证券投资基金管理公司管理办法 Administration of Securities Investment Fund Management Companies Procedures

hes， makes a change to or shuts down an office， it shall report the matter to the CSRC and the local CSRC agency within 15 days of such establishment， change or shut down.

　　Article 59　Where， in respect of an overseas shareholder of a Sino-foreign equity joint venture Fund Management Company， there are requirements on record filing of overseas investment by the competent authority at the place in which such overseas shareholder is registered or in which its principal business is conducted， and if such overseas shareholder submits the relevant record filing materials to the competent authority after it has obtained the approval document from the CSRC in accordance with the law， it shall at the same time provide a copy of the materials to the CSRC.

　　Article 60　The CSRC may conduct on-site inspection on Fund Management Companies by adopting the following measures， and shall determine the subjects， particulars and frequency of such on-site inspection according to the outcome of routine regulation：

　　1. enter the Fund Management Company and its branches for inspection；

　　2. require the Fund Management Company to provide the documents， meeting minutes， statements， certificates and other information that are related to the inspection items；

　　3. question the working personnel of the Fund Management Company and require them to give explanations on the inspection items；

　　4. review and duplicate the documents and information of the Fund Management Company that are related to the inspection items， and seal up the documents and information that might be transferred， concealed or destroyed；

　　5. inspect the system of the Fund Management Company that uses computers to manage its business data； and

　　6. other measures stipulated by the CSRC.

　　Article 61　When the CSRC conducts on-site inspection on a Fund Management Company， there shall be at least two inspectors and they shall produce legal identity documents. If there are fewer than two inspectors or they fail to produce legal identity documents， the Fund Management Company has the right to refuse inspection.

　　The CSRC may employ certified public accountants， lawyers and other professionals to provide professional services for inspection work.

　　Article 62　Fund Management Companies and the relevant personnel shall cooperate with the CSRC in inspection， and shall not refuse to provide， or delay the provision of， the relevant information by any reason，

nor shall they provide false， inaccurate or incomplete information.

　　Article 63　After the CSRC has conducted on-site inspection on a Fund Management Company， it shall issue an inspection conclusion to the inspected Fund Management Company.

　　Article 64　If a Fund Management Company violates laws， administrative regulations or the provisions of the CSRC， or it has a relatively large operational risk， the CSRC may order it to rectify the matter and/or to suspend the handling of relevant business. In respect of the persons in charge that are directly responsible and other directly responsible persons， the CSRC may adopt administrative regulatory measures such as regulatory conversation， issuance of warning letter， demerit record in the credit file， suspension of duties and having the personnel deemed as unsuitable for the relevant position.

　　After the Fund Management Company has completed rectification， it shall submit a rectification report to the CSRC， and the CSRC shall conduct an acceptance inspection on the company.

　　Article 65　If a shareholder of a Fund Management Company subscribes for or transfers its capital contribution in violation of Article 19 hereof， or it fails to perform its statutory obligations in violation of Article 37 hereof， the CSRC may order it to rectify the matter. In respect of its relevant directors， supervisors and senior management personnel， the CSRC may adopt administrative regulatory measures such as regulatory conversation， demerit record in the credit file and having the personnel deemed as unsuitable for the relevant position.

　　Article 66　If a Fund Management Company， its shareholders and the persons in charge that are directly responsible and other directly responsible persons violate laws， administrative regulations and the provisions of the CSRC， and administrative penalty shall be imposed according to law， the CSRC shall impose administrative penalty in accordance with the relevant provision. Where a criminal offence is suspected， the case shall be transferred to the judicial authorities for pursuance of criminal liability.

　　PART SEVEN　SUPPLEMENTARY PROVISIONS

　　Article 67　For the purposes of these Procedures， the term “Sino-foreign equity joint venture Fund Management Companies” includes fund management companies established with joint capital contributions of overseas shareholders and domestic shareholders， and fund management companies converted through transfer of or subscription for equity interests of domestic Fund Management Companies by overseas shareholders.

　　Article 68　The specific administrative procedures for equity participation in Fund Management Companies by natural persons， Fund Management Companies that take the form of company limited by shares and establishment of overseas branches shall be stipulated by the CSRC separately.

　　Article 69　These Provisions shall be implemented as of 1 October 2004. Order No. 9 of the China Securities Regulatory Commission， Establishment of Fund Management Companies with Foreign Equity Participation Rules， shall be repealed simultaneously

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