证券投资基金托管资格管理办法 Order of President of China Banking Regulatory Commission and President of China Secu

cle 11 A commercial bank， which has obtained the qualification as a fund custodian， shall be a fund custodian.

　　Every fund custodian shall promptly apply for the qualification of being a senior officer for persons to be senior officers of its fund custody department and the qualification of being employed in the fund sector for persons to be staff members of its fund custody department， and go through corresponding employment formalities.

　　Article 12 Every fund custodian shall， in conducting business ， keep lawful， honesty and faithful， diligent and devoted， and effectively perform its statutory and contractual functions and duties.

　　Article 13 Every fund custodian shall take proper measures according to law to ensure that its fund custody business and selling business on a commission basis shall be independent of each other and effectively safeguard the integrity and independence of fund assets under its custody.

　　Article 14 Fund custodians shall communicate with each other and may not engage in any unfair competition or monopolize the market；

　　Article 15 Where an applicant conceals relevant facts or provides false application materials， CSRC and CBRC shall not accept its application or grant any administrative license， and shall give the applicant a warning； and the applicant may not apply for the qualification as a fund custodian during the period of a year.

　　Where any applicant has obtained the qualification as a fund custodian by means of fraud or bribery or any other unwarrantable methods， CSRC shall， in consultation with CBRC， revoke the applicant's qualification as a fund custodian， and give the applicant a warning and a fine with its fund custody business license nullified by CSRC； CBRC may， pursuant to different circumstances， charge the applicant to give a disciplinary sanction to the person in charge who is directly responsible and other persons directly responsible， or give such persons warnings or fines， or prohibit them from employment in the banking sector for a specified period of time or for their lifetime； the applicant may not again apply for the qualification as a fund custodian in three year

s； those suspected of committing a crime shall be transferred to the judicial organ for investigation for the criminal liabilities.

　　Article 16 CSRC and CBRC shall make supervision and administration on the fund custody business commercial banksaccording to law.

　　Article 17 In the case of non-compliance with the requirements as provided for in Articles 3 to 6 of the present Measures， the fund custodian concerned must promptly report it to CSRC and CBRC and make corrections within a specified time limit.

　　If the fund custodian fails to report such non-compliance in time， CSRC and CBRC shall charge it to make corrections and give a warning and fine to the person in charge who is directly responsible and other persons directly responsible； CBRC may charge the fund custodian to give disciplinary sanctions to the person in charge who is directly responsible and other persons directly responsible； if the consequences are serious， CSRC may， in addition， suspend or revoke such persons' qualifications of being senior officers or being employed in the fund sector， and CBRC may， in addition， prohibit such persons from employment in the banking sector for a specified period of time or for their lifetime.

　　Article 18 In the case of non-compliance with the requirements as provided for in Articles 3 to 6 of the present Measures， if the fund custodian concerned fails to correct such non-compliance， CSRC shall， in consultation with CBRC， suspend or revoke its qualification as a fund custodian and shall nullify its fund custody business license； as to the person in charge who is directly responsible and other persons directly responsible， CSRC shall， in consultation with CBRC， give them fines， and may suspend or revoke such persons' qualifications of being senior officers or being employed in the fund sector in addition； and CBRC may， in addition， prohibit such persons from employment in the banking sector for a specified period of time or for their lifetime； those suspected of committing a crime shall be transferred to the judicial organ for investigation of their criminal liabilities.

　　Article 19 The present Measures shall be applicable to domestic Chinese-funded commercial banks not to any foreign-funded commercial bank.

　　Article 20 The present Measures shall come into force as of January 1， 2005

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