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中英对照法律资源--中国银行业监督管理委员会《贷款公司管理暂行规定》 |
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作者：无忧教育 文章来源：51education.net 点击数： 更新时间：2008-5-18 |
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the duties for the trustee as follows in accordance with the related laws and regulations:<0} {0> （一） 保护持有人利益，按照规定对基金、集合计划日常投资行为和资金汇出入情况实施监督，如发现投资指令或资金汇出入违法、违规，应当及时向中国证监会、国家外汇局报告；<}0{> 1. Protecting the holders' interests, performing surveillance over the daily investment as well as the outward and inward remittance of capital for a fund or pool plan in accordance with related provisions, and in the case of any illegal or irregular investment directive, outward or inward remittance of capital, it shall report to the CSRC and the SAFE in a timely manner;<0} {0> （二） 安全保护基金、集合计划财产，准时将公司行为信息通知境内机构投资者，确保基金、集合计划及时收取所有应得收入；<}0{> 2. Safely protecting the property of a fund or pool plan, punctually notifying the information on the company's behaviors to the QDII, and ensuring that proper incomes could be obtained for the fund or pool plan in a timely manner;<0} {0> （三） 确保基金、集合计划按照有关法律法规、基金合同和集合资产管理合同约定的投资目标和限制进行管理；<}0{> 3. Ensuring that the fund or pool plan is managed in accordance with related laws, regulations, as well as the investment targets and restrictions as stipulated in the fund contract or the asset pool management contract;<0} {0> （四） 按照有关法律法规、基金合同和集合资产管理合同的约定执行境内机构投资者、投资顾问的指令，及时办理清算、交割事宜；<}0{> 4. Implementing the directives of the QDII or the investment consultant, and making settlement and delivery in time in accordance with related laws, regulations as well as the fund contract or the asset pool management contract;<0} {0> （五） 确保基金、集合计划的份额净值按照有关法律法规、基金合同和集合资产管理合同规定的方法进行计算；<}0{> 5. Ensuring that the net value of the fund or pool plan units is calculated in light of the methods as prescribed in related laws, regulations, as well as the fund contract or the asset pool management contract;<0} {0> （六） 确保基金、集合计划按照有关法律法规、基金合同和集合资产管理合同的规定进行申购、认购、赎回等日常交易；<}0{> 6. Ensuring that the fund or pool plan is applied for, subscribed or redeemed, etc. in accordance with related laws, regulations, as well as the fund contract or the asset pool management contract;<0} {0> （七） 确保基金、集合计划根据有关法律法规、基金合同和集合资产管理合同确定并实施收益分配方案；<}0{> 7. Ensuring that the proceeds distribution scheme for a fund or pool plan is determined and implemented in accordance with related laws, regulations, as well as the fund contract or the asset pool management contract;<0} {0> （八） 按照有关法律法规、基金合同和集合资产管理合同的规定以受托人名义或其指定的代理人名义登记资产；<}0{> 8. Registering the assets in the name of the custodian or the designated agent in accordance with related laws, regulations, as well as the fund contract or the asset pool management contract;<0} {0> （九） 每月结束后7个工作日内，向中国证监会和国家外汇局报告境内机构投资者境外投资情况，并按相关规定进行国际收支申报；<}0{> 9. Reporting the conditions relating to the investment outside the territory of China by the QDII to the CSRC and the SAFE within 7 workdays after conclusion of each month, and declaring the balance of payments in accordance with related provisions; and<0} {0> （十） 中国证监会和国家外汇局根据审慎监管原则规定的其他职责。<}0{> 10. Other responsibilities as prescribed by the CSRC or the SAFE in light of the principle of prudent surveillance.<0} {0> 第二十一条 对基金、集合计划的境外财产，托管人可授权境外托管人代为履行其承担的受托人职责。<}0{> Article 21 With respect to the assets outside the territory of China of a fund or pool plan, a custodian may entrust a custodian outside the territory of China to perform the duty for the trustee on its behalf. <0} {0>境外托管人在履行职责过程中，因本身过错、疏忽等原因而导致基金、集合计划财产受损的，托管人应当承担相应责任。<}0{>Where the custodian outside the territory of China leads to any loss to the assets of a fund or pool plan because of its fault or negligence, etc. during the process of performing duties, the custodian shall bear the liabilities accordingly.<0} {0> 第二十二条 托管人应当按照有关法律法规履行下列托管职责：<}0{> Article 22 A custodian shall perform the following custody responsibilities in accordance with related laws and regulations:<0} {0> （一） 安全保管基金、集合计划资产，开设资金账户和证券账户；<}0{> 1. Safely keeping the assets of a fund and pool plan, and opening a capital account and a securities account;<0} {0> （二） 办理境内机构投资者的有关结汇、售汇、收汇、付汇和人民币资金结算业务；<}0{> 2. Handling the settlement, sales, collection and payment of foreign exchange as well as the Renminbi settlement business for the QDII;<0} {0> （三） 保存境内机构投资者的资金汇出、汇入、兑换、收汇、付汇、资金往来、委托及成交记录等相关资料，其保存的时间应当不少于20年；<}0{> 3. Keeping the related materials concerning outward remittance, inward remittance, conversion of capital, the collection and payment of foreign exchange, capital flows, authorization and transaction records of the QDII for no less than 20 years; and<0} {0> （四） 中国证监会和国家外汇局根据审慎监管原则规定的其他职责。<}0{>4. Other responsibilities as prescribed by the CSRC or the SAFE according to the principle of prudent surveillance.<0} {0> 第二十三条 托管人、境外托管人应当将其自有资产和境内机构投资者管理的财产严格分开。<}0{> Article 23 A custodian or a custodian outside the territory of China shall severely separate its own assets from the assets under the management of the QDII.<0} {0> 第五章 资金募集、投资运作、信息披露<}0{> Chapter V Capital Raising, Investment Operation and Information Disclosure<0} {0> 第二十四条 取得境内机构投资者资格的基金管理公司可以根据有关法律法规通过公开发售基金份额募集基金，运用基金财产投资于境外证券市场。<}0{> Article 24 A fund management company that has obtained the QDII qualification may raise the capital by publicly selling fund units in accordance with related laws and regulations, and invest fund assets in the securities market outside the territory of China. <0} {0>基金管理公司申请募集基金，应当根据有关法律法规规定提交申请材料。<}0{>Where a fund management company applies for raising a fund, it shall submit the application materials in accordance with related laws and regulations.<0} {0> 第二十五条 取得境内机构投资者资格的证券公司可以通过设立集合计划等方式募集资金，运用所募集的资金投资于境外证券市场。<}0{> Article 25 A securities company that has obtained the QDII qualification may raise the capital by establishing a pool plan, etc., and invest the capital it raised in the securities market outside the territory of China. <0} {0>设立集合计划的，应当按照有关规定提交申请材料，进行资金募集和投资运作。<}0{>In the case of the establishment of a pool plan, a securities company shall submit the application materials, raise the capital and make the investment in accordance with related provisions.<0} {0> 第二十六条 申请募集的基金应当根据有关规定选择投资业绩比较基准。<}0{> Article 26 Related benchmarks for the comparison of investment performance shall be selected for a fund for which a raising application is filed as required.<0} {0> 第二十七条 基金、集合计划应当投资于中国证监会规定的金融产品或工具。<}0{> Article 27 A fund or pool plan shall be used to invest in the financial products or tools as prescribed by the CSRC.<0} {0> 第二十八条 基金、集合计划应当遵守有关投资比例限制的规定。<}0{> Article 28 A fund or pool plan shall follow the provisions on the proportion of investment.<0} {0> 第二十九条 境内机构投资者、投资顾问挑选、委托境外证券服务机构代理买卖证券的，应当严格履行受信责任，并按照有关规定对投资交易的流程、信息披露、记录保存进行管理。<}0{> Article 29 Where a QDII or investment consultant selects or entrusts a securities service institution outside the territory of China for buying and selling securities, it shall severely perform the fiduciary responsibility, and manage the procedures of investment transactions, the information disclosure and the records keeping in accordance with related provisions.<0} {0> 第三十条 境内机构投资者、投资顾问与境外证券服务机构之间的证券交易和研究服务安排，应当按照以下原则进行：<}0{> Article 30 Where a QDII, an investment consultant carries out the securities trading and the research service arrangement with a securities service institution outside the territory of China, it shall observe the principles as follows:<0} {0> （一） 交易佣金属于基金、集合计划持有人的财产；<}0{> 1. The trading commissions shall be the property of the holders of a fund or pool plan; and<0} {0> （二） 境内机构投资者、投资顾问有责任代表持有人确保交易质量，包括但不限于：<}0{> 2. The QDII and the investment consultant has the responsibility of ensuring the trading quality on behalf of holders, and such responsibilities shall include, but not limited to:<0} {0> 1． 寻求最佳交易执行；<}0{> (a) seeking for the best implementation of trading;<0} {0> 2． 力求交易成本最小化；<}0{> (b) seeking the minimized trading costs; and<0} {0> 3． 使用持有人的交易佣金使持有人受益。<}0{> (c) using the trading commissions of holders for the benefits thereof.<0} {0> 第三十一条 境内机构投资者的境外证券投资，应当遵守当地监管机构、交易所的有关法律法规规定。<}0{> Article 31 Where a QDII carries out the securities investment outside the territory of China, it shall follow the related laws and regulations as prescribed by the local surveillant organ and the local stock exchange.<0} {0> 第三十二条 境内机构投资者、托管人等信息披露义务人应当严格按照有关法律法规规定的要求进行信息披露。<}0{> Article 32 Such people with the obligation to make information disclosure as the QDII, and the custodian shall reveal the information in strict accordance with related laws and regulations.<0} {0> 第六章 额度和资金管理<}0{> Chapter VI Quota and Capital Management<0} {0> 第三十三条 境内机构投资者应当根据市场情况、产品特性等在募集方案中设定合理的额度规模上限，向国家外汇局备案，并按照有关规定到国家外汇局办理相关手续。<}0{> Article 33 A QDII shall set reasonable upper limits of the quota and the scale in the raising plan in light of the market conditions and the characteristics of the product, report them to the SAFE for archival purpose, and shall handle related procedures at the SAFE in accordance with related provisions. <0} {0>基金、集合计划存续期内的额度规模管理应当按照有关规定进行。<}0{>The administration on quota or scale within the extension of a fund or pool plan shall be performed in accordance with related provisions.<0} {0> 第三十四条 境内机构投资者应当在托管人处开立托管账户，托管基金、集合计划的全部资产。<}0{> Article 34 A QDII shall open a custody account at the custodian for the custody of all the assets of a fund or pool plan.<0} {0> 第三十五条 托管人应当为基金、集合计划开立结算账户和证券托管账户，用于与证券登记结算等机构之间的资金结算业务和证券托管业务。<}0{> Article 35 A custodian shall open a settlement account and a securities 上一页 [1] [2] [3] [4] [5] [6] [7] [8] [9] [10] ... 下一页 >> 实践证明经常访问无忧英语教育网 www.51education.net ,能迅速提高你的英语学习能力!积沙成塔,不断提高! 本站所提供的所有信息仅供学校课堂教学及英语学习者学习研究之用，其著作权归原作者及媒体所有。 |
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