上市开放式基金登记结算业务实施细则 Rules for the Implementation of the Registry and Clearance Business of Listed Open

颁布日期：20040820 　实施日期：20040820 　颁布单位：中国证券登记结算有限责任公司

　　August 23， 2004

　　Chapter 1 General Provisions

　　1.1 This Rules is promulgated with a view to maintaining the order of securities investment fund market， protecting the legal rights of investors and standardizing the registry and clearance business of listed open-end fund， in accordance with the Securities Investment Fund Law of the People's Republic of China and the relevant provisions of other laws， regulations， rules and those set forth by China Securities Depository and Clearance Co.， Ltd. （hereinafter referred to as this Company）。

　　1.2 The listed open-end fund referred to in this Rules is the open-end fund replaced， listed and transacted in Stock Exchange. Listed open-end fund may be subscribed and transacted through Stock Exchange， or subscribed， applied for and redeemed through fund manager or its best effort institution.

　　1.3 This Rules applies to the registry and clearance business of listed open-end fund. Where this Rules does not have related provision thereto， other related provisions of this Company will be applied.

　　Chapter 2 The Account Management

　　2.1 Investors holding common RMB securities account or securities investment fund account （hereinafter referred to as the securities account） may subscribe and transact the listed open-end fund in Stock Exchange through securities institutions.

　　Investors may subscribe， apply for and redeem the listed open-end fund through fund manager or its best effort institution based on the open-end fund account in this Company.

　　2.2 The open， cancellation， merger of the securities account or the change of information thereof， etc. shall be handled in accordance with the Management Rules of Securities Account of this Company.

　　2.3 The investor who has had a securities account may apply through the fund manager or best effort institution to this Company for the depository of a listed fund account based on the securities account.

　　The investor who has not had a securities account may apply through the fund manager or best effort institution to this Company for the registry of a listed fund account， this Company will allocate new securities investment fund account and automatic registry of an open-end fund account will be made.

　　The investor who has registered an open-end fund account through fund manager or best effort institution may apply directly for the releasing of open-end fund business to these institutions.

　　The investor who has registered an open-end fund account through fund manager or best effort institution applying for the open-end fund business through other best effort institution or fund manager shall， upon the strength of the open-end fund account， first handle the open-end fund account registry confirmation procedures with that best effort institution or fund manager.

　　2.4 An investor may have only one Shanghai or Shenzhen open-end fund account， except otherwise provided for by laws， regulations， rules or this Company.

　　Shanghai securities account and the Shanghai open-end fund account registered based on it may not conduct listed open-end fund business for the time being.

　　2.5 Where the name of the investor， the type or number of valid identification document as stated in the registry information of open-end fund account is changed， the investor shall make securities account information change application at the agency in which the securities account is opened. The change of the registry information， except for the three items mentioned above， can be made in the fund manager or its best effort institution.

　　2.6 The investor may inquire about the registry information of his open-end fund account in the fund manager or its best effort institution as referred to in article 2.5.

　　2.7 The cancellation of the open-end fund account by the

investor shall be made in the fund manager or its best effort institution that has formerly handled this open-end fund account and the following conditions shall be satisfied：

　　（1） The fund unit in the open-end fund account is zero；

　　（2） Where the registry confirmation of the open-end fund account has been made in more than one fund managers or best effort institutions， the cancellation of the registry confirmation of the open-end fund account shall have been made.

　　Chapter 3 Registry Trusteeship

　　3.1 This Company adopts the principle of separated system of registry with respect to the unit of listed open-end fund. The fund unit subscribed and purchased in Stock Exchange through securities institutions is registered within the securities registry and clearance system of this Company （hereinafter referred to as the securities registry system） and is recorded as investor's securities account and trusted in the securities institutions； the fund unit subscribed or applied for through fund manager or its best effort institution is registered within the open-end fund registry and clearance system of this Company （hereinafter referred to as the TA system） and is recorded as the investor's open-end fund account and trusted in the fund manger or its best effort institution.

　　3.2 The fund manager shall conclude the registry and clearance service contract with this Company before the replacement of listed open-end fund unit.

　　3.3 The fund manager shall， within prescribed time limit after the establishment of the listed open-end fund succeeding to capital verification， handle the primary registry of the raised listed open-end fund unit in the securities registry system and the TA system of this Company separately.

　　3.4 The registry of the change of the fund unit concerning the transaction of listed open-end fund that is made through the Stock Exchange， the ownership transfer that is not made because of transaction of the fund unit under the securities account and the judicial assistance etc. shall be made through the securities registry system.

　　The registry of change of the fund unit of listed open-end fund concerning the application or redemption through the fund manager and its best effort institution， the non-trading transfer of the fund unit under the open-end fund account， the judicial assistance and other businesses shall be handled through the TA system.

　　3.5 Such data as the preliminary registry， registry of change and related account information of listed open-end fund shall be sent unifiedly to the fund manager by TA system.

　　Chapter 4 Transfer of Trusteeship

　　4.1 The transfer of trusteeship of the listed open-end fund unit is divided into transfer of trusteeship within system and transfer of trusteeship across system （i.e. the transfer of registry across system as referred to in the Listed Open-end Fund Business Rules of Shenzhen Stock Exchange）。

　　4.2 The transfer of trusteeship within system means that investors transfer the trusteeship of listed open-end fund unit trusted in a securities institution to other securities institution， or transfer the trusteeship of listed open-end fund unit trusted in a fund manager or its best effort institution to other best effort institution or fund manager. The transfer of trusteeship within system shall be handled in accordance with the relevant provisions of this Company.

　　In the same securities institution， the change of the operate business office shall be conducted in the light of relevant provisions to “transfer of trusteeship within system”。

　　4.3 The transfer of trusteeship across system means that investors transfer the trusteeship of listed open-end fund unit under a securities institution to a fund manager or best effort institution， or transfer the trusteeship of listed open-end fund unit under a fund manager or its best effort institution to other secur

ities institution.

　　4.4 The transfer of trusteeship across system of listed open-end fund unit can only be carried out between securities account and the open-end fund account registered based on it.

　　4.5 Where investors redeem listed open-end fund unit under the trusteeship of a securities institution through a fund manager or its best effort institution， the transfer of trusteeship across system shall be handled in accordance with the following procedures：

　　（1） Before investors go through the formalities of transfer of trusteeship， they shall ensure that registry or registry confirmation of open-end fund account has been handled successfully in the transferee fund manager or best effort institution.

　　（2） The investors file the applications for transfer of trusteeship across system in transferor securities institution； they shall specify the code of transferee fund manager or best effort institution， securities account number， fund code and the amount transferred.

　　（3） With regard to the application for transfer of trusteeship across system that is qualified in examination， the securities registry system makes debit to the fund unit in the securities account of the investor and the TA system makes corresponding credit to the fund unit in the securities account of the investor.

　　With respect to the fund unit transferred in， the TA system starts to calculate the fund unit holding duration of the investor from the day when the fund unit of open-end fund account is credited.

　　（4） With respect to the application for transfer of trusteeship across system that has been handled successfully， investors may apply for the redemption of fund unit in the transferee's fund manager or best effort institution after two trading days from the application date.

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