Interim provisions on the operation and management of private placement management business of securities and futures operating institutions

Legal analysis: The Interim Provisions on the Operation and Management of Private Placement Management of Securities and Futures Operating Institutions is to further strengthen the supervision of private placement management of securities and futures operating institutions, standardize market behavior and strengthen risk management and control. It is formulated in accordance with the Securities Law, Securities Investment Fund Law, Regulations on the Supervision and Administration of Securities Companies, Regulations on the Administration of Futures Trading, Interim Measures for the Supervision and Administration of Private Investment Funds, Measures for the Administration of Customer Assets of Securities Companies, Pilot Measures for the Asset Management of Specific Customers of Fund Management Companies, Measures for the Supervision and Administration of Futures Companies and Pilot Measures for the Asset Management of Futures Companies. China Securities Regulatory Commission issued it on July 4, 2065, and it will take effect on July 8, 2065.

Legal basis: Interim Provisions on the Operation and Management of Private Placement Management Business of Securities and Futures Operating Institutions Article 1 In order to further strengthen the supervision of private placement management business of securities and futures operating institutions, standardize market behavior and strengthen risk management and control, in accordance with the Securities Law, the Securities Investment Fund Law, the Regulations on the Supervision and Administration of Securities Companies, the Regulations on the Administration of Futures Trading, the Interim Measures for the Supervision and Administration of Private Placement Investment Funds, the Measures for the Administration of Customer Assets of Securities Companies and the Fund Management,

Interim Provisions on the Operation and Management of Private Placement Management Business of Securities and Futures Operating Institutions Article 2 The securities and futures operating institutions mentioned in these Provisions refer to securities companies, fund management companies, futures companies and their subsidiaries established according to law.