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关于基金管理公司运用固有资金进行基金投资有关事项的通知 Notice on Matters concerning Fund Management Company's Making Fund Investment with Self-owned Capital

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证监基金字[2005]96号

颁布日期:20050608  实施日期:20050608  颁布单位:国家证券监督管理委员会

  Zheng Jian Jijin Zi [2005] No. 96

  On June 8, 2005

  All Fund Management Companies:

  The following Notice on Matters concerning fund management company's making fund investment with self-owned capital is formulated in accordance with provisions in the Law of the People's Republic of China on Securities Investment Funds and Provisional Measures for the Administration of Securities Investment Funds to standardize fund management company's acts of making fund investment with self-owned capital and to protect the legitimate rights and interests of holders of fund units.

  1. The fund management company shall comply with relevant provisions in laws, administrative regulations and those set forth by the CSRC and follow the corresponding procedures set forth its articles of association in making investment with self-owned capital.

  2. The fund management company shall follow the principle of prudence and soundness, intensify its efforts in managing the liquidity of self-owned capital to maintain its normal operation. It is prohibited from carrying out the following activities: providing financing for others, lending capital to other institutions, engaging in other improper connected/related transactions or interests delivery or infringing on the legitimate rights and interests of fund unit holders. The fund management company is not allowed to invest in exchanged traded fund(ETF)with its self-owned capital.

  3. The fund management company whose net assets are over RMB 50 million is allowed to make fund investment with its self-owned capital; however, the total amount of fund units that it holds shall not exceed 60% of its total net assets.

  4. If the fund management company makes investment in closed-end fund with its self-owned capital, the fund units it holds shall not exceed 10% of the total amount of this fund and are not allowed to be sold before the fund contract terminates. If the liquidity of assets has really had grave impact on its normal operation, the fund management company may sell the closed-end fund it purchased with the approval of the board of directors and report it to CSRC.

  If it makes fund investment in closed-end fund with self-owned capital, the fund management company shall disclose information on the fund units it holds and variation in proportion of fund units it holds in the quarterly statement of the fund concerned; When the proportion of fund units it holds exceeds 5% of all the fund units, the fund management company shall disclose this case on journals designated by CSRC and its website within 2 trading days; Since then, when the proportion of such fund units it holds is up by each 2%, it shall disclose the variation publicly within 2 trading days.

  5. If it makes investment in open-end fund it manages with its self-owned capital, the fund management company shall follow the principle of openness and fairness, comply with the stipulations reached in the fund contract and the prospectus and conform to the following provisions:

  (1) It shall make investment through underwriters and engage in no after-hour trading; it shall make investment in listed open-end fund only by the way of subscription, application for purchase or redemption.

  (2) The term/duration for which it holds the fund units shall be no shorter than 6 months; the fund units it holds shall not exceed 10% of the total fund units; The case that the proportion of fund units it holds in the total is driven up because other fund unit holders have redeemed the fund units they hold is not subject to this limit.(3) The fund management company is not entitled to rate more preferential than that offered to other investors if it subscribes, applies for purchase and redeems the fund units at rate agreed on in the fund contract and the prospectus.

  (3) The fund management company is not entitled to rate more preferential than that offered to other investors if it subscribes, applies for purchase and redeems the fund units at rate agreed on in the fund contract and the prospectus.

  (4) If it subscribes the fund units, the fund management company shall include the fund units it subscribes, the date of subscription, the applicable rate at which it subscribes the fund units and etc in public announcement declaring that the fund contract comes into force.

  (5) If it applies for purchase the fund units, the fund management company shall publish on the journals designated by CSRC and its website the investment categories, date of investment and the amount it plans to applies for purchase and the applicable rate at least 2 trading days earlier than its date of application for purchase; it shall also submit archive-filing materials to CSRC and the representative office of CSRC in place where it is based.

  (6) If it redeems the fund units, the fund management company shall publish on the journals designated by CSRC and its website the investment categories, date and the amount it plans to redeem and the applicable rate at least 2 trading days earlier than its date of redemption; it shall also file relevant materials for record with CSRC and the representative office of CSRC in place where it is based.

  The fund management company shall follow what is disclosed in the public announcement to perform trading obligations after timely making public announcements of application for purchase, redemption.

  6. The fund management company shall publish its investment categories, date of investment, amount it is purchasing and applicable rate on journals designated by CSRC and its website within 2 trading days after making investment with its self-owned capital in fund that other fund management companies manage.

  7. The fund management company is prohibited from putting forward proposals to fund unit holder meeting as fund unit holder and shall abstain from voting on items involving its interests if it has made investment in fund it manages with its self-owned capital.

  8. The fund management company shall formulate rules on internal control over making fund investment with its self-owned capital which lay out provisions on decision-making on investment, implementation of such decision, information disclosure and etc and file these rules with CSRC and its representative office concerned for record.

  The fund management shall redress timely its proportion of fund units if it had already made fund investment with its self-owned capital prior to the release of this Notice and the proportion of fund units it holds is not in line with the relevant provisions in this Notice.

  9. If the fund management company violates provisions in this Notice, CSRC may take measures of administrative regulation against the fund management company at issue, the officers in charge of the relevant items/matters and its employees directly liable for such violations in line with Provisional Measures for the Administration of Securities Investment Funds.

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