The principle of supervision according to law refers to the establishment of supervision institutions and the acquisition of supervision authority, which must have legal basis.

(5) The principle of prudential supervision

The essence of prudential supervision, also known as "structural early intervention and settlement", means that financial supervision institutions should take effective measures as soon as possible to protect others other than shareholders of financial institutions from losses before financial institutions completely lose money.

(six) the principle of open, fair and just supervision.

The principle of openness, fairness and justice, also known as the "three publics" principle, is the basic principle of securities market activities and securities supervision.