中华人民共和国证券投资基金法英汉对照.docx

1、中华人民共和国证券投资基金法英汉对照中华人民共和国证券投资基金法(中英文)(中华人民共和国主席令第九号)中华人民共和国证券投资基金法已由中华人民共和国第十届全国人民代表大会常务委员会第五次会议于年月日通过，现予公布，自年月日起实施。中华人民共和国主席 胡锦涛2003年10月23日Law of Securities Investment Funds of the Peoples Republic of China (Bilingual)Order No. 9 of the President of the Peoples Republic of ChinaThe Law of Securitie

2、s Investment Funds of the Peoples Republic of China, adopted at the 5th Session of the Standing Committee of the 10th National Peoples Congress on October 28, 2003, is hereby promulgated, which shall become effective on June 1, 2004. Hu Jintao, President of the Peoples Republic of ChinaOctober 28, 2

3、003第一章 总那么 第二章 基金治理人 第三章 基金托管人 第四章 基金的召募 第五章 基金份额的交易 第六章 基金份额的申购与赎回 第七章 基金的运作与信息披露 第八章 基金合同的变更、终止与基金财产清算 第九章 基金份额持有人权利及其行使 第十章 监督治理 第十一章 法律责任 第十二章 附那么 ContentsChapter I General ProvisionsChapter II Fund ManagersChapter III Fund CustodiansChapter IV Raising of FundsChapter V Trading of Fund UnitsChap

4、ter VI Subscription and Redemption of Fund UnitsChapter VII Fund Operations and Information DisclosureChapter VIII Variation and Termination of Fund Contracts and Liquidation of Fund PropertyChapter IX Rights of Fund Unit Holders and Their ExerciseChapter X Supervision and Regulation Chapter XI Lega

5、l LiabilitiesChapter XII Supplementary Provisions第一章 总那么Chapter I General Provisions第一条 为了标准证券投资基金活动，爱惜投资人及相关当事人的合法权益，增进证券投资基金和证券市场的健康进展，制定本法。Article 1. This Law is enacted for the purposes of regulating the activities relating to securities investment funds, protecting the lawful rights and interes

6、ts of investors and other relevant parties, and promoting the healthy development of the securities investment funds and securities market.第二条 在中华人民共和国境内，通过公布发售基金份额召募证券投资基金（以下简称基金），由基金治理人治理，基金托管人托管，为基金份额持有人的利益，以资产组合方式进行证券投资活动，适用本法；本法未规定的，适用中华人民共和国信托法、中华人民共和国证券法和其他有关法律、行政法规的规定。Article 2. This Law sha

7、ll apply to the raising of securities investment funds (“fund ”or “funds”) by public offerings of fund units and the securities investment activities by means of portfolios under the management by fund managers and the custody of fund custodians in the interest of fund unit holders. Any other matter

8、s not covered by this Law shall be governed by the Trust Law of the Peoples Republic of China, the Securities Law of the Peoples Republic of China, and the provisions of other relevant laws and administrative regulations.第三条 基金治理人、基金托管人和基金份额持有人的权利、义务，依照本法在基金合同中约定。基金治理人、基金托管人依照本法和基金合同的约定，履行受托职责。基金份额持

9、有人按其所持基金份额享受收益和承担风险。 Article 3. The rights and obligations of fund managers, fund custodians and fund unit holders shall be specified in fund contracts according to this Law.The fund managers and fund custodians shall perform fiduciary functions according to this Law and fund contracts, and fund uni

10、t holders are entitled to returns and shall bear risks in proportion to the fund units they hold. 第四条 从事证券投资基金活动，应当遵循志愿、公平、老实信誉的原那么，不得损害国家利益和社会公共利益。Article 4. Those engaging in the activities relating to securities investment funds shall abide by the principles of free will, equality and good faith,

11、 and may not impair the state and public interests. 第五条 基金合同应当约定基金运作方式。基金运作方式能够采纳封锁式、开放式或其他方式。采纳封锁式运作方式的基金（以下简称封锁式基金），是指经核准的基金份额总额在基金合同期限内固定不变，基金份额能够在依法设立的证券交易场所交易，但基金份额持有人不得申请赎回的基金。采纳开放式运作方式的基金（以下简称开放式基金），是指基金份额总额不固定，基金份额能够在基金合同约定的时刻和场所申购或赎回的基金。采纳其他运作方式的基金的基金份额发售、交易、申购、赎回的方法，由国务院另行规定。Article 5. A f

12、und contract shall specify the methods of fund operations, which may be a closed-end method, an open-ended method, or any other methods.A fund operated in a closed-end method (“closed-end fund”) refers to the fund the authorized total fund units of which remain fixed during the term of the fund cont

13、ract and the fund units of which can be traded on the stock exchanges established by force of law except the fund unit holders are not entitled to apply for redemption thereof.A fund operated in an open-ended method (“open-ended fund”) refers to the fund the total fund units of which are not fixed a

14、nd the fund units of which may be subscribed to or redeemed at the time and place prescribed by the fund contract.The methods for offering, trading, subscription and redemption of the units of the funds, which have adopted other operation methods, shall be separately prescribed by the State Council.

15、第六条 基金财产独立于基金治理人、基金托管人的固有财产。基金治理人、基金托管人不得将基金财产归入其固有财产。基金治理人、基金托管人因基金财产的治理、运用或其他情形而取得的财产和收益，归入基金财产。基金治理人、基金托管人因依法解散、被依法撤销或被依法宣告破产等缘故进行清算的，基金财产不属于其清算财产。Article 6. Fund property shall be independent of the property owned by the fund manager or the fund custodian, and the fund manager or fund custodian

16、may not attribute any of the fund property into its own properties.The property and earnings obtained by the fund manager or fund custodian from the management and use of the fund or by other means shall be attributed to the fund property.Where the fund manager or fund custodian is subject to liquidation due to dissolution, revocation, or declared