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关于进一步完善证券投资基金募集申请审核程序有关问题的通知
文章来源： 文章作者： 发布时间：2007-07-10 06:37 字体： [大 中 小]　 进入论坛
(单词翻译:双击或拖选)
 

证监基金字[2005]101号

颁布日期：20050616 　实施日期：20050616 　颁布单位：中国证券监督管理委员会

　　Zheng Jian Ji Jin Zi [2005] No. 101

　　To various fund management companies and fund custodian1 banks

　　In order to further improve the procedure for the application and examination of raising securities investment funds （hereinafter referred to as the “funds”） ， improve the review efficiency and quality， promote the sound and standardized2 development of fund market， and subject to the Securities Investment Fund Law， Measures for the Administration of Operation of Securities Investment Funds and the Interim3 Measures for the Administration of Professional Consultative Committee （Zheng Jian Ji Jin Zi [2003] No.13） and the Provisions of the China Securities Regulatory Commission on the Procedures for the Implementation4 of Administrative5 License6 （For Trial Implementation） （hereinafter referred to as the Procedure Provisions）， relevant issues concerning the further improvement of procedure for the application and review of raising securities investment funds are hereby notified as follows：

　　1. The China Securities Regulatory Commission （the CSRC） shall， after accepting the application for raising funds， decide on whether to organize a fund expert review meeting to review the said application pursuant to the pertinent7 specific situations in connection with the collection of funds.

　　For an application submitted to the review meeting attended by fund experts for the collection of funds， the reviewing experts shall focus on the review of such aspects of funds as their investment management and risk control and independently give their own review comments which shall be offered to the CSRC for reference.

　　2. If a fund management company， which conducts standardized acts， has strong investment research capacities and wins good market evaluation8， shall not be required to submit its application for raising funds to the fund expert review meeting for review， except to the extent of the following circumstances：

　　（1） If the said company hasn't been in operation for a full year from its establishment；

　　（2） If the said company has greatly innovated9 the design for its fund products；

　　（3） If the said design requires further improvement and reference to the review opinions given by the fund expert review meeting； and

　　（4） any other circumstances as deemed necessary by the CSRC to be submitted to the fund expert review meeting for review based on the principle of careful supervision10.

　　3. In case any greater innovation take place in the design of fund products， the CSRC shall give priority to arrangement of review conducted by the fund expert review meeting and examination of application materials. If the innovation in fund products are significant， and after the fund collection has been approved by the CSRC， other fund management companies shall， within a time limit stipulated11 by the CSRC， be forbidden to reproduce or imitate such significant innovation.

　　4. If an application for fund collection is found rough， ambiguous and incomplete respectively in connection with its design scheme， operating thoughts for investment or risk control measures after examination， the fund management company filing such application shall be ordered to make important amendments13 subject to the procedures laid down in Article 24 and 25 of the Procedure Provisions. As to an application of the kind mentioned above， which has been submitted to the fund expert review meeting for review， a decision shall also be made on whether or not such application shall be re-applied to the fund expert review meeting for review again based on the specific situations after the said amendment12.

　　5. If there remains14 any issue in the application for fund collection which has been amended15 and submitted to the fund expert review meeting for review， the CSRC shall not grant an approval to such application and adopt administrative supervision measures in compliance16 with specific situations.

　　6. Any lawyer or law firm producing legal opinions to the application for fund collection and offering legal services shall comply with pertinent provisions， earnestly fulfill17 his or its responsibilities， check and verify pertinent materials and facts and ensure the authenticity18， accurateness and completeness of documents issued thereof.

　　7. This Circular shall go into effect as of the date of promulgation19.

　　China Securities Regulatory Commission

　　June 16， 2005



点击收听单词发音收听单词发音  

1 custodian 7mRyw     
n.保管人，监护人；公共建筑看守
参考例句：
  • Benitez believes his custodian is among the top five in world football.贝尼特斯坚信他的门将是当今足坛最出色的五人之一。
  • When his father died his uncle became his legal custodian.他父亲死后，他叔叔成了他的法定监护人。
2 standardized 8hHzgs     
adj.标准化的
参考例句：
  • We use standardized tests to measure scholastic achievement. 我们用标准化考试来衡量学生的学业成绩。
  • The parts of an automobile are standardized. 汽车零件是标准化了的。
3 interim z5wxB     
adj.暂时的，临时的；n.间歇，过渡期间
参考例句：
  • The government is taking interim measures to help those in immediate need.政府正在采取临时措施帮助那些有立即需要的人。
  • It may turn out to be an interim technology.这可能只是个过渡技术。
4 implementation 2awxV     
n.实施，贯彻
参考例句：
  • Implementation of the program is now well underway.这一项目的实施现在行情看好。
5 administrative fzDzkc     
adj.行政的，管理的
参考例句：
  • The administrative burden must be lifted from local government.必须解除地方政府的行政负担。
  • He regarded all these administrative details as beneath his notice.他认为行政管理上的这些琐事都不值一顾。
6 license B9TzU     
n.执照，许可证，特许；v.许可，特许
参考例句：
  • The foreign guest has a license on the person.这个外国客人随身携带执照。
  • The driver was arrested for having false license plates on his car.司机由于使用假车牌而被捕。
7 pertinent 53ozF     
adj.恰当的；贴切的；中肯的；有关的；相干的
参考例句：
  • The expert made some pertinent comments on the scheme.那专家对规划提出了一些中肯的意见。
  • These should guide him to pertinent questions for further study.这些将有助于他进一步研究有关问题。
8 evaluation onFxd     
n.估价，评价；赋值
参考例句：
  • I attempted an honest evaluation of my own life.我试图如实地评价我自己的一生。
  • The new scheme is still under evaluation.新方案还在评估阶段。
9 innovated e8750eb0174a3cfd766dafb217557235     
v.改革，创新( innovate的过去式和过去分词 )；引入（新事物、思想或方法），
参考例句：
  • He innovated a plan for increased efficiency. 他引进提高效率的（新）方案。 来自辞典例句
  • We are using innovated metal detector which is imported from the U.K. 本工厂有先进的生产设备，拥有从英国进口的金属探测机。 来自互联网
10 supervision hr6wv     
n.监督，管理
参考例句：
  • The work was done under my supervision.这项工作是在我的监督之下完成的。
  • The old man's will was executed under the personal supervision of the lawyer.老人的遗嘱是在律师的亲自监督下执行的。
11 stipulated 5203a115be4ee8baf068f04729d1e207     
vt.& vi.规定；约定adj.[法]合同规定的
参考例句：
  • A delivery date is stipulated in the contract. 合同中规定了交货日期。
  • Yes, I think that's what we stipulated. 对呀，我想那是我们所订定的。 来自辞典例句
12 amendment Mx8zY     
n.改正，修正，改善，修正案
参考例句：
  • The amendment was rejected by 207 voters to 143.这项修正案以207票对143票被否决。
  • The Opposition has tabled an amendment to the bill.反对党已经就该议案提交了一项修正条款。
13 amendments 39576081718792f25ceae20f3bb99b43     
（法律、文件的）改动( amendment的名词复数 )； 修正案； 修改； （美国宪法的）修正案
参考例句：
  • The committee does not adequately consult others when drafting amendments. 委员会在起草修正案时没有充分征求他人的意见。
  • Please propose amendments and addenda to the first draft of the document. 请对这个文件的初稿提出修改和补充意见。
14 remains 1kMzTy     
n.剩余物，残留物；遗体，遗迹
参考例句：
  • He ate the remains of food hungrily.他狼吞虎咽地吃剩余的食物。
  • The remains of the meal were fed to the dog.残羹剩饭喂狗了。
15 Amended b2abcd9d0c12afefe22fd275996593e0     
adj. 修正的 动词amend的过去式和过去分词
参考例句：
  • He asked to see the amended version. 他要求看修订本。
  • He amended his speech by making some additions and deletions. 他对讲稿作了些增删修改。
16 compliance ZXyzX     
n.顺从；服从；附和；屈从
参考例句：
  • I was surprised by his compliance with these terms.我对他竟然依从了这些条件而感到吃惊。
  • She gave up the idea in compliance with his desire.她顺从他的愿望而放弃自己的主意。
17 fulfill Qhbxg     
vt.履行，实现，完成；满足，使满意
参考例句：
  • If you make a promise you should fulfill it.如果你许诺了，你就要履行你的诺言。
  • This company should be able to fulfill our requirements.这家公司应该能够满足我们的要求。
18 authenticity quyzq     
n.真实性
参考例句：
  • There has been some debate over the authenticity of his will. 对于他的遗嘱的真实性一直有争论。
  • The museum is seeking an expert opinion on the authenticity of the painting. 博物馆在请专家鉴定那幅画的真伪。
19 promulgation d84236859225737e91fa286907f9879f     
n.颁布
参考例句：
  • The new law comes into force from the day of its promulgation. 新法律自公布之日起生效。 来自《简明英汉词典》
  • Article 118 These Regulations shall come into effect from the day of their promulgation. 第一百一十八条本条例自公布之日起实施。 来自经济法规部分
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