Asset managers and asset custodians shall abide by their duties, perform the obligations of honesty, credit, prudence and diligence, and treat all investors fairly.
The asset trustor shall ensure that the source of funds is legal and shall not harm the interests of the state, society or others. Article 4 A fund management company is engaged in specific asset management business, and the entrusted property is independent of the inherent property of the asset manager and the asset custodian, and independent of other properties managed by the asset manager and entrusted by the asset custodian. Asset managers and asset custodians may not classify the entrusted property as their inherent property.
The property and income obtained by the asset manager and the asset custodian due to the management, use or other circumstances of the entrusted property belong to the entrusted property.
If an asset manager or an asset custodian is liquidated due to dissolution, cancellation or bankruptcy according to law, the entrusted property does not belong to its liquidation property. Article 5 China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) shall supervise and manage specific asset management businesses in accordance with laws, administrative regulations and these Measures. Article 6 Securities and futures exchanges shall supervise the securities and futures trading activities of specific asset management businesses in accordance with laws, administrative regulations and these Measures. Chapter II Business Norms Article 7 A fund management company may engage in specific asset management business in the following forms:
(1) Handling specific asset management business for a single customer;
(2) Handling specific asset management business for specific customers. Article 8 A fund management company that meets the following conditions may conduct specific asset management business with the approval of the China Securities Regulatory Commission:
(1) The business conduct is standardized, and it has not been subjected to administrative punishment or ordered by the regulatory authorities to make rectification due to illegal acts in the last 65,438+0 years, and it is not being investigated by the regulatory authorities due to illegal acts;
(2) It has been equipped with corresponding professionals engaged in specific asset management business;
(3) Formulating effective business rules and measures to prevent behaviors such as interest transfer, illegal commitment of interests or losses, and unfair competition;
(four) the establishment of a fair trade management system, clear the principles, contents and specific measures to achieve fair trade;
(5) An effective investment monitoring system and reporting system have been established, which can detect abnormal trading behaviors in time.
(six) other conditions determined by the China Securities Regulatory Commission according to the principle of prudent supervision. Article 9 Where a specific asset management business is handled for a single customer, the initial assets entrusted by the customer shall not be less than RMB 30 million, unless otherwise stipulated by the China Securities Regulatory Commission. Article 10 Where a fund management company handles specific asset management business for multiple clients, it shall sell multiple client asset management plans (hereinafter referred to as asset management plans) to qualified specific clients.
The qualified specific customers mentioned in the preceding paragraph refer to natural persons, legal persons, legally established organizations or other specific customers who are entrusted to invest in a single asset management plan with an initial amount of not less than 6.5438+0 million yuan and can identify, judge and bear the corresponding investment risks. Article 11 Where a fund management company handles specific asset management business for multiple clients, the number of clients in a single asset management plan shall not exceed 200, and the total initial assets entrusted by clients shall not be less than RMB 30 million, unless otherwise stipulated by the China Securities Regulatory Commission.
The asset management plan should be set to equal shares. Unless otherwise agreed in the asset management contract, each plan share has the same legal rights and interests. Article 12 When a fund management company engages in specific asset management business, it shall entrust the entrusted property to a commercial bank with fund custody qualification. Article 13 To engage in specific asset management business, the asset trustor, asset manager and asset custodian shall sign a written asset management contract, clearly stipulating their respective rights, obligations and related matters.
The content and format of an asset management contract shall be stipulated separately by the China Securities Regulatory Commission. Article 14 When a fund management company sells an asset management plan to a specific customer, it shall prepare an investment statement. The investment statement shall be true, accurate and complete, and there shall be no false records, misleading statements or major omissions.
The investment report shall include the following contents:
(1) An overview of the asset management plan;
(2) The main contents of the asset management contract;
(3) Overview of the asset manager and the asset custodian;
(4) Disclosure of investment risks.
(5) initial sales period;
(six) other matters stipulated by the China Securities Regulatory Commission.