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关于进一步完善证券投资基金募集申请审核程序有关问题的通知 Circular on Relevant Issues Concerning the Further Improvement of Procedure for the Application and Examination of Raising Securities Investment Funds

2006-05-12 17:15   我要纠错 | 打印 | 收藏 | | |

证监基金字[2005]101号

颁布日期:20050616  实施日期:20050616  颁布单位:中国证券监督管理委员会

  Zheng Jian Ji Jin Zi [2005] No. 101

  To various fund management companies and fund custodian banks

  In order to further improve the procedure for the application and examination of raising securities investment funds (hereinafter referred to as the “funds”) , improve the review efficiency and quality, promote the sound and standardized development of fund market, and subject to the Securities Investment Fund Law, Measures for the Administration of Operation of Securities Investment Funds and the Interim Measures for the Administration of Professional Consultative Committee (Zheng Jian Ji Jin Zi [2003] No.13) and the Provisions of the China Securities Regulatory Commission on the Procedures for the Implementation of Administrative License (For Trial Implementation) (hereinafter referred to as the Procedure Provisions), relevant issues concerning the further improvement of procedure for the application and review of raising securities investment funds are hereby notified as follows:

  1. The China Securities Regulatory Commission (the CSRC) shall, after accepting the application for raising funds, decide on whether to organize a fund expert review meeting to review the said application pursuant to the pertinent specific situations in connection with the collection of funds.

  For an application submitted to the review meeting attended by fund experts for the collection of funds, the reviewing experts shall focus on the review of such aspects of funds as their investment management and risk control and independently give their own review comments which shall be offered to the CSRC for reference.

  2. If a fund management company, which conducts standardized acts, has strong investment research capacities and wins good market evaluation, shall not be required to submit its application for raising funds to the fund expert review meeting for review, except to the extent of the following circumstances:

  (1) If the said company hasn't been in operation for a full year from its establishment;

  (2) If the said company has greatly innovated the design for its fund products;

  (3) If the said design requires further improvement and reference to the review opinions given by the fund expert review meeting; and

  (4) any other circumstances as deemed necessary by the CSRC to be submitted to the fund expert review meeting for review based on the principle of careful supervision.

  3. In case any greater innovation take place in the design of fund products, the CSRC shall give priority to arrangement of review conducted by the fund expert review meeting and examination of application materials. If the innovation in fund products are significant, and after the fund collection has been approved by the CSRC, other fund management companies shall, within a time limit stipulated by the CSRC, be forbidden to reproduce or imitate such significant innovation.

  4. If an application for fund collection is found rough, ambiguous and incomplete respectively in connection with its design scheme, operating thoughts for investment or risk control measures after examination, the fund management company filing such application shall be ordered to make important amendments subject to the procedures laid down in Article 24 and 25 of the Procedure Provisions. As to an application of the kind mentioned above, which has been submitted to the fund expert review meeting for review, a decision shall also be made on whether or not such application shall be re-applied to the fund expert review meeting for review again based on the specific situations after the said amendment.

  5. If there remains any issue in the application for fund collection which has been amended and submitted to the fund expert review meeting for review, the CSRC shall not grant an approval to such application and adopt administrative supervision measures in compliance with specific situations.

  6. Any lawyer or law firm producing legal opinions to the application for fund collection and offering legal services shall comply with pertinent provisions, earnestly fulfill his or its responsibilities, check and verify pertinent materials and facts and ensure the authenticity, accurateness and completeness of documents issued thereof.

  7. This Circular shall go into effect as of the date of promulgation.

  China Securities Regulatory Commission

  June 16, 2005

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