保险资产管理公司管理暂行规定 Provisional Regulations on the Administration of Insurance Asset Management Companies

management of the insurance funds and the contract of entrusting the insurance funds for management shall be kept for more than 15 years.

　　Article 41

　　An insurance asset management company shall regularly or in accordance with the contract provisions report the management， utilization， disposal， and balance of the entrusted insurance funds.

　　The trustor is entitled to check， take notes， or copy the accounts and other documents related to its entr

usted insurance funds and to ask for an explanation from the trustee.

　　Article 42

　　The year-end financial statements for an insurance asset management company's self-possessed funds and the entrusted insurance funds shall be audited by accounting firms.

　　Article 43

　　An insurance asset management company and the insurance funds custodians have a legal obligation of confidentiality for the information of the trustor and the insurance fund management.

　　Article 44

　　An insurance asset management company must not offset the rights arising from the entrusted funds during the course of management and disposal against the liabilities arising from its self-possessed assets.

　　An insurance asset management company must not offset the rights and liabilities arising from the management and disposal of insurance funds entrusted by different parties against each other.

　　In case of civil disputes between an insurance asset management company and other social organizations or individuals， the entrusted insurance funds shall not be detained， frozen， liquidized， etc.

　　Chapter IV

　　Risk Control and Supervisory Management

　　Article 45

　　An insurance asset management company shall establish a complete corporate governance structure and effective internal control mechanism， set up an investment decision-making department and risk control department， and put into place the restriction mechanism of mutual supervision.

　　Article 46

　　An insurance asset management company shall strengthen its construction of information technology system and set up a complete information management system for investment decision-making， fund management， and financial accounting.

　　An insurance asset management company shall have security measures matching its business operation.

　　Article 47

　　An insurance asset management company shall set up a supervisory committee in accordance with relevant regulations.

　　The trustor may send supervisory personnel to the insurance asset management company entrusted of the insurance funds. On behalf of the trustor， the supervisory personnel supervise（s） the performance of the insurance asset management company on contract implementation， but they may not interfere with the normal operation of the company.

　　Article 48

　　An insurance asset management company is entitled to attend the meetings of associated insurance company's department of assets and liabilities matching.

　　Article 49

　　Within 20 days after signing the insurance funds management contract and the custodian contract， the insurance asset management company shall submit a photocopy of the said contracts to the CIRC.

　　Article 50

　　An insurance asset management company shall， in accordance with the CIRC's regulations， submit relevant documents and other materials such as a balance sheet， profit and loss accounts， business statistics， financial analysis report， etc. to the CIRC.

　　The content and format of the aforementioned documents shall be promulgated separately by the CIRC.

　　Article 51

　　The CIRC's supervision and inspection of an insurance asset management company shall be a combination of on-site and off-site supervision.

　　The CIRC may authorize specialized intermediaries such as an accounting firm to conduct the inspection of the insurance asset management companies.

　　Article 52

　　For insurance companies and insurance asset management companies that are in violation of these Regulations and relevant laws and regulations， the CIRC shall， in accordance with the Insurance Law and relevant administrative laws and regulations， impose administrative penalty on the said companies， their senior managerial personnel， and the directly responsible personnel.

　　Chapter V

　　Supplementary Provision

　　Article 5

3

　　These Regulations shall come into effect as of 1st June 2004

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