First, when a securities company conducts directional asset management business, the net asset value of a single customer shall not be less than RMB 6,543,800+0,000. A securities company may raise the minimum amount of net assets entrusted by customers on the basis of the prescribed minimum amount.
Second, securities companies can only accept assets in the form of monetary funds when handling collective asset management business. Where a securities company establishes a limited aggregate asset management plan, the amount of funds accepted by a single customer shall not be less than RMB 50,000; If an unrestricted aggregate asset management plan is established, the amount of funds accepted by a single customer shall not be less than RMB 654.38+10,000.
Third, securities companies should set the collective asset management plan as an equal share. Customers enjoy the benefits and bear the risks according to their share proportion in the assets of the collective asset management plan. Unless otherwise stipulated in Article 5, it shall be handled in accordance with the following provisions.
Fourth, customers participating in the collective asset management plan shall not transfer their shares, unless otherwise stipulated by laws and administrative regulations.
Fifth, securities companies can freely participate in the collective asset management plan set up by the company. A securities company shall obtain the approval of the shareholders' meeting, the board of directors or other authorized procedures in accordance with the provisions of the Company Law and the Articles of Association.
During the existence of the collective asset management plan, the securities company shall not recover the invested funds. Where a securities company participates in the collective asset management plan established by the company with free funds, it shall stipulate the amount of capital contribution and the responsibilities it undertakes in the collective asset management contract.
Sixth, securities companies can promote asset management plans by themselves, or they can entrust clients' funds depository banks to promote them. Before participating in the collective asset management plan, the customer should already be the customer of the securities company itself or the promotion agency.
Seventh, if a securities company establishes a collective asset management plan, it shall start the promotion work within 6 months from the date when the China Securities Regulatory Commission issues a no-objection opinion or makes an approval decision, and complete the establishment work and start the investment operation within 60 working days. Before the establishment of the collective asset management plan, the customer's participation funds can only be deposited in the asset custody institution and cannot be used.
Eighth, a securities company investing in the collective asset management business and trading securities on the stock exchange shall conduct it through a special marketing unit, and the collective plan account and the special marketing unit shall be reported to the stock exchange, the securities registration and settlement institution and the agency dispatched by the China Securities Regulatory Commission where the company is domiciled for the record. The securities in the assets of the collective asset management plan shall not be used for repurchase.
Ninth, a securities company shall not invest the client assets it manages in the securities issued by a company more than 65,438+00% of the total securities issued. The investment in the securities issued by the company by the collective asset management plan shall not exceed 10% of the planned net asset value.
Tenth, a securities company that invests its clients in the securities issued by the company, the asset custody institution and the companies related to the company and the asset custody institution shall obtain the clients' consent in advance, inform the asset custody institution and the clients, and report to the stock exchange at the same time.
The funds invested in the aforementioned securities by a single collective asset management plan shall not exceed 3% of the net asset value of the collective asset management plan.
Extended data
Basic norms for securities companies to handle collective asset management business
(3) Asset management business qualification (focusing on mastering and memorizing relevant values)
(4) Procedures for filing and approving the establishment of the collective asset management plan.
(5) Description of the collective asset management plan
(6) Asset management contracts
(seven) it is forbidden to engage in asset management business (focus on mastering important knowledge points and test sites, please strengthen understanding and memory)
(8) Custody of customer assets
(nine) the rights and obligations of securities companies and customers in asset management business.
Baidu Encyclopedia-Provisions on Asset Management Business