The CSRC clarifies the scope of sales institutions of personal pension investment publicly raised securities investment funds

[Dahecai Cube News] On June 24, the CSRC solicited opinions from the "Interim Provisions on Business Management of Personal Pension Investment Public Investment Funding Fund (Draft for Soliciting Opinions)."

The "Interim Provisions" has a total of 6 chapters and 30 articles, which mainly stipulate the following three aspects:

The first is to clarify the general principles and basic requirements of fund managers and fund sales institutions to carry out personal pension investment fund business;

The second is to clarify the fund product standard requirements that personal pensions can invest, and regulate the fund manager's investment management and risk management responsibilities;

The third is to clarify the requirements of the exhibition industry of fund sales institutions, and make stipulations on the duties of fund sales agency information prompts, account services, publicity and promotion, appropriate sexual management, investor education and other responsibilities.

It is worth noting that considering the development of personal pensions is an important measure to improve the pension insurance system, and the "Interim Regulations" put forward higher requirements for products and institutions.

in:

Regarding the scope of the Personal Pension Fund, according to the "Opinions", the implementation arrangements for the implementation of some cities will be pushed away for 1 year before selecting some cities. During the trial stage of the personal pension system, it is planned to include priority to the end of the last four quarters. 50 million yuan of pension target funds; after the personal pension system is fully launched, it is intended to be gradually included in the investment style, clear investment strategies, good long -term performance, and stable operation. , Bond Fund, Fund Fund and other funds stipulated by the China Securities Regulatory Commission.

Regarding the scope of fund sales agencies, in order to ensure the long -term continuity and security stability of the personal pension fund sales business, the "Interim Regulations" put forward the operating status of the fund sales institution, financial indicators, corporate governance, internal control mechanism, compliance management and other aspects, etc. High requirements, and must meet the scale of stock funds and hybrid funds in the last four quarters of the last four quarters, the size of the stock funds and hybrid funds held by individual investors is not less than 5 billion yuan. At the same time, the "Interim Provisions" allows fund managers and their sales subsidiaries to handle the sales related to the personal pension fund raised by the manager.

Attachment: "Interim Provisions on the Management of Business Management of Public Pension Investment Public Funding Fund (Draft for Soliciting Opinions)"

Responsible editor: Chen Yuyao | Review: Li Zhen | Director: Wan Junwei

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