Public funds reputation risk management guidelines are officially released!Specify a spokesman, set up a special team ...

Wen | Wang Siwen

"Specifying the spokesman", "Establishing or designated special teams", "Violation of regulations will adopt self -discipline management measures or subject to discipline" ... These matters will become an important part of the reputation risk management of public fund companies. On the evening of June 17, the China Securities Investment Fund Industry Association issued the "Guidelines for the Fund Management Company's Reputation Risk Management (Trial)" (hereinafter referred to as the Guidelines ". , Establish and improve reputation risk management systems and mechanisms, effectively prevent and control reputation risks, and properly dispose of reputation events. Industry insiders believe that this new regulations have learned from domestic and overseas supervision and practice experience, combined with the actual situation of China's fund industry, guide fund management companies to strengthen strengthen Reputation risk management, improve the risk management system, prevent financial risks, maintain market stability and industry image, thereby reducing the loss caused by investors and the negative impact on the industry. Clarify the definition of reputation risk. Reputation risk is defined as a fund management company, staff behavior, speech, or external incident, which leads to negative evaluation of investors and public opinion on fund management companies, which harms its brand value, is not conducive to its normal operation, and even affect market stability and market stability and market stability and market stability and market stability and market stability The risk of social stability. The goal of reputation risk management refers to the implementation of the responsibilities and obligations of all parties, cultivating employees' awareness of reputation risk, and incorporating reputation risk management into a comprehensive risk management system, actively preventing and controlling reputation risks, and proper reputation events. Drafted this time There are three principles of "Guidelines": First, on the basis of analyzing the regulations of banks, insurance, securities and other industries such as industry reputation risks and self -discipline rules, combine the actual situation of the fund industry to improve the reputation risk management system and mechanism system. The second is to improve Timely and effective, implement the responsibilities of organizations at all levels. Clarify the responsibilities and obligations of the association's responsibilities and the reputation and risk management responsibilities and obligations of the organization and its staff at all levels of the fund management company, and urge them to implement the guidelines in a timely and effective implementation. Work mechanism. Based on the problems, difficulties, and industry self -discipline experience of fund management companies in recent years, improvement of mechanisms such as reputation risk monitoring, evaluation, and handling of disposal to clarify industry collaboration and self -discipline management measures. The principle "Guidelines" proposes that fund management companies should follow five basic principles when reputation risk management work: First, comprehensive principles. Fund management companies' reputation risk management should cover all departments, branches, subsidiaries and all staff. Through all aspects of decision -making, execution, supervision, and feedback. The second is the principle of prudentialism. Fund management companies should carefully evaluate, judge, analyze reputation risks, and proper reputation. And prevent reputation risks, establish a timely and efficient reputation event disposal mechanism, and timely restore the company's damage to the reputation. Fourth, the principle of matching. Fund management companies should carry out multi -level, differentiated reputation risk management, and their own scale, operating conditions, risks, risks The status and the importance of the system are matched, and the changes in the external environment and internal management are adjusted in a timely manner. Fifth, the principle of forward -looking. Fund management companies should adhere to the concept of reputation risk management mainly, and regularly investigate reputation risk management and potential risks. , Judge, improve reputation risk pre -pre -pre - Seeing. The establishment or designated team to carry out public offering reputation risk management work "Guidelines" proposed that fund management companies should also establish and improve the organization of reputation risk management, clarify the responsibilities and obligations of boards, management, departments, and branches. It shall establish or designate special departments and teams to carry out reputation risk management work, and a senior manager shall be led by responsibility. At the same time, fund management companies are required to establish a reputation risk management system and related mechanism, and clarify specific requirements, establish and improve the reputation risk management system, and designate spokespersons. They should improve the news work, public opinion monitoring and analysis, evaluation, accountability, and information preservation mechanism. Establish and improve the system and mechanism to promote the official propaganda platform construction in the public offering of reputation and risk management system and mechanism. The Guideline "has a clear source of reputation risk, public opinion monitoring and analysis and evaluation, classification of classification and disposal, prevention and management staff caused reputation and other dimensions. Requires the requirements of refinement. Fund management companies should establish and improve information processes related to the company's reputation risk. The construction of official publicity platforms should be promoted, and the active transmission of the company's positive and objective information is promoted in various media forms. In the determination of the source of reputation risk, it is necessary to collect and identify related internal and external information, focusing on: change of equity structure, strategic planning, corporate governance goals, shareholders and their related party reputation events, marketing and media promotion plans, internal control design , Implementation and the major defects of the information system, the illegal behavior or service quality of the third -party cooperation agency, the investor complaints and their inappropriate remarks or behaviors involved in the company, the changes in senior managers and core staff, the staff violates business specifications , Inappropriate behavior or remarks of integrity employment regulations, professional ethical specifications, etc., judicial events, regulatory investigations, punishment, etc., news media reports or online public opinion, others are engaged in illegal activities and other possible behaviors through counterfeit company names, trademarks, websites and other behaviors. Important factor that causes reputation risk.

Introducing multi -means evaluation of reputation risk Establishing staff reputation management mechanism fund management companies can analyze the possibility of reputation events through scenario analysis or other means and their impact on the company's business and reputation. When necessary, fund management companies can also hire third -party institutions for public opinion monitoring and risk assessment. At the same time, the reputation mechanism of staff should also be established to prevent the reputation risks caused by staff. After strengthening self -discipline management, the "Guidelines" requires that fund management companies must fulfill their reporting obligations after the occurrence of major reputation events, and clarify that the China Fund Industry Association can evaluate and inspect the fund management company's implementation of the "Guidelines" through on -site or non -on -site methods. Essence There are also regulations in punishment. If the "Guidelines" stipulates that the fund management company or staff violates the regulations, the association will take self -discipline management measures or disciplinary sanctions according to the situation. Recommended reading

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