Laws and Regulations
基金类行政许可审核工作指引1号--《证券投资基金管理公司高级管理人员任职管理办法》第六条的适用

基金类行政许可审核工作指引1号--《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》第六条的适用

 

《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》第六条规定,拟任证券基金经营机构董事、监事、高级管理人员的人员,应当符合下列基本条件:……(三)具备3年以上与其拟任职务相关的证券、基金、金融、法律、会计、信息技术等工作经历;(四)具有与拟任职务相适应的管理经历和经营管理能力……。第五十六条规定,下列机构的相关人员应当具备本办法第六条第一款第(一)项到第(四)项、……规定的任职条件,……:(一)证券基金经营机构以外的其他公募基金管理人及其董事、监事和高级管理人员……

对上述规定内容的适用问题现作如下规定:

为进一步强化新设基金管理公司总经理、督察长的胜任能力,新设基金管理公司拟任总经理、督察长应当符合以下条件:

一、新设基金管理公司总经理、督察长,具备一定的公募基金管理经验或证券资产管理经验,且至少1人有公募基金管理从业经历,其中督察长需具备一定的公募基金管理(或证券资产管理)合规风控管理经验。

二、拟任总经理具备5年以上的公募基金管理经验或证券资产管理经验,且应符合下列条件之一:1、担任公募基金管理公司副总经理及以上职务满2年;2、担任大中型(资产管理规模行业排名前1/3)公募基金管理公司部门负责人满4年;3、担任证券公司分管资管业务副总经理及以上职务满2年或公募部门负责人满2年;4、担任证券资管子公司副总经理及以上职务满2年;5、担任保险资管公司负责公募业务的副总经理及以上职务满4年或公募部门负责人满4年。

三、拟任督察长应当符合《证券公司和证券投资基金管理公司合规管理办法》规定的条件具备5年以上的资产管理合规风控管理经验,且应符合下列条件之一1、担任公募基金管理公司督察长或公募基金管理人公募业务合规负责人满2年;2、在公募基金管理机构、证券公司、证券资管子公司从事公募基金管理业务或者证券资产管理业务相关的监察稽核、风险管理工作,担任部门负责人满2年;3、担任取得资产管理业务牌照的证券公司的合规总监职务满2年;4、担任私募证券基金管理机构合规部门负责人满4年,其从业的私募证券基金管理机构须满足最近3年无重大违法违规记录、管理良好、最近3年证券资产管理规模合计不低于150亿元

四、拟任总经理、督察长自公司开业之日起2年内离职的,接任人员应当符合前述规定条件

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