Fund sales code of conduct and information management

1. Code of conduct for fund sales agency personnel

1.1. Qualification management of personnel in fund sales institutions

1.2. Management and training of fund sales agency personnel

1.3. Code of conduct for fund sales agency personnel

1.3.1. Basic code of conduct for personnel

1.3.2. Prohibitive norms

2. Specifications for promotional materials

2.1. Scope of promotional materials

2.2. Approval and filing process of promotional materials

2.2.1. Submission contents

2.2.2. Submission Form

2.2.3. Submission process

2.3. Principle requirements for promotional materials

2.4. Prohibitive provisions for promotional materials

2.5. Specifications for performance publishing of promotional materials

2.6. Other specifications for promotional materials

2.7. Provisions on the publicity and promotion of money market funds

2.8. Violations of promotional materials and regulatory penalties

2.8.1. Violations

2.8.2. Administrative supervision and punishment measures

2.9. The necessary contents of the risk warning letter

3. The fund selling expenses are standardized

3.1. Fund selling expenses shall be regulated in principle

3.2. Specific specifications for fund sales expenses

4. Applicability of fund sales and investor suitability

4.1. The guiding principles and management system for the applicability of fund sales

4.2. Careful investigation of fund sales channels

4.3. Risk assessment of fund products or services

4.4. Investigation and evaluation of risk tolerance of fund investors

4.5. Ordinary investors and professional investors

4.5.1. Professional investors

4.5.2. Ordinary investors

        1. Refine classification and management obligations

        2. Special duty of care

        3. Special duty of disclosure

        4. It is not allowed to actively recommend products that exceed the risk tolerance or do not meet the investment objectives

        5. Inversion of burden of proof

        6. Recording or video

4.5.3. The transformation between ordinary investors and professional investors

        1. Professional investors turn into ordinary investors

        2. From ordinary investors to professional investors

4.6. Risk matching between investors and fund products or services

4.7. The implementation guarantee of the applicability of fund sales and the appropriateness of investors

5. Fund sales information management

5.1. Fund sales business information management

5.1.1. Front office business system

5.1.2. Self service front desk system

5.1.3. Background management system

5.2. Contents and custody requirements of fund client information

5.2.1. Content of fund client information

5.2.2. Confidentiality requirements for customer information management of fund management institutions

5.2.3. Provisions on the retention period of customer information of fund operating institutions

6. Code of conduct for private investment fund sales

6.1. General rules

6.1.1. Qualification of private fund sales entities and personnel

6.1.2. Principled requirements

6.2. Specific objects determine

6.3. Investor suitability matching

6.3.1. Risk identification and tolerance assessment of investors

6.3.2. Risk rating assessment of private equity fund products

6.4. Promote

6.5. Qualified investors

6.5.1. Conditions for qualified investors

6.5.2. The number limit of qualified investors and penetration calculation

6.6. Sign the contract

6.6.1. Risk warning

6.6.2. Qualification examination

6.6.3. Investment cooling off period

6.6.4. Return visit