证券投资基金法中英文对照

证券投资基金法中英文对照中华人民共和国证券投资基金法中华人民共和国主席令第9号OrderofthePresidentofthePeople'sRepublicofChinaNo.9《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2003年10月28日通过，中华人民共和国主席令第九号公布，自2004年6月1日起施行TheLawofthePeople'sRepublicofChinaonFundsforInvestmentinSecurities,whichwasadoptedatthefifthmeetingoftheStandingCommitteeoftheTenthNationalPeople'sCongressonOctober28,2003,isherebypromulgatedandshalltakeeffectasofJune1,2004.中华人民共和国主席胡锦涛PresidentofthePeople'sRepublicofChina,HuJintao二〇〇三年10月28日October28,2003中华人民共和国证券投资基金法LawofthePeople'sRepublicofChinaonFundsforInvestmentinSecurities目录Contents第一章总则ChapterIGeneralProvisions第二章基金管理人ChapterIIFundManagers第三章基金托管人ChapterIIIFundTrustees第四章基金的募集ChapterIVRaisingofFund第五章基金份额的交易ChapterVTradingofFundShares第六章基金份额的申购与赎回ChapterVISubscriptiontoandRedemptionofFundShares第七章基金的运作与信息披露ChapterVIIFundOperationsandInformationDisclosure第八章基金合同的变更、终止与基金财产清算ChapterVIIIAlterationandTerminationoftheFundContractandLiquidationofFundProperty第九章基金份额持有人权利及其行使ChapterIXRightsoftheFundShareHoldersandtheExercisethereof第十章监督管理1ChapterXSupervisionandAdministration第十一章法律责任ChapterXILegalLiabilities第十二章附则ChapterXIISupplementaryProvisions第一章总则ChapterIGeneralProvisions第一条为了规范证券投资基金活动，保护投资人及相关当事人的合法权益，促进证券投资基金和证券市场的健康发展，制定本法。Article1ThepresentLawisenactedwithaviewtoregulatingtheactivitiesconcerningsecuritiesinvestmentfund,toprotectthelegitimaterightsandinterestsoftheinvestorsandotherrelevantparties,andtopromotethehealthydevelopmentofsecuritiesinvestmentfundandsecuritiesmarket.第二条在中华人民共和国境内，通过公开发售基金份额募集证券投资基金(以下简称基金)，由基金管理人管理，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。Article2ThepresentLawshallapplytothesecuritiesinvestmentactivitiesconductedthroughthemethodofportfolioandthroughpublicofferingoffundsharestoraisesecuritiesinvestmentfund(hereinafterreferredtoasfund),whichismanagedbyfundmanagersandentrustedtofundtrusteesforthebenefitsofthefundshareholders;themattersnotcoveredbythepresentLawshallbegovernedbytheTrustLawofthePeople'sRepublicofChina,theSecuritiesLawofthePeople'sRepublicofChina,andotherrelevantlawsandadministrativeregulations.第三条基金管理人、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。Article3Therightsandobligationsofthefundmanagers,fundtrusteesandfundshareholdersshallbestipulatedinthefundcontractsinaccordancewiththepresentLaw.基金管理人、基金托管人依照本法和基金合同的约定，履行受托职责。基金份额持有人按其所持基金份额享受收益和承担风险。ThefundmanagersandfundtrusteesshallperformthedutiesoftrusteeshipinaccordancewiththepresentLawandthefundcontract.Aholderoffundsharesshallenjoythebenefitsandbeartheriskstotheextentofthefundsharesitholds.第四条从事证券投资基金活动，应当遵循自愿、公平、诚实信用的原则，不得损害国家利益和社会公共利益。Article4Thoseengagingintheactivitiesinvolvingsecuritiesinvestmentfundshalladheretotheprinciplesoffreewill,fairnessandgoodfaith,andmaynotimpairthestateandpublicinterests.第五条基金合同应当约定基金运作方式。基金运作方式可以采用封闭式、开放式或者2其他方式。Article5Afundcontractshallstipulatetheoperationmethodofthefund.Afundcanbeoperatedinaclosed,open,oranyotherway.采用封闭式运作方式的基金(以下简称封闭式基金)，是指经核准的基金份额总额在基金合同期限内固定不变，基金份额可以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。Afundoperatedinaclosedway(hereinafterreferredtoasclosedfund)referstothefundofwhichtheratifiedtotalfundsharesremainsfixedduringthevalidtermofthefundcontractandofwhichthefundsharescanbetradedonthesecuritiesexchangesestablishedaccordingtolaw,butcannotberedeemedbythefundshareholdersthroughapplication.采用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，基金份额可以在基金合同约定的时间和场所申购或者赎回的基金。Afundoperatedinanopenway(hereinafterreferredtoasopenfund)referstothefundofwhichthetotalfundsharesareunfixedandofwhichthefundsharesmaybesubscribedtoorredeemedatthetimeandplacestipulatedinthefundcontract.采用其他运作方式的基金的基金份额发售、交易、申购、赎回的办法，由国务院另行规定。Themethodsofoffering,trading,subscriptionandredemptionofthefundsharesofotherfundsoperatedthroughothermethodsshallbeseparatelyformulatedbytheStateCouncil.第六条基金财产独立于基金管理人、基金托管人的固有财产。基金管理人、基金托管人不得将基金财产归入其固有财产。Article6Fundpropertyshallbeindependentfromthepropertyownedbythefundmanagerandfundtrustee.Thefundmanagerandfundtrusteemaynotattributeanyofthefundpropertyintotheirownproperty.基金管理人、基金托管人因基金财产的管理、运用或者其他情形而取得的财产和收益，归入基金财产。Thepropertyandbenefitsobtainedbythefundmanagerandfundtrusteeasaresultofthemanagement,utilizationoranyotheruseofthefundshallbeincludedintothefundproperty.基金管理人、基金托管人因依法解散、被依法撤销或者被依法宣告破产等原因进行清算的，基金财产不属于其清算财产。Wherethefundmanagerorfundtrusteegoesintoliquidationasaresultofdissolution,cancellation,ordeclaredbankruptcyaccordingtolaw,thefundpropertyshallnotbetakenastheirliquidationproperty.第七条基金财产的债权，不得与基金管理人、基金托管人固有财产的债务相抵销;不同基金财产的债权债务，不得相互抵销。Article7Thecreditrightsoffundpropertymaynotbesetoffagainstthedebtsofthepropertyownedbythefundmanagerandfundtrustee;andthecreditrightsanddebtsofdifferentfundpropertiesmaynotbesetoffagainsteachother.第八条非因基金财产本身承担的债务，不得对基金财产强制执行。Article8Thedebtsnotarisingoutofthefundpropertymaynotbeenforcedagainstsuchfundproperty.3第九条基金管理人、基金托管人管理、运用基金财产，应当恪尽职守，履行诚实信用、谨慎勤勉的义务。Article9Thefundmanagerandfundtrusteeshall,inmanagingandutilizingthefundproperty,devotethemselvestotheirdutiesandperformtheobligationsofgoodfaith,prudenceanddiligence.基金从业