Issued: October 27 2006
Applicability: The term "investment management personnel" refers to the following persons who are responsible for fund investment, research and transactions and persons who actually perform the corresponding duties in a fund management company: (1) members of the investment decision-making committee of the company; (2) senior management personnel in charge of investment, research and trading businesses; (3) persons in charge of investment, research and trading departments in the company; and (4) fund managers and fund manager assistants (Article 2).
China Securities Regulatory Commission, Guiding Opinions on the Administration of Investment Management Personnel of Fund Management Companies
中国证券监督管理委员会基金管理公司投资管理人员管理指导意见
Issued: October 27 2006Applicability: The term "investment management personnel" refers to the following persons who are responsible for fund investment,…
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