《资管新规》之后的尽职管理监管

Abstract:The trend of mixed operation in asset management is inevitable，and the regulatory framework has been built by the Guidelines on Regulating Asset Management Businesses of Financial Institutions. To unify and clarify the definition of conscientious management of asset manager has become imminent. However，there is not any unified conscientious management supervision documents for the asset management in China. On the basis of summarizing the present situation of supervision，this paper analyses the manager’s obligations，the trust relationship，the trustee’s obligations and the cautious obligations in conscientious asset management，and puts forward suggestions on implementing the supervision of conscientious management，including clarifying the legal basis of the asset management，establishing unified conscientious management standards，formulating targeted guidelines for conscientious management and researching the enriched penalty cases.

收起