中华人民共和国证券投资基金法（2015修正）_2015.04.24生效_中英对照.docx

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1、中华人民共和国证券投资基金法（2015修正）发文机关：全国人民代表大会常务委员会发布日期：2015.04.24Promulgatedby：StandingCommitteeoftheNationalPeoplesCongressPromulgationDate：2015.04.24生效日期:2015.04.24EffectiveDate：2015.04.24时效性：现行有效ValidityStatus：valid中华人民共和国证券投资基金法SecuritiesInvestmentFundLawofthePeoplesRepublicofChina（2015修正）第一章总则CHAPTER1GEN

2、ERALPRINCIPLES第一条为了规范证券投资基Article1ThisLawisformulatedforthepurposesofstandardisingsecuritiesinvestmentfundactivities,protectingthelegitimaterights金活动，保护投资人及相关当事人andinterestsofinvestorsandtherelevantpartiesconcerned,的合法权益，促进证券投资基金和promotinghealthydevelopmentofsecuritiesinvestmentfundsandcapitalmarket

3、s.资本市场的健康发展，制定本法。第二条在中华人民共和国境Article2ThisLawshallapplytosecuritiesinvestmentfunds(hereinafterreferredtoasthefunds)establishedinthePeoples内，公开或者非公开募集资金设立RepublicofChinausingfundsraisedfrompublicofferingorprivate证券投资基金（以下简称基金），offering,managedbyafundmanager,placedunderthecustodyofafundcustodiantocarry

4、outsecuritiesinvestmentactivitiesforthe由基金管理人管理，基金托管人托interestsoffundunitholders;formattersnotstipulatedbythisLaw,管，为基金份额持有人的利益，进theprovisionsoftheTrustLawofthePeoplesRepublicofChina,theSecuritiesLawofthePeoplesRepublicofChinaandother行证券投资活动，适用本法；本法relatedlawsandadministrativeregulationsshallapply.1

5、/124未规定的，适用中华人民共和国信托法、中华人民共和国证券法和其他有关法律、行政法规的规定。WoltersKluwer威科先行Q法律信息库第三条基金管理人、基金托管人和基金份额持有人的权利、义务，依照本法在基金合同中约定。基金管理人、基金托管人依照 本法和基金合同的约定，履行受托 职责。通过公开募集方式设立的基金 （以下简称公开募集基金）的基金Article3Therightsandobligationsoffundmanagers,fundcustodiansandfundunitholdersshallbeagreedinafundcontractpursuanttothisLaw.F

6、undmanagersandfundcustodiansshallperformentrusteddutiespursuanttothisLawandtheagreementinthefundcontract.Fundunitholdersoffundsestablishedbywayofpublicoffering(hereinafterreferredtoasthepublicly-offeredfunds)shallbeentitledtoearningsandbearrisksinaccordancewiththefundunitsheldbythem,distributionofea

7、rningsandbearingofrisksforfundsestablishedbywayofprivateoffering(hereinafterreferredtoastheprivately-offeredfunds)shallbeagreedinthefundcontract.份额持有人按其所持基金份额享受收益和承担风险，通过非公开募集方式设立的基金（以下简称非公开募集基金）的收益分配和风险承担由基金合同约定。第四条从事证券投资基金活动，应当遵循自愿、公平、诚实信用的原则，不得损害国家利益和社public interest.会公共利益。Article4Securitiesinves

8、tmentfundactivitiesshallcomplywiththeprinciplesofvoluntaryparticipation,fairness,honestyandtrustworthiness,andshallnotharmtheinterestsoftheStateand第五条基金财产的债务由基 金财产本身承担，基金份额持有人 以其出资为限对基金财产的债务承 担责任。但基金合同依照本法另有 约定的，从其约定。Article5Debtsoffundassetsshallbebornebythefundassets,theliabilityoffundunitholdersf

9、orthedebtsoffundassetsshallbelimitedtotheircapitalcontribution.WhereitisagreedotherwiseinthefundcontractpursuanttothisLaw,suchagreementshallprevail.Fundassetsshallbeindependentfromtheinherentassetsofthefundmanagerandthefundcustodian.Thefundmanagerandthefundcustodianshallnotincludefundassetsintheirin

10、herent基金财产独立于基金管理人、assets.基金托管人的固有财产。基金管理人、基金托管人不得将基金财产归Propertiesandearningsderivedbythefundmanagerandthefundcustodianfrommanagementorapplicationoffundassetsoranyothercircumstancesshallbeincludedinthefundassets.入其固有财产。基金管理人、基金托管人因基金财产的管理、运用或者其他情形Wherethefundmanagerorthefundcustodianisdissolvedpursu

11、anttothelaw,revokedpursuanttothelawordeclaredbankruptpursuanttothelawandundergoesliquidation,thefundassetsshallnotfallundertheliquidationassets.而取得的财产和收益，归入基金财产。基金管理人、基金托管人因依法解散、被依法撤销或者被依法宣告破产等原因进行清算的，基金财产不属于其清算财产。第六条基金财产的债权，不 得与基金管理人、基金托管人固有 财产的债务相抵销；不同基金财产的债权债务，不得相互抵销。第七条非因基金财产本身承担的债务，不得对基金财产强制执Ar

12、ticle 7 Debts not borne by the fund assets shall not be mandatorily enforced against the fund assets.行。Article6Creditorsrightsoffundassetsshallnotbeoffsetagainstthedebtsofinherentassetsofthefundmanagerandthefundcustodian;creditorsrightsanddebtsofdifferentfundassetsshallnotbeoffsetmutually.第八条基金财产投资的

13、相关税收，由基金份额持有人承担，基 金管理人或者其他扣缴义务人按照Article8Therelevanttaxesoninvestmentsofthefundassetsshallbebornebythefundunitholders,thefundmanageroranyotherwithholdingagentshallmakewithholdingpursuanttotherelevantprovisionsoftheStateontaxcollection.国家有关税收征收的规定代扣代缴。第九条基金管理人、基金托管人管理、运用基金财产，基金服Article9Fundmanagersan

14、dfundcustodiansmanagingandapplyingfundassets,fundintermediariesengaginginfundserviceactivitiesshallfulfiltheirduties,performtheobligationsofhonesty,务机构从部基金服务活动，应当恪trustworthiness,prudenceanddiligence.尽职守，履行诚实信用、谨慎勤勉的义务。基金管理人运用基金财产进行证券投资，应当遵守审慎经营规则，制定科学合理的投资策略和风Fundmanagersapplyingfundassetsinsecurit

15、iesinvestmentsshallcomplywithprudentoperationrules,formulatescientificandrationalinvestmentstrategiesandriskmanagementsystem,effectivelypreventandcontrolrisks.Fundpractitionersshallpossessfundpractitionerqualifications,complywithlawsandadministrativeregulations,upholdcodeofprofessionalethicsandcodeo

16、fconduct.险管理制度，有效防范和控制风险。基金从业人员应当具备基金从业资格，遵守法律、行政法规，恪守职业道德和行为规范。am-人Article10Fundmanagers,fundcustodiansandfund第十条基金管理人、基金托intermediariesshallestablishAssetManagementAssociationof管人和基金服务机构，应当依照本China(hereinafterreferredtoastheAMAC,)pursuanttothisLaw,、士卡夫、下必t,次官A4-/zcarryoutindustryself-regulation,co

17、ordinateindustryrelations,法成立证券投资基金仃业协会(以provideindustryservices,promoteindustrydevelopment.下简称基金行业协会)，进行行业自律，协调行业关系，提供行业服务，促进行业发展。第十一条国务院证券监督管AHieIe11ThesecuritiesregulatorydepartmentoftheStateCouncilshallimplementsupervisionandadministrationover理机构依法对证券投资基金活动实securitiesinvestmentfundactivitiespurs

18、uanttothelaw;its一branchesshallperformdutiesasauthorised.施监督管理；其派出机构依照授权h履行职责。第二章基金管理人CHAPTER2FUNDMANAGERS第十二条基金管理人由依法Article12Fundmanagersshallbecompaniesorpartnershipenterprisesestablishedpursuanttothelaw.设立的公司或者合伙企业担任。Fundmanagersofpublicly-offeredfundsshallbefund公开募集基金的基金管理人，managementcompaniesor

19、anyotherorganisationsapprovedbythesecuritiesregulatorydepartmentoftheStateCouncilpursuant由基金管理公司或者经国务院证券totheprovisions.监督管理机构按照规定核准的其他机构担任。第十三条设立管理公开募集Article13Fundmanagementcompaniesestablishingandmanagingpublicly-offeredfundsshallsatisfythefollowingcriteria,基金的基金管理公司，应当具备下andshallbesubjecttoappro

20、valbythesecuritiesregulatory列条件，并经国务院证券监督管理departmentoftheStateCouncil:机构批准：(1)ThearticlesofassociationcomplieswiththeprovisionsofthisLawandtheCompanyLawofthePeoplesRepublicofChina;（一）有符合本法和中华人(2)TheregisteredcapitalshallnotbelessthanRMB100million,民共和国公司法规定的章程；andshallbefullypaid-upincash;(3)Thekeys

21、hareholdersshallhavegoodtrackrecordsinfinancial（二）注册资本不低于一亿元businessormanagementoffinancialinstitution,goodfinancial人民币，且必须为实缴货币资本；standingandgoodreputation,theirassetscaleshallattainthestandardsstipulatedbytheStateCouncil,andtheydonothave（三）主要股东应当具有经营anyrecordsofviolationoflawduringthepastthreeyear

22、s;金融业务或者管理金融机构的良好(4)Thenumberofemployeeswhopossessfundpractitionerqualificationshallattainthequorum;业绩、良好的财务状况和社会信誉，资产规模达到国务院规定的标(5)Thedirectors,supervisorsandseniormanagementpersonnelsatisfythecorrespondingappointmentcriteria;准，最近三年没有违法记录;(6)Thebusinesspremises,securityfacilitiesandotherfund（四）取得基金

23、从业资格的人managementbusiness-relatedfacilitiescomplywiththerequirements;员达到法定人数；（7） Thefundmanagementcompanieshavegoodinternal/governancestructure,properinternalauditandmonitoringsystem,（五）董事、监事、高级管理riskcontrolsystem;and人员具备相应的任职条件；（8） Anyothercriteriastipulatedbylawsandadministrative（、.）有.介要求的也场regulat

24、ionsandthesecuritiesregulatoryauthoritiesoftheStateCouncilapprovedbytheStateCouncil.所、安全防范设施和与基金管理业务有关的其他设施；（七）有良好的内部治理结构、完善的内部稽核监控制度、风险控制制度；（八）法律、行政法规规定的和经国务院批准的国务院证券监督管理机构规定的其他条件。第十四条国务院证券监督管理机构应当自受理基金管理公司设 立申请之日起六个月内依照本法第 十三条规定的条件和审慎监管原则 进行审查，作出批准或者不予批准的决定，并通知申请人；不予批准 的，应当说明理由。基金管理公司变更持有百分之 五以上股权

25、的股东，变更公司的实Article14ThesecuritiesregulatorydepartmentoftheStateCouncilshallexamineanapplicationforincorporationoffundmanagementcompanyanddecideonapprovalornon-approvalwithinsixmonthsfromthedateofacceptanceoftheapplicationpursuanttothecriteriaandtheprincipleofprudentregulationstipulatedinArticle13ofth

26、isLaw,andnotifytheapplicant;thereasonshallbestatedforunsuccessfulapplications.Wherethereisachangeofshareholderwhoholds5%ormoreofthesharesofafundmanagementcompanyorachangeofactualcontrollingpartyofthecompanyorachangeinanyothersignificantmatters,approvalofthesecuritiesregulatorydepartmentoftheStateCou

27、ncilshallbeobtained.ThesecuritiesregulatorydepartmentoftheStateCouncilshalldecideonapprovalornon-approvalofanapplicationwithin60daysfromthe“一工HI士dateofacceptanceoftheapplication,andnotifytheapplicant;the际控制人，或者变更其他重大事reasonshallbestatedforunsuccessfulapplications.项，应当报经国务院证券监督管理机构批准。国务院证券监督管理机构应当自受理

28、申请之日起六十日内作出批准或者不予批准的决定，并通知申请人；不予批准的，应当说明理由。第十五条有下列情形之一Article15Personswhofallunderanyofthefollowingcircumstancesshallnotbeappointedasdirectors,supervisors,的，不得担任公开募集基金的基金seniormanagementpersonnelorholdanyotherpositioninafund管理人的董事、监事、高级管理人managerofapublicly-offeredfund:员和其他从业人员：(1)Personswhoaresubje

29、cttoacriminalsentenceforcorruption,bribery,malpractice,violationofpropertyordisruptionoftheorder（一）因犯有贪污贿赂、渎ofsocialistmarketeconomy;职、侵犯财产罪或者破坏社会主义(2)Directors,supervisors,factorymanagersorseniormanagementpersonnelwhoarepersonallyaccountablefor市场经济秩序罪，被判处刑罚的；bankruptcyliquidationofthecompanyorenter

30、priseinwhichtheyholdapositionduetopoormanagementorrevocationofbusiness（二）对所任职的公司、企业licenceofthecompanyorenterpriseduetoviolationoflaw,anda因经营不善破产清算或者因违法被five-yearperiodhasnotelapsedsincecompletionofbankruptcyliquidationofthecompanyorenterpriseorrevocationofbusiness吊销营业执照负有个人责任的董licence;事、监事、厂长、高级管理人

31、员，(3)Personswitharelativelylargeamountofdebtwhichisdueand自该公司、企业破产清算终结或者outstanding;被吊销营业执照之日起未逾五年(4)Employeesoffundmanagers,fundcustodians,stock的；exchanges,securitiescompanies,securitiesdepositoryandclearingorganisations,futuresexchanges,futurescompaniesandotherorganisationsandpersonnelofStateagenc

32、ieswhoare（三）个人所负债务数额较sackedforcommittinganillegalact;(5)Lawyers,certifiedpublicaccountantsandemployeesofasset主valuationorganisationsandcertificationorganisations,investment大，到期未清偿的；advisorypractitionerswhosepractisingcertificateorqualificationisrevokedasaresultofanillegalactcommittedbythem;and（四）因违法

33、行为被开除的基Ag询a甘人红g1叶兴”日（6）Anyotherpersonsprohibitedbylawsandadministrative金管理人、基金托管人、证券交易regulationsfromengaginginfundbusiness.所、证券公司、证券登记结算机构、期货交易所、期货公司及其他机构的从业人员和国家机关工作人员；（五）因违法行为被吊销执业证书或者被取消资格的律师、注册会计师和资产评估机构、验证机构的从业人员、投资咨询从业人员；（六）法律、行政法规规定不得从事基金业务的其他人员。a,八F*jArticle16Directors,supervisorsandseniorm

34、anagement第十六条公开募集基金的基personneloffundmanagersofpublicly-offeredfundsshallbe金管理人的董事、监事和高级管理familiarwithlawsandadministrativeregulationsonsecuritiese工investments,possessworkingexperienceofthreeyearsormore人员，应当熟悉证券投资方面的法whichrelatestotheirappointment;seniormanagementpersonnel律、行政法规，具有三年以上与其shallalsoposs

35、essfundpractitionerqualification.所任职务相关的工作经历；高级管理人员还应当具备基金从业资格。i,八Article17Securitiesinvestmentsbydirectors,supervisorsand第十七条公开募集基金的基seniormanagementpersonnelandotheremployeesoffund金管理人的董事、监事、高级管理managersofpublicly-offeredfundsandtheirspouseand,八stakeholdersshallbedeclaredtothefundmanagerbeforehand

36、,人员和其他从业人员，其本人、配andshallnothaveconflictofinterestswithfundunitholders.仙MAA、在4-T要乜L次LFundmanagersofpublicly-offeredfundsshallestablishthe偶、利害美系人进仃证券投资，应managementsystemsfordeclaration,registration,examination当事先向基金管理人申报，并不得andhandlingofsecuritiesinvestmentsbypersonnelstipulatedin与基金份额持有人发生利益冲突。thprcd

37、ingParaph，ndfilrrdwiththsecuritiesregulatorydepartmentoftheStateCouncil.公开募集基金的基金管理人应当建立前款规定人员进行证券投资的申报、登记、审查、处置等管理制度，并报国务院证券监督管理机构备案。第十八条公开募集基金的基金管理人的董事、监事、高级管理人员和其他从业人员，不得担任基金托管人或者其他基金管理人的任Article18Directors,supervisorsandseniormanagementpersonnelandotheremployeesoffundmanagersofpublicly-offeredfu

38、ndsshallnotholdanypositioninafundcustodianoranotherfundmanager,shallnotengageinsecuritiestransactionsandotheractivitieswhichharmtheinterestsofthefundassetsandthefundunitholders.何职务，不得从事损害基金财产和基金份额持有人利益的证券交易及其他活动。/.T/，H-Article19Thefundmanagerofapublicly-offeredfundshall第十九条z开募集基金的基performthefollowin

39、gduties:金管理人应当履行下列职责：(1) Raisefundspursuanttothelawandhandlematterspertaining/、/,缶次人-hxffltrt0salandregistrationoffundunits;(一)依法募集资金，办理基金份额的发售和登记事宜；(2)Completefilingformalitiesforthefund;(3) Carryoutseparatemanagementandseparateaccountingfor(一)办理基金备案手续；differentfundassetsmanagedbythemandcarryoutsec

40、uritiesinvestments;()对所管理的不同基金财(4) Determinetheearningsdistributionplanforthefundin产分别目理分别记账进彳Jii分accordancewiththeagreementinthefundcontract,andpromptly投资；distributeearningstofundunitholders;(5)Carryoutaccountingforthefundandpreparefinancial（四）按照基金合同的约定确accountingreportsforthefund;定基金收益分配方案，及时向基金(6

41、)Preparehalf-yearlyandannualfundreports;份额持有人分配收益；(7)Computeandannouncethenetvalueoffundassets,determinethesubscriptionpriceandredemptionpriceforthefundunits;（五）进行基金会计核算并编制基金财务会计报告；(8)Completeinformationdisclosuremattersrelatingtofundassetmanagementactivities;（六）编制中期和年度基金报(9)Convenefundunitholdersge

42、neralmeetingspursuanttothe告；provisions;(10)Keeprecords,accountsbooks,statementsandotherrelevant（七）计算并公告基金资产净materialsoffundassetmanagementactivities;值，确定基金份额申购、赎回价(11)Representtheinterestsoffundunitholdersinthenameof格；fundmanagertoexerciselitigationrightsorimplementanyotherlegalact;and（八）办理与基金财产管理业(

43、12)Anyotherdutiesstipulatedbythesecuritiesregulatory务活动有关的信息披露事项；departmentoftheStateCouncil.（九）按照规定召集基金份额持有人大会；（+）保存基金财产管理业务活动的记录、账册、报表和其他相关资料；（十一）以基金管理人名义，代表基金份额持有人利益行使诉讼权利或者实施其他法律行为;（十二）国务院证券监督管理机构规定的其他职责。第二十条公开募集基金的基Article20Thefundmanagerofapublicly-offeredfundanditsdirectors,supervisors,senior

44、managementpersonnelandother金管理人及其董事、监事、高级管employeesshallnotcommitthefollowingacts:理人员和其他从业人员不得有下列(1)Mixupitsinherentassetsorothersassetsinthefundassetsto行为：carryoutsecuritiesinvestments;(2)Treatdifferentfundassetsundertheirmanagementinanunfair（一）将其固有财产或者他人manner;财产混同于基金财产从事证券投(3)Makeuseofthefundasse

45、tsortheofficialdutiestoseekgains资；forpersonsotherthanthefundunitholders;（二）不公平地对待其管理的(4)Undertaketothefundunitholdersonguaranteedearningsorbearingoflossesinviolationoftheprovisions;不同基金财产；(5)Encroachormisappropriatefundassets;（三）利用基金财产或者职务(6)Divulgeundisclosedinformationwhichhavecomeintotheir之便为基金份额

46、持有人以外的人牟knowledgeinthecourseofwork,makeuseofsuchinformationtoengageinrelatedtransactionsorexpresslyorimplicitlyinstruct取利益；otherstoengageinrelatedtransactions;（四）向基金份额持有人违规(7)Commitderelictionofdutyandfailtoperformdutiespursuanttotheprovisions;and承诺收益或者承担损失；(8)Anyotheractsprohibitedbylawsandadminist

47、rative（五）侵占、挪用基金财产；regulationsandthesecuritiesregulatorydepartmentoftheStateCouncil.（六）泄露因职务便利获取的未公开信息、利用该信息从事或者明示、暗示他人从事相关的交易活动;（七）玩忽职守，不按照规定履行职责；（八）法律、行政法规和国务院证券监督管理机构规定禁止的其他行为。第二十一条公开募集基金的Article21Fundmanagersofpublicly-offeredfundsshallestablishagoodinternalgovernancestructure,specifythedutiesand基金管理人应当建立良好的内部治powersofshareholdersmeetings,boardofdirectors,boardof