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class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">证监会:规范基金销售强化风险管ç?/h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源åQšæœ¬ç«™æ•´ç?/span> <span>发布旉™—´åQ?019òq?2æœ?3æ—?/span> <span>点击敎ͼš <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=13155"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=13155">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=13155">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=13155" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' 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"【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]¿U’ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]¿U’ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; } } ); } GetContentSigninStatus('13155'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p style="text-align: center;"><span style="font-size:20px;">证券时报记è€?½E‹ä¸¹</span></p> <p><span style="font-size:20px;">  昨日åQŒè¯ç›‘会ž®±ã€Šå…¬å¼€å‹Ÿé›†è¯åˆ¸æŠ•èµ„基金销售机构监督管理办æ³?征求意见½E?》及相关配套规则公开征求意见。证监会新闻发言人高莉表½Cºï¼Œã€Šé”€å”®åŠžæ³•ã€‹åšå®ˆé”€å”®é€‚当性、资金和交易安全底线要求åQŒæŽ¨˜q›å…¬å‹ŸåŸºé‡‘销售机构提高专业服务能力,提升内部控制和风险管理水òq»I¼Œä¿ƒè¿›è¡Œä¸šé•¿è¿œæŒç®‹å‘展åQŒåŸ¹è‚²è¡Œä¸šè‰¯æ€§å‘展生态ã€?/span></p> <p><span style="font-size:20px;">  高莉介绍åQŒã€Šé”€å”®åŠžæ³•ã€‹æ˜¯å¯¹è¯ç›‘会2013òq´å‘布的《证券投资基金销售管理办法》的˜q›ä¸€æ­¥ä¿®è®¢å®Œå–„,òq¶ç»“合最æ–îC¿®è®¢å†…容调整了规章名称。《证券投资基金销售管理办法》是《证券投资基金法》的配套规则åQ?004òq´é¦–‹Æ¡å‘布åƈäº?011òq´ã€?013òq´åšäº†ä¸¤‹Æ¡ä¿®è®¢ã€‚办法实施以来,在规范公募基金销售业务秩序,保护基金投资者合法权益等斚w¢å‘挥了重要作用。目前公募基金销售业务初步构å»ÞZº†è¦†ç›–场内场外、线上线下、直销代销的多元化销售渠道。行业个人投资者群体不断壮大、普惠金融效应初步显玎ͼŒæˆªè‡³2018òq´æœ«åQŒå…¬å‹ŸåŸºé‡‘个人投资者有效è̎æˆäh•°å·²è¾¾6äºÑ€‚与此同æ—Óž¼ŒåŠžæ³•éƒ¨åˆ†å†…容已不能完全适应实践发展需要,亟需予以调整。äؓ此,¾lå……分调研,证监会启动了寏V€Šè¯åˆ¸æŠ•èµ„基金销售管理办法》的修订工作åQŒåŞ成《销售办法》及两个配套规则ã€?/span></p> <p><span style="font-size:20px;">  本轮修订的基本思èµ\是,坚持问题和风险导向,以保护投资者合法权益äؓ出发点和落脚点,坚守销售适当性、资金和交易安全底线要求åQŒæŽ¨˜q›å…¬å‹ŸåŸºé‡‘销售机构提高专业服务能力,提升内部控制和风险管理水òq»I¼Œä¿ƒè¿›è¡Œä¸šé•¿è¿œæŒç®‹å‘展åQŒåŸ¹è‚²è¡Œä¸šè‰¯æ€§å‘展生态。主要修订内容包括:一是厘清公募基金销售业务边界,ž®†å„¾cÀLœåŠ¡ä¸»ä½“纳入监½Ž¡ã€‚二是整合优化公募基金销售牌照注册条ä»Óž¼Œå¼ºåŒ–公募基金销售作为金融业务的持牌准入½Ž¡ç†ã€‚三是全面梳理完善公募基金销售业务规范,强化投资者保护与投资者服务。四是强化对公募基金销售机构特别是独立基金销售机构的内控与风险管理要求。五是推动提升公募基金销售机构专业服务能力,通过资äñ”配置½{‰æœåŠ¡å¼•å¯¼å®¢æˆ·é•¿æœŸæŠ•èµ„。六是进一步完善公募基金销售业务资格退出机åˆÓž¼ŒæŒ‰ç…§å¸‚场化、法æ²ÕdŒ–原则构徏良性发展的行业生态ã€?/span></p> <p> </p> <p><span style="font-size:20px;">  高莉表示åQŒäؓ明确《销售办法》落实安排,特别是存量公募基金销售机构和销售业务规范要求,促进规则òq³ç¨³è½åœ°åQŒæœ¬‹Æ¡ä¿®è®¢æ‹Ÿé…å¥—发布相关实施规定。此外,ä¸ÞZ½“现《销售办法》的基础性与框架性,本次修订˜q‡ç¨‹ä¸­å°†åŽŸåŠžæ³•ä¸­æ¶‰åŠå®£ä¼ æŽ¨ä»‹çš„核心要求予以保留,其余¾l†åŒ–要求与规范性文件《关于证券投资基金宣传推介材料监½Ž¡äº‹™å¹çš„补充规定》合òqӞ¼Œè°ƒæ•´ä¸ºã€Šå…¬å¼€å‹Ÿé›†è¯åˆ¸æŠ•èµ„基金宣传推介材料½Ž¡ç†æš‚行规定》,拟一òq¶å‘布ã€?/span></p> </div> </div> <div class="contArticle_bot_Artpage"> <span id="pe100_page_contentpage" class="pagecss"></span> </div> <div class="c_contant_end"> 您可以分享或转发本文臻I¼š 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