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  • 人力资源社会保障部关于企业年金基金管理机构资格有关事项的通告
    发布日期:2018-05-10                               打印本页
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    青海体彩11选5开奖结果 www.obd6.com 人社部函[2018]48 

        

      根据《中华人民共和国行政许可法》、《国务院对确需保留的行政审批项目设定行政许可的决定》(国务院令第412号)及《企业年金基金管理机构资格认定暂行办法》(人力资源社会保障部令第24号,以下简称24号令),按照国务院关于完善行政审批项目受理工作的有关要求,结合企业年金基金市场实际情况,决定对部分已获得企业年金基金管理资格的金融机构开展资格调整申请的受理工作,现就有关事项通告如下。 

      一、关于申请的受理范围 

      一是经原保监会批准新成立的养老保险公司:集团范围内已获得部分企业年金基金管理资格、近几年经营稳健且业绩良好的,可申请集团内部资格转移和新增部分资格。 

      二是具有企业年金基金账户管理资格的商业银行:近几年经营稳健且业绩良好的,可申请增加受托管理资格。 

      此次调整资格,受托不超过3个,账户管理不超过2个,投资管理不超过2个。 

      二、关于申请的条件 

      此次资格调整仍按24号令的相关规定进行,并实行专家评审。拟提出申请的机构(以下简称“申请人”)应符合24号令中相关资格所应具备的条件要求。同时,下列条件将作为重要参考条件: 

      (一)申请法人受托机构资格的申请人 

      1.最近3年的净资产水平。 

      2.最近3年的平均净利润水平(申请人因新成立尚无相关业务数据的,采用所在集团公司数据,下同)。 

      3.最近3年的平均主营业务收入水平。 

      4.经营金融业务或者管理金融机构的业绩、财务状况和社会信誉,现有其他企业年金基金管理业务开展情况、业绩等综合表现。 

      5.设立专门的受托管理部门、风险控制部门的情况。 

      6.企业年金基金受托管理平台建设情况,是否满足年金运营、资产管理、投资监督、信息披露等业务需求,与账户管理人、托管人、投资管理人等管理人系统对接的能力,数据安全和运营保障能力,以及灾难备份体系和应急保障机制建立情况。 

      7.董事、监事、高级管理人员所具备的任职条件,部门负责人管理年金的经验及兼职情况,专职运营管理和专职受托资产管理人员数量,核心成员的大类资产配置管理经验。 

      8.最近3年受到相关监管部门处?;蛄傅鞑榈那榭?。 

      (二)申请账户管理人资格的申请人 

      1.最近3年的净资产水平。 

      2.最近3年的平均净利润水平。 

      3.最近3年的平均主营业务收入水平。 

      4.现有其他企业年金基金管理业务开展情况、业绩等综合表现。 

      5.设立专门的账户管理部门、专门的风险控制岗位并配备专职风险控制人员的情况。 

      6.部门负责人管理年金的经验及兼职情况,专职人员数量,核心成员的企业年金账户管理经验。 

      7.企业年金基金账户管理业务信息系统与受托人、托管人等管理人系统对接的能力,数据安全和运营保障能力,灾难备份体系和应急保障机制建立情况。 

      8.最近3年受到相关监管部门处?;蛄傅鞑榈那榭?。 

      (三)申请投资管理人资格的申请人 

      1.净资产水平。 

      2.现有其他企业年金基金管理业务开展情况、业绩等综合表现。 

      3.设立独立的交易部门、专门的交易场所的情况以及交易制度建立情况。 

      4.设立专门养老类资金投资部门的情况,投研专职人员数量,投研负责人和拟任投资经理的平均投资管理年限及其养老型资管产品投资管理经验。 

      5.投资管理、风险管理、运营管理等信息系统建设情况,与受托人、托管人等管理人系统对接的能力,数据安全和运营保障能力,灾难备份体系和应急保障机制建立情况。 

      6.最近3年受到相关监管部门处?;蛄傅鞑榈那榭?。 

      三、关于申请材料的报送 

      申请人应当按照下列要求报送申请材料: 

      (一)按照24号令附件所规定的内容及格式,结合本通告中相关申请条件的内容要求,按时提交书面申请材料。申请材料的内容应真实、完整、准确,无虚假陈述。 

      (二)申请转移和增加企业年金基金管理资格的,需分别提交申请材料。 

      (三)提交申请材料时须指定经办人,并提供其所在单位授权委托书、本人身份证等证明文件的原件和复印件。 

      (四)申请材料一式12份,其中1份为原件,报送书面材料的同时须报送电子文档。申请材料应控制在40页以内(A4纸,不含附件),附申请材料目录及摘要,摘要控制在10页以内。 

      (五)受理申请材料的时间为2018523日—25日(9:00-11:30,14:00-16:30),地址为北京市东城区和平里中街7318室。 

      此次资格调整,主要是解决目前年金市场上存在的一些突出矛盾。下一步,为了贯彻国务院关于完善行政许可工作的一系列要求,将稳步推进企业年金基金管理资格常规受理工作。各有关单位和机构,如有意见建议,可及时与我部联系。

        联系人:刘新年、周佳

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  

        话:010-84209363,84207503,84208516(传真) 

        箱:[email protected] 

        

        

        

      人力资源社会保障部 

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