中国证券投资基金国际论坛
The 10th China Securities Investment Fund Forum International
December 2, 2011
Shenzhen Stock Exchange, Shenzhen Municipal Government,
Capital Market Research Institute
China International Fund Management Co., Ltd.
State Street Corporation
December 2, 2011
Shangri-la Hotel, Futian District, Shenzhen
The Breakthrough―Transformation from Fund Management Company into Asset Management Company
1) Expansion of fund companies’ business and investment scope
2) Development of indices and index investing
3) Reconstruction of sales channel for fund Industry
4) Reading the economic situation at home and aboard
5) Construction of wealth management center in Shenzhen
Registration, Banquet Hall, Shangri-la Hotel, Futian District, Shenzhen
9:00-10:10
Opening Ceremony
Chair: Mr. Chen Yaoxian, Vice Chairman of Capital Market Research Institute
Welcome speech by host
Mr. Liu Hongru, Chairman of Capital Market Research Institute, First Chairman of CSRC
Welcome speech by host
Mr. Xu Qin, Mayor, Shenzhen Municipality
Keynote Speech by: Mr. Guo Shuqing, Chairman, China Securities Regulatory Commission
Keynote speech by Zhang Yujun, CEO, Shanghai Stock Exchange
Keynote speech by Song Liping, CEO, Shenzhen Stock Exchange
9:55-10:10
Denomination Ceremony for Permanent Fund Forum
(Playing DVD of the review of 10 years of fund forum. Chairman Guo Shuqing, Secretary Wang Rong, Vice Chairman Yao Gang, Chairman Liu Hongru, Chairman Chen Dongzheng will unveil plaque for the permanent fund forum.)
10:10-10:30
10:30-12:30
Session 1: Expansion of fund companies’ business and investment scope
Session Chair: Mr. Wang Lin, Director of Fund Supervision Department, CSRC
10:30-10:50
Keynote speech by Mr Clive Brown, global COO, J.P. Morgan Asset Management
10:50-11:10
Keynote speech by Mr Lester Gray, CEO, Asia Pacific, Schroders Asset Management, Chairman of the Investment Management Association of Singapore
11:10-11:30
Keynote speech by Mr. Pedro Bastos, Deputy President, Brazilian Financial and Capital Markets Association
11:30-12:30
Panel Discussion
1.&&&& Are there any restrictions imposed by overseas regulators on the business scope of asset management companies?
2.&&&& What are the business scopes of overseas asset management companies? What is the driving force behind the diversifying of investment scope and varieties in overseas asset management companies?
3.&&&& What are the possible breakthroughs for alternative investment by fund management companies in China?
4.&&&& How can fund companies transform to modern asset management companies? What can we learn from overseas companies’ experience and lessons?
Panelists：
Ms Denise Voss, Vice Chairman, Association of Luxembourg Fund Industry
Mr. Gao Liangyu, CEO, China Southern Fund Management Co., Ltd.
Mr. Zhang Shuolin, CEO, China International Fund Management Co., Ltd
Mr. Woong Park, CEO, Mirae Asset Global Investments
and the guests who deliver keynote speeches
12:30-14:00
Keynote Luncheon: Reading the global economic situation
Chair: Mr. Chen Hongqiao, Vice President, Shenzhen Stock Exchange
Guest Speaker:
Mr. Young Chin, CIO, : Institutional investors’ view on the global economic situation
Banquet HallⅠ
14:30-17:40
Session II：Development of indices and index investing
Session Chair: Zhou Jiannan, Assistant President, Shenzhen Stock Exchange
14:30-15:50
Part 1: Index Investing enhances competitiveness of fund companies
14:30-14:45
Keynote speech by Mr. Fan Yonghong, CEO of China Asset Management Co., Ltd.
14:45-15:05
Keynote speech by Ms Ting Li, Senior Managing Director,
15:05-15:10
Opinions via video: Director of Fund Supervision Department, CSRC; Mr. Ye Junying, Chairman, E Fund Management Co., Ltd.; Mr. Dou Yuming, CEO of Fullgoal Fund Management Co., L Mr. Jiang Xianzhou, Chairman of CCB Principal Asset Management Co., Ltd
15:10-15:50
Panel Discussion
1.&&&& What is the development trend for ETF? What are the features for both physical ETF and synthetic ETF?
2.&&&& What kind of operating platform does developing ETF require? How do different institutions reinforce their cooperation to lower costs and prevent risks?
3.&&&& How can fund companies grasp the opportunity of index fund development to enhance their competitiveness?
4.&&&& How can we establish a virtuous competitive landscape while index funds are experiencing fast growth?
Panelists：
Mr. Wang Junhui, Executive Vice President, China Life Asset Management Co., Ltd.
CEO of Rongtong Fund Management Co., Ltd.
Mr. Pei Changjiang, CEO of Fortune SG Fund Management Co., Ltd
Mr. Jason Hsu, CIO of Research Affiliates, LLC
Mr. Frank Koudelka, Senior Vice President and ETF Product Specialist, State Street Global Advisors
and the guests who deliver keynote speeches
15:50-16:10
16:10-17:40
Part 2：Developing influential investment indices
16:10-16:25
Keynote speech by Dr Hartmut Graf, CEO of Stoxx Ltd.
16:25-16:40
Keynote speech by Mr. Robin Lo, Senior Director, Head of Client Coverage Asia Pacific, S&P
16:40-16:55
Keynote speech by Mr. Fu Dewei, Executive Deputy General Manager of Shenzhen Securities Information Co., Ltd.
16:55-17:00
Opinions via video: Mr. Guan Yongsheng, GM of Hand Seng Index C Mr. Zhao Xuejun, CEO of Harvest Fund Management Co., L Mr. Li Xionghou, CEO of Franklin Templeton Sealand Fund Management Co., Ltd.; Mr. Guo Tehua, CEO of ICBC Credit Suisse Asset Management Co., Ltd.
17:00-17:40
Panel Discussion
1.&&&& What are the features of successful indices?
2.&&&& How could index companies work with stock exchanges and fund companies to develop an influential index system, so as to offer more investment tools for the market?
3.&&&& How to increase the competence, expand the business and complete the product chain of core indices? How can we strengthen investor education and develop a diversified, active index product market?
4.&&&& How can we boost indices’ brand influence and service capability?
Panelists：
CEO of China Securities Index Co., Ltd.
Mr. Lin Chuanhui, CEO, GF Fund Management Co., Ltd.
Mr. Lin Lijun, CEO of China Universal Asset Management Co., Ltd
and the guests who deliver keynote speeches
Banquet Hall II
14:30-17:10
Session III: Reconstruction of sales channel for fund industry
Session Chair: TBD
14:30-15:50
Part 1: Discussion on business models of third-party fund sales agencies
14:30-14:50
Keynote speech by Mr Mark Talbot, Managing Director, Asia (except Japan), Fidelity Worldwide Investment
14:50-15:10
Keynote speech by Yang Wenbin, CEO of Howbuy
15:10-15:50
Panel Discussion
1.&&&& Discussion on status quo of overseas third-party fund sales agencies, along with their backgrounds and conditions. How do these agencies choose their customers and funds? How do they charge and what value-added service do they provide? How do they cultivate a sustainable business model?
2.&&&& What is the prospect for developing independent fund sales agencies in China, as well as the difficulties?
3.&&&& How can we learn from overseas experience, improve our system design and construct our business model?
Panelists：
Ms Jane Fung, Director - Asia Pacific, Skandia Investment Group
Mr. Zhou Ye, CEO of ChinaPNR Co., Ltd.
Mr. Yu Hua, CEO of Mogan Stanley Huaxin Fund Management Co., Ltd.
Mr. Zhan Long, CEO of Bank of Communications Schroders Fund Management Co., Ltd
and the guests who deliver keynote speeches
15:50-16:10
16:10-17:10
Part 2: Building wealth management service platform through multiple channels
Panel Discussion
1.&&&& What are the differences among fund sales agencies in terms of customers, marketing strategy and platform? How to form diversified competitions?
2.&&&& What are the investment behaviors and wealth management appetites for fund investors?
3.&&&& How could sales agencies provide wealth management value-added service, and transform themselves to wealth management centre?
Panelists：
Mr. Liu Jianjun, Executive Vice President, Retail Finance Division of China Merchants’ Bank
Mr Ouyang Xi, Executive Vice President of Guangfa Security Company
Ms Jiang Zhenfang, General Manager, Cross-selling Marketing(Personal Business)，Pingan Life Insurance Company
Mr. Xue Feng, CEO
Ms Liu Xiaoyan, CEO of E Fund Management Co., Ltd.
Mr. Wang Lixin, CEO of Yinhua Fund Management Co., Ltd.
18:30-21:00
Dinner Buffet
19:00-20:20
Qian Hai Night Talk: Construction of wealth management center in Shenzhen
Host: Xiao Yafei, Director of Shenzhen Finance Office
Mr. Chen Yingchun, Vice Mayor of Shenzhen Municipality in charge of finance
Mr. Zheng Hongjie, Director of Shenzhen Qian Hai Administration Bureau
Discussion guests:
Mr. Xu Xiaosong, CEO of China Merchants Fund Management Co., Ltd.
Mr. Deng Zhaoming, CEO of Penghua Fund Management Co., Ltd.
Mr. Philip Lin, Vice President and Director, Head of North Asia, T. Rowe Price International Ltd
Ms Li Ting, Senior Managing Director, State Street Global Advisors
Mr. Mark Talbot, Managing Director, Asia (except Japan), Fidelity Worldwide Investment证监会：两类中介机构存多种执业问题 个别案件已移交稽查部门
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证监会：两类中介机构存多种执业问题&个别案件已移交稽查部门
文章作者：包雨朦&&文章来源：中国经济网&&发布时间： 9:42:15
　　3月24日，证监会新闻发言人邓舸通报称，经过前期对审计机构、评估机构进行全面检查发现，部分审计机构存在业务承接与保持、业务执行、监控等质量控制环节仍不完善，独立性管理制度尚不健全等问题；而部分评估机构的个别执业项目存在允许其他机构或个人以本机构名义执业等严重问题。根据检查情况，证监会对多家机构和相关当事人给予行政处罚和监管措施。对个别执业质量存在较严重问题、涉嫌违反证券法规的执业项目，已移交证监会稽查部门处理。
　　据邓舸介绍，为落实依法全面从严监管要求，切实加强对从事证券期货相关业务审计、评估机构的监督检查，督促审计、评估机构提高执业质量，持续打击审计、评估机构违法违规行为，证监会于2016年统一组织对2家审计机构、3家评估机构进行了全面检查，累计抽查39个审计项目、33个评估项目；对2家审计机构、1家评估机构进行了回访检查，累计抽查16个审计项目、4个评估项目。检查发现，审计、评估机构在内部管理、质量控制和项目执业质量方面总体上有所改善，但仍然存在一些问题。
　　其中，部分审计机构总分所一体化管理不到位，业务承接与保持、业务执行、监控等质量控制环节仍不完善，独立性管理制度尚不健全。在具体项目执业质量方面，函证、监盘、截止性测试等基础审计程序执行仍不到位，与收入、存货、递延所得税、政府补助等相关的实质性审计程序依然存在较多问题，特别是在合并报表审计中存在较为突出的问题。
　　另外，部分评估机构在执业中仍然存在下述问题：关键评估参数确定缺乏依据，收益预测与历史、现实情况明显不符且无合理解释，评估方法和评估假设适用不当，评估报告和评估说明对重要信息披露不充分，调查、分析、核验等评估程序执行不到位。个别执业项目存在明显的预测错漏、倒签报告日期、允许其他机构或个人以本机构名义执业等严重问题。
　　根据检查情况，证监会对中审众环会计师事务所（特殊普通合伙）采取了责令改正的行政监管措施；对信永中和会计师事务所（特殊普通合伙）、北京中企华资产评估有限责任公司、北京华信众合资产评估有限公司、广东中广信资产评估有限公司采取了出具警示函的行政监管措施；对上述审计、评估机构的16人次签字注册会计师、14人次签字资产评估师，以及致同会计师事务所（特殊普通合伙）的2人次签字注册会计师采取了相应的行政监管措施，并记入诚信档案。此外，对个别执业质量存在较严重问题、涉嫌违反证券法规的执业项目，已移交证监会稽查部门处理。
　　邓舸表示，在市场化、法治化、国际化的改革背景下，证监会始终高度重视对审计、评估机构的监管，通过规范监管行为、创新监管方式、提高监管效能，不断强化审计、评估机构的主体责任，逐步完善事中事后监管机制，深化依法全面从严监管，维护市场秩序，提高资本市场会计信息质量，保护投资者合法权益。
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　　怎样证券开户 北京时间10月3日凌晨消息，美联储周四公布的一份调查报告显示，对冲基金从2014年开始已经逐渐减少了在利率波动性上升上的投注。联储的调查称，在回应了问卷的经纪人中，有四分之一称他们的对冲基金客户从1月开始就减少了可能从短期利率波动性上升中获利的头寸。有五分之一的经纪人说，对冲基金客户减少了可能从长期利率的波动性上升中获利的头寸。报告也显示，对冲基金在利率波动性下降以及股市波动性下降中获利的投注在这一期间总体上维持没有变化。共同基金，养老金基金以及保险行业依赖利率以及股价的波动来收益的头寸也维持没有变化。联储的本次调查覆盖在柜外衍生品交易中最活跃的22家金融机构的高级信贷官员，调查在8月20日到9月2日期间进行。 （孔军）
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北京时间9月30日晚间消息，俄罗斯央行周二发表官方声明，否认有采取资本控制措施的计划。此前据媒体报道，有两名熟知内情的官员称，如果俄罗斯的资本外流状况加剧，则俄罗斯央行将考虑采取暂时性的资本控制措施。 这两位要求匿名的消息人士透露，这种措施将是预防性的，只要在净资本流出大幅增长的情况下才会使用。但这两名官员并未透露具体的时间线，或资本外流达到什么水平才可能迫使俄罗斯央行采取资本控制措施，仅表示他们正在考虑所有可能的情境。彭博社在资本控制词条中指出，1995年到2010年期间，有37个国家对资金从这些经济体系中的流出采取了限制措施。某些情况下，这样的做法产生了效果，某些情况下这样的控制并没有作用。 （孔军）
北京时间10月2日凌晨消息，斯洛伐克总理罗伯特-菲乔（Robert Fico）周三表示，俄罗斯对斯洛伐克的天然气供应量已经被减少了50%，这是俄罗斯最近几周来削减天然气供应幅度最大的一次。菲乔表示，如果俄罗斯对斯洛伐克的天然气供应持续减少，他将召开内阁紧急会议，但是他表示用户可以放心，他们将会继续从国家天然气公司SPP获得无限制的天然气供应。 他在一个通过电视直播的新闻发布会上表示：“尽管形势严峻，但是SPP可以保证所有用户 从家庭到大公司 获得连续的天然气供应。” 俄罗斯天然气公司Gazprom在过去几周削减了对波兰、罗马尼亚和奥地利等一些中欧国家的天然气供应，并且没有给出明确的理由。 Gazprom并未立即对此发表评论。 菲乔说到：“俄方解释说是因为技术性问题，是为了为冬季进行必要的存储。我此前曾做过一个解释，今天我将再次使用：天然气已经已成为一个政治斗争的工具。”自从今年6月份俄罗斯因为乌克兰未付账单以及乌克兰东部冲突问题停止向乌克兰供应天然气后，斯洛伐克和波兰都已经开始向乌克兰供应天然气。 当被问及斯洛伐克是否会继续向乌克兰供应天然气时，菲乔表示斯洛伐克将会继续履行承诺。他还表示，如果需要的话，斯洛伐克还可以通过西部的反流管道向乌克兰提供天然气。SPP表示，在俄罗斯周三削减对斯洛伐克的50%天然气供应后，该公司在现货市场大批量采购了天然气。（忆松）
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北京时间10月3日凌晨消息，俄罗斯总统普京周四表示，俄罗斯政府将会向受西方制裁影响的企业提供帮助，并且将会提高俄罗斯国内银行的资本。普京表示：“俄罗斯政府正在准备向那些受莫须有的海外制裁影响的行业和企业提供支持。这些支持将包括帮助他们提高资本，首要的是金融机构。”普京还表示，今年将有至少300亿卢布（约合7.58亿美元）资金转入俄罗斯国家发展外经贸银行(VEB)的特许资本账户。（忆松）
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