Article 1 is amended as "to regulate the customer asset management activities of securities companies.
Two. Article 13 is amended as "Securities companies handle collective asset management business for multiple clients and provide asset management services for clients through special accounts."
Three, delete fourteenth.
Four, fifteenth to fourteenth, amended as "securities companies to handle special assets for specific purposes for customers.
"Securities companies should fully understand and disclose to customers the integrity and compliance status of the owners or financing subjects of the basic assets, the ownership of the basic assets, whether there are guarantee arrangements and specific circumstances, the risk-return characteristics of investment objectives and other related major issues.
"Securities companies can handle special asset management business by setting up a comprehensive collective asset management plan."
Five, twentieth to nineteenth, revised as "securities companies to carry out customer asset management business.
Six, delete twenty-first.
7. Article 24 is renumbered as Article 22 and amended as "Securities companies can only accept assets in the form of monetary funds when handling collective asset management business."
Eight, twenty-eighth to twenty-sixth, amended as "securities companies can promote the collective asset management plan.
"The collective asset management plan shall be introduced to qualified investors,
(1) The total financial assets of an individual or family shall not be less than RMB 6,543,800+0,000;
(2) The net assets of companies, enterprises and other institutions shall not be less than 65.438 billion yuan.
All kinds of collective investment products established according to law and subject to supervision are regarded as a single qualified investor. "
Nine, delete thirty-first.
10. Article 32 is changed to Article 29 and amended as: "A securities company invests the client assets it manages in securities issued by the company and its related parties or securities underwritten during the underwriting period.
Eleven, forty-second to thirty-ninth, amended as "securities companies and other promotion agencies should take effective measures.
Twelve, forty-seventh to forty-fourth, amended as "securities companies to handle the collective asset management business.
"Securities companies and asset custody institutions shall separately open securities accounts, capital accounts and other related accounts for the collective asset management plan. The name of the securities account shall indicate the name of the securities company and the name of the collective asset management plan. "
Thirteen, fifty-eighth to fifty-fifth, amended as "China Securities Regulatory Commission and its dispatched offices engaged in customer asset management business of securities companies and asset custody institutions".
Fourteen, fifty-ninth is changed to fifty-sixth and amended as "senior managers, directly responsible personnel in charge and other directly responsible personnel of securities companies, asset custody institutions and promotion agencies violate the provisions of these measures.
"Securities companies, asset custody institutions, promotion agencies and their senior managers, directly responsible persons in charge and other directly responsible personnel who engage in customer asset management business and damage the legitimate rights and interests of customers shall bear civil liability according to law."
Fifteen, sixtieth to fifty-seventh, amended as "securities companies, asset custody institutions, promotion agencies in violation of the provisions of these measures.
Sixteen, sixty-first is changed to fifty-eighth, and amended as "securities companies, asset custody institutions, promotion agencies and their senior managers, directly responsible personnel in charge and other directly responsible personnel in violation of laws and regulations.
Article 62 is renumbered as Article 59 and amended as "Securities companies, asset custody institutions, promotion agencies and their senior managers, directly responsible persons in charge and other directly responsible persons who are suspected of committing crimes shall be transferred to judicial organs according to law and investigated for criminal responsibility."
Eighteen, delete sixty-third.
This decision shall come into force as of the date of promulgation.
The Measures for the Administration of Customer Assets of Securities Companies shall be revised according to this decision, and the order of provisions shall be adjusted accordingly, and re-promulgated.