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1、精品办公文档XX资产管理有限公司利益冲突防范制度本制度由北京大成(上海)律师事务所邓炜律师团队协助起草,如您对完善本制度有任何建议或意见,欢迎发送邮件至 精品办公文档XX资产管理有限公司利益冲突防范制度第一章总则第一条为完善 XX资产管理有限公司(以下简称“公司”或“本公司”)内控管理,维护基金持有人及公司的合法权益。根据中华人民共和国证券投资基金法、私募投资基金监督管理暂行办法、私募投资基金管理人内部控制指引等法律法规、规范性法律文件及相关监管要求制定本制度。第二条本制度所称的利益冲突指当员工的个人利益在任何方面妨碍或可能妨碍公司或投资者整体利益时将产生利益冲突。第三条(公司 XX部门)负责
2、公司利益冲突识别、防范工作。第四条本办法适用于本公司及公司所有的子公司。第二章目标、内容与识别程序第五条利益冲突防范的目标主要是:(一)有效防范风险,促进公司诚信、合法、有效经营,保障基金持有人利益;(二)引导员工主动积极避免任何可能影响其从公司或基金持有人利益出发行事或使其难以客观有效地工作的个人利益。第六条识别的利益冲突包括但不限于:商业竞争、商业机会、财务利益、贷款与其他金融交易、在董事会的工作、资产管理等。文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W
3、8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5
4、N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8
5、W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR
6、6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2
7、E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10
8、U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:
9、CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1精品办公文档第七条商业竞争:任何员工不允许同时在本公司存在业务竞争或有损于本公司业务的任何其他公司就职。第八条商业机会:任何员工不得以公司资源、信息或其个人职位为条件攫取本应属于公司的商机而牟取个人利益。如果员工通过利用公司资源、信息或职权在公司业务范围内发现了商机,应在以个人能力获取该商机之前首先报告公司。第九条财务利益:(一)员工不能直接拥有、通过配偶或其他家庭成员间接拥有其他商业实体的财务利益(包括所有权和其他形式):该财务利益对员工在
10、本公司履行的职责和义务产生负面影响或该财务利益需要占用员工在公司的工作时间。(二)任何员工不得持有任何其他与公司有竞争关系的非上市企业之所有者权益。(三)员工在与公司有竞争关系的上市公司中可以持有不高于5%的所有者权益。如果员工持有的所有者权益总数超过了5%,该员工应当立即向合规负责人报告该权益情况。(四)如果某个员工的职责包括管理和监督公司与另外一家公司的业务关系,则该员工不得持有对方公司的所有者权益。第十条贷款或其他金融交易:员工不得从重要客户、供应商或竞争对手获得贷款或个人债务担保,也不可以与之进行任何其他个人金融交易。第十一条在董事会的工作:任何员工不得在有理由被认为与公司文档编码:C
11、R6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM
12、2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO1
13、0U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码
14、:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6
15、HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 Z
16、O10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档
17、编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1精品办公文档有利益冲突的企业的董事会担任职务,无论该企业为盈利性或非盈利性。员工在接受这样的董事会职位之前要获得本公司执行董事的批准。公司将随时再次审核以确认员工担任此类职务是否恰当。第十二条资产管理:(一)员工不应同时履行可能导致利益冲突的职责,业务部门工作人员不应在与其业
18、务存在利益冲突的其它部门或子公司兼任职务。(二)同一高级管理人员同时分管两个或两个以上存在利益冲突的业务的,不应直接或间接参与具体证券品种的投资决策、投资顾问等可能导致利益冲突的业务活动。(三)对于可能产生利益冲突的业务,公司应建立必要的岗位独立、信息隔离和人员回避等工作安排。(四)公司已经采取信息隔离墙等措施,仍难以避免利益冲突的,应当对实际存在的和潜在的利益冲突进行充分披露。信息披露仍难以有效处理利益冲突的,应当对存在利益冲突的相关业务活动采取限制措施。(五)公司在对相关业务进行限制时,应当遵循客户利益优先和公平对待客户的原则,严禁任何形式的利益输送。(六)法律合规人员在业务合规审核时,应
19、关注防范可能的利益冲突与利益输送以及基金持有人的不公平对待。第十三条上述商业竞争、商业机会、财务利益、贷款与其他金融交易、在董事会的工作、资产管理并非可能产生利益冲突的情况的完整清单,本办法仅提供了有限的示例。如果员工面临本办法未曾列文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM
20、2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO1
21、0U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码
22、:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6
23、HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 Z
24、O10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档
25、编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1精品办公文档举的情形,难以做出
26、决定,可以首先确认以下问题:(一)所采取的行为是否合法?(二)是否诚信公正?(三)是否代表公司的最大利益?(四)是否有可能损害基金持有人的利益?第十四条员工必须充分披露任何可能引起利益冲突的情况。如果员工不能确定或其他人有理由怀疑存在利益冲突的情况,员工必须立即向(公司 XX部门)报告。第十五条员工应当向其上级或者(公司XX部门)报告主要家庭成员中存在本制度规定的利益冲突的情形。本办法中“家庭成员”包括配偶、兄弟姐妹、双方父母和子女。第十六条利益冲突的豁免情形由公司制度另行规定,或经董事会批准认为不存在实际利益冲突情形的,可予以豁免。第三章附则第十七条本制度由(公司XX 部门)负责制定、修订与
27、解释,本制度未尽事宜,按相关法律法规执行。第十八条本制度经 XX审批通过,发布之日起施行。文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W
28、8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5
29、N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8
30、W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR
31、6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2
32、E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1文档编码:CR6W8I1Z4W6 HM2E5N7F7H1 ZO10U8W3H4R1