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嘉實基金申請設立香港子公司獲證監會反饋意見

楊皖玉 中國證券報·中證網

  中證網訊(記(ji)者 楊(yang)皖玉)3月24日,證監會對嘉實基(ji)金申請設立(li)香港子公(gong)(gong)司——嘉實國(guo)際(控(kong)股)有(you)限公(gong)(gong)司(下(xia)稱“嘉實國(guo)際(控(kong)股)”)給予反(fan)饋意見。

  意見(jian)指出,嘉(jia)(jia)(jia)實(shi)(shi)基(ji)金(jin)提交的(de)《嘉(jia)(jia)(jia)實(shi)(shi)基(ji)金(jin)與境外(wai)子(zi)公(gong)(gong)(gong)(gong)司(si)(si)(si)之間防范風險(xian)傳遞(di)、利(li)益沖(chong)(chong)突和(he)利(li)益輸(shu)送的(de)措施安排》表示(shi)境外(wai)子(zi)公(gong)(gong)(gong)(gong)司(si)(si)(si)獨(du)立運作。各(ge)境外(wai)子(zi)公(gong)(gong)(gong)(gong)司(si)(si)(si)有獨(du)立的(de)辦(ban)公(gong)(gong)(gong)(gong)場(chang)所、獨(du)立配置職能部門,獨(du)立招聘員工,不(bu)存(cun)在嘉(jia)(jia)(jia)實(shi)(shi)基(ji)金(jin)人員在境外(wai)子(zi)公(gong)(gong)(gong)(gong)司(si)(si)(si)兼(jian)任(ren)與現有職責相沖(chong)(chong)突職務(wu)的(de)情況。但嘉(jia)(jia)(jia)實(shi)(shi)基(ji)金(jin)在相關材料中表示(shi),嘉(jia)(jia)(jia)實(shi)(shi)國(guo)際(ji)(控股)不(bu)設獨(du)立的(de)辦(ban)公(gong)(gong)(gong)(gong)場(chang)所,與嘉(jia)(jia)(jia)實(shi)(shi)國(guo)際(ji)資(zi)產管理有限公(gong)(gong)(gong)(gong)司(si)(si)(si)(下稱“嘉(jia)(jia)(jia)實(shi)(shi)國(guo)際(ji)”)共(gong)用辦(ban)公(gong)(gong)(gong)(gong)場(chang)所,行政辦(ban)公(gong)(gong)(gong)(gong)人員擬(ni)由嘉(jia)(jia)(jia)實(shi)(shi)國(guo)際(ji)人員兼(jian)任(ren)。請嘉(jia)(jia)(jia)實(shi)(shi)基(ji)金(jin)就上述差(cha)異情況進行說明,如(ru)計(ji)劃共(gong)用辦(ban)公(gong)(gong)(gong)(gong)場(chang)所和(he)人員兼(jian)任(ren),請就是否符(fu)合境外(wai)相關規定進行論證。

  此外,意見指出,請嘉(jia)實(shi)基金補(bu)充說(shuo)明目前通過嘉(jia)實(shi)國(guo)際對(dui)美(mei)國(guo)孫公(gong)司HGI (USA) Investment LLC的有(you)關管(guan)(guan)控(kong)安排及效果。如(ru)后續架構調整,請補(bu)充說(shuo)明嘉(jia)實(shi)基金或(huo)嘉(jia)實(shi)國(guo)際(控(kong)股)對(dui)其(qi)的管(guan)(guan)控(kong)安排。

  最后,根(gen)據申請(qing)材(cai)料,嘉(jia)實國際(控股)將不設經(jing)營管(guan)理(li)層,僅設執(zhi)行董(dong)事(shi)(shi)一(yi)名,由嘉(jia)實基金(jin)委派公司高管(guan)擔任。證(zheng)監會要求,請(qing)嘉(jia)實基金(jin)補充嘉(jia)實國際(控股)執(zhi)行董(dong)事(shi)(shi)的有(you)關安排和人(ren)員簡歷。

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