中华人民共和国证券投资基金法(2015修正)英汉对照

SecuritiesInvestmentFundLawofthePeople'sRepublicofChina(2015Amendment)[Effective]中华人民共和国证券投资基金法(2015修正)[现行有效]Issuingauthority：StandingCommitteeoftheNationalPeople'sCongressDocumentNumber：OrderNo.23ofthePresidentofthePeople'sRepublicofChinaDateissued：04-24-2015LevelofAuthority：LawsAreaoflaw：Securities,Securities,Securities,SecuritiesSecuritiesInvestmentFundLawofthePeople'sRepublicofChina中华人民共和国证券投资基金法(Adoptedatthe5thSessionoftheStandingCommitteeoftheTenthNationalPeople'sCongressonOctober28,2003andrevisedatthe30thSessionoftheStandingCommitteeoftheEleventhNationalPeople'sCongressonDecember28,2012;andamendedinaccordancewiththeDecisiononAmendingtheSevenLawsIncludingtheLawofthePeople'sRepublicofChinaonPortsadoptedattheThirdSessionoftheTwelfthNationalPeople'sCongressonApril24,2015)（2003年10月28日第十届全国人民代表大会常务委员会第五次会议通过2012年12月28日第十一届全国人民代表大会常务委员会第三十次会议修订根据2015年4月24日第十二届全国人民代表大会常务委员会第十四次会议《关于修改〈中华人民共和国港口法〉等七部法律的决定》修正）TableofContents目录ChapterIGeneralProvisions第一章总则ChapterIIFundManagementInstitutions第二章基金管理人ChapterIIIFundCustodians第三章基金托管人ChapterIVOperatingModeandOrganizationofaFund第四章基金的运作方式和组织ChapterVPublicOfferingofaFund第五章基金的公开募集ChapterVIFundShareTrading,SubscriptionandRedemptionofaPubliclyOfferedFund第六章公开募集基金的基金份额的交易、申购与赎回ChapterVIIInvestmentofaPubliclyOfferedFundandInformationDisclosure第七章公开募集基金的投资与信息披露ChapterVIIIModificationandTerminationoftheFundContractonaPubliclyOfferedFundandLiquidationofFundAssets第八章公开募集基金的基金合同的变更、终止与基金财产清算ChapterIXExerciseofRightsbyFundShareHoldersofaPubliclyOfferedFund第九章公开募集基金的基金份额持有人权利行使ChapterXNon-PubliclyOfferedFunds第十章非公开募集基金ChapterXIFundServiceInstitutions第十一章基金服务机构ChapterXIIFundAssociations第十二章基金行业协会ChapterXIIISupervisionandAdministration第十三章监督管理ChapterXIVLegalLiability第十四章法律责任ChapterXVSupplementaryProvisions第十五章附则ChapterIGeneralProvisions第一章总则Article1ThisLawisenactedtoregulatesecuritiesinvestmentfundactivities,protectthelawfulrightsandinterestsofinvestorsandrelevantparties,andpromotethesounddevelopmentofsecuritiesinvestmentfundsandthecapitalmarket.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资本市场的健康发展，制定本法。Article2ThisLawshallapplytotheformationofasecuritiesinvestmentfund(hereinafterreferredtoasa“fund”)throughthepublicornon-publicraisingofcapital,themanagementofthefundbyafundmanagementinstitution,thecustodyofthefundbyafundcustodian,andthesecuritiesinvestmentactivitiesconductedforthebenefitofthefundshareholders,withintheterritoryofthePeople'sRepublicofChina;andmattersnotincludedinthisLawshallbegovernedbytheTrustLawofthePeople'sRepublicofChina,theSecuritiesLawofthePeople'sRepublicofChina,andotherrelevantlawsandadministrativeregulations.第二条在中华人民共和国境内，公开或者非公开募集资金设立证券投资基金（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，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。Article3Therightsandobligationsofafundmanagementinstitution,afundcustodianandthefundshareholdersshallbeagreeduponinafundcontractinaccordancewiththisLaw.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。ThefundmanagementinstitutionandthefundcustodianshallperformtheirfiduciarydutiesinaccordancewiththisLawandthefundcontract.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。Thefundshareholdersofafundformedthroughthepublicraisingofcapital(hereinafterreferredtoasa“publiclyofferedfund”)shallenjoyincomeandassumeriskstotheextentofthefundsharesheldrespectively,andthedistributionofincomeandassumptionofrisksforafundformedthroughthenon-publicraisingofcapital(hereinafterreferredtoasa“non-publiclyofferedfund”)shallbeagreeduponinthefundcontract.通过公开募集方式设立的基金（以下简称公开募集基金）的基金份额持有人按其所持基金份额享受收益和承担风险，通过非公开募集方式设立的基金（以下简称非公开募集基金）的收益分配和风险承担由基金合同约定。Article4Securitiesinvestmentfundactivitiesshallbeconductedundertheprinciplesoffreewill,fairnessandgoodfaith,withoutanyinfringementuponthenationalinterestorpublicinterest.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。Article5Thedebtsincurredbyfundassetsshallberepaidwithfundassetsonly,andthefundshareholdersshallbeliableforthedebtsincurredbyfundassetsonlytotheextentoftheirrespectivecapitalcontributions,exceptasotherwiseagreeduponinthefundcontractinaccordancewiththisLaw.第五条基金财产的债务由基金财产本身承担，基金份额持有人以其出资为限对基金财产的债务承担责任。但基金合同依照本法另有约定的，从其约定。Fundassetsshallbeindependentfromafundmanagementinstitution'sorafundcustodian'sownassets.Thefundmanagementinstitutionorfundcustodianshallnotincorporateanyfundassetsintoitsownassets.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。Allpropertyandincomeobtainedbythefundmanagementinstitutionorfundcustodianfrommanaging,utilizingorotherwisedisposingoffundassetsshallbeincorporatedintofundassets.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。Wherethefundmanagementinstitutionorfundcustodianisliquidatedforbeingdissolved,administrativelydissolvedordeclaredbankruptinaccordancewithlaworanyotherreason,fundassetsarenotliquidatingproperty.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。Article6Theclaimsenjoyedbyfundassetsshallnotbeusedtooffsetthedebtsincurredbyafundmanagementinstitution'sorafundcustodian'sownassets;andtheclaimsenjoyedanddebtsincurredbytheassetsofdifferentfundsshallnotbeoffsetmutually.第六条基金财产的债权，不得与