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非银行金融机构6月起施行托管基金规定--亲稳网络舆情监测室
2013-05-11

  据全景网消息 中国证监会日前发布《非银行金融机构开展证券投资基金托管业务暂行规定》,并自今年6月1日起施行。

According to the panoramic network news released by China securities regulatory commission[Non-bank financial institutions to carry out the provisional rules of securities investment fund custody business],And effective as of June 1 this year.

  证监会有关部门负责人表示,此次发布的《暂行规定》对非银行金融机构开展基金托管业务的有关问题予以了规范明确。

Securities, head of the relevant departments of the said,The release of[Provisional rules of]For non-bank financial institutions to develop business of fund custody issues related to the specification clearly.

  《暂行规定》共十九条,规定了非银行金融机构开展基金托管业务的准入条件、申请材料要求以及审核程序与方式等。在基金托管职责履行、内控制度建设方面,非银行金融机构托管人与银行托管人一样,均应遵守《基金法》《证券投资基金托管业务管理办法》相关规定。针对非银行金融机构的经营现状与业务特点,《暂行规定》从保护基金持有人角度出发,强调了资产独立、业务隔离、信息保密、从业人员管理、结算职责、风险准备金制度等方面的要求,并对监督管理和处罚方面进行了相应规定。

[Provisional rules of]Article nineteen.,Specifies the non-bank financial institutions to develop business of fund custody access conditions/The application materials requirements, and audit procedures and ways, etc.In the fund custody duties to perform/Internal control system construction aspect,Non-bank financial institutions as trustee and custodian bank,All should abide by[Fund law][Measures for the administration of securities investment fund custody business]Related regulations.Based on the present situation and the business feature of non-bank financial institutions,[Provisional rules of]From the perspective of the protection fund holder,Emphasize the independent assets/Business in isolation/Information confidential/Personnel management/Settlement role/Risk reserve system requirements,And the corresponding provisions on supervision and punishment.

  该负责人表示,《暂行规定》发布后,符合条件的非银行金融机构可以着手开展基金托管业务有关的人员、系统与制度的准备工作,于6月1日新修订的《证券投资基金法》实施后,向中国证监会提交申请。

The official said,[Provisional rules of]After the release of,Comply with the conditions of non-bank financial institutions can be embarked on fund custody business related personnel/System and system of the preparation,On June 1 new revision[Securities investment fund]After the implementation of the,Submit an application to China securities regulatory commission.



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