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1. Q: The existing fund sales-related business has what type?
A: The existing fund sales-related business, including fund sales, fund sales payment, third-party e-commerce platform and other business categories.
Fund sales, including sales organizations fund publicity and promotion fund, fund shares on sale, for fund shares subscription and redemption activity. Fund managers may apply for sales of its products to raise funds, commercial banks, securities companies, futures companies, insurance agencies, securities investment consulting agencies, independent fund sales institutions and other bodies recognized by the China Securities Regulatory Commission China Securities Regulatory Commission to be able to agency register and obtain fund sales qualification.
Fund sales organization may choose a commercial bank or payment institution engaged in fund sales payment and settlement business. Commercial banks in fund sales payment and settlement business shall obtain fund sales qualification; payment institutions engage in fund sales payment and settlement business of People's Bank of China should get awarded the "pay business license."
Third-party e-commerce platform, refers to the activities of fund sales through the Internet to carry out, in order to fund trading activities of investment funds and fund sales organization to provide support services for information systems.
2. Q: What is Baidu's positioning in the Internet fund sales?
A: October 28, Huaxia Fund co-carry Internet fund sales and Baidu formally launched. Huaxia Fund in cooperation with Baidu mode, each part of the investor fund sales trading account opening, Shen redemption transactions, payment and settlement of funds and follow-up customer service by the Huaxia Fund is complete, Baidu only play the role of traffic import, did not participate fund sales.
3. Q: Taobao fund sales in the Internet what it is like positioning?
A: Taobao sales in Internet Fund is to provide support services for third-party fund sales organization e-commerce platform.
To promote the fund sales institutions conduct online fund sales through third-party e-commerce platform, I will listen to opinions from all sides of the industry on the basis of the development in March this year issued a "securities investment fund sales organization by a third-party e-commerce platform to carry out business management Interim provisions "(hereinafter referred to as the" Interim provisions "), to fund sales institutions related specifications fund sales through third-party e-commerce platform has been clear, and to engage in such business third-party e-commerce platform and qualifications business borders corresponding provisions.
According to the "Interim Provisions" the relevant requirements, pre Taobao its readiness to provide business services through e-commerce platform for the fund sales institutions I will submit to the relevant material. Its material meets the "Interim Provisions" the relevant requirements, I would Taobao submit operational programs without objection. Taobao services provided by e-commerce platform for the fund sales institutions related business was on the line November 1.
4. Q: What is included in the fund sales institutions?
A: According to "securities investment fund sales management approach" to fund sales organization refers to fund managers and other institutions by the China Securities Regulatory Commission and its agencies registered.
Fund managers can apply to raise its sales of fund products. Commercial banks (including foreign banks in China, the same below), securities companies, futures companies, insurance agencies (including insurance companies, insurance brokers and insurance agents), securities investment consulting institutions and independent sales organizations fund and China Securities Regulatory Commission finds other institutions engaged in fund sales, the business registration shall location China Securities Regulatory Commission agency to register and obtain the corresponding qualifications.
5. Q: What are the fund sales payment institutions?
A: According to "securities investment fund sales management approach", the fund sales institutions may choose a commercial bank or payment institution engaged in fund sales payment and settlement business. Investors can visit the Commission website has filed fund sales payment agencies directory, I'll update the list on the beginning of each month.
6. Q: What are third-party e-commerce platform?
A: According to "securities investment fund sales management Interim Provisions agencies operating through a third party e-commerce platform," third-party e-commerce platform, it refers to the activities of fund sales through the Internet to carry out in order to fund investment and fund sales organization between fund trading activities provide support services information systems. Taobao currently the record for third-party e-commerce platform.
7. Q: What is the Internet fund sales regulatory principles regulators that?
A: As for fund sales, the Commission has a clear basic regulatory principles that it is necessary to ensure the safety of funds investor, to prevent investor funds were misappropriated or occupation; second is to prevent fraud, misleading investors behavior occurs; Third is to strictly implement the principle of the applicability of sales, the full attention of investors and fund product risk tolerance risk-return characteristics match.
8. Q: Can you tell us the basic framework under the supervision of Internet fund sales?
A: In order to regulate fund sales, safeguard the legitimate rights and interests of investors, I will have to develop and improve the "securities investment fund sales management approach," "securities investment fund sales settlement funds management Interim Provisions", "internal control mechanism securities investment fund sales guidance opinion "," sales of securities investment funds applicability guidance, "" securities investment fund sales information management platform management regulations "and" open-end securities investment fund sales fees regulations "and other regulations. Fund sales on the Internet, as well as "securities investment fund sales agency business through a third party e-commerce platform management Interim Provisions" and "online fund sales information system technical guidelines" and other norms, established a fund sales of related specifications and regulatory requirements . Overall, the relevant laws and regulations and supervision mechanisms for fund sales have been basically established, the investor's rights can be effectively protected. One kind of format belonging to the type of Internet fund sales of fund sales, fund sales should follow existing norms, I will be monitored and regulated according to their existing fund sales business regulatory laws and regulatory requirements.
9. Q: What is the applicability of the principle of fund sales?
A: The fund sales applicability refers to the process of fund sales institutions in fund sales and related products, focusing on sales of products based on different levels of risk fund investors risk tolerance, the right product to sell the right fund investors.
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