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人力資源社會保障部關于企業年金基金管理機構資格有關事項的通告
發布日期:2018-05-10                               打印本頁
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人社部函[2018]48 

    

  根據《中華人民共和國行政許可法》、《國務院對確需保留的行政審批項目設定行政許可的決定》(國務院令第412號)及《企業年金基金管理機構資格認定暫行辦法》(人力資源社會保障部令第24號,以下簡稱24號令),按照國務院關于完善行政審批項目受理工作的有關要求,結合企業年金基金市場實際情況,決定對部分已獲得企業年金基金管理資格的金融機構開展資格調整申請的受理工作,現就有關事項通告如下。 

  一、關于申請的受理范圍 

  一是經原保監會批準新成立的養老保險公司:集團范圍內已獲得部分企業年金基金管理資格、近幾年經營穩健且業績良好的,可申請集團內部資格轉移和新增部分資格。 

  二是具有企業年金基金賬戶管理資格的商業銀行:近幾年經營穩健且業績良好的,可申請增加受托管理資格。 

  此次調整資格,受托不超過3個,賬戶管理不超過2個,投資管理不超過2個。 

  二、關于申請的條件 

  此次資格調整仍按24號令的相關規定進行,并實行專家評審。擬提出申請的機構(以下簡稱“申請人”)應符合24號令中相關資格所應具備的條件要求。同時,下列條件將作為重要參考條件: 

  (一)申請法人受托機構資格的申請人 

  1.最近3年的凈資產水平。 

  2.最近3年的平均凈利潤水平(申請人因新成立尚無相關業務數據的,采用所在集團公司數據,下同)。 

  3.最近3年的平均主營業務收入水平。 

  4.經營金融業務或者管理金融機構的業績、財務狀況和社會信譽,現有其他企業年金基金管理業務開展情況、業績等綜合表現。 

  5.設立專門的受托管理部門、風險控制部門的情況。 

  6.企業年金基金受托管理平臺建設情況,是否滿足年金運營、資產管理、投資監督、信息披露等業務需求,與賬戶管理人、托管人、投資管理人等管理人系統對接的能力,數據安全和運營保障能力,以及災難備份體系和應急保障機制建立情況。 

  7.董事、監事、高級管理人員所具備的任職條件,部門負責人管理年金的經驗及兼職情況,專職運營管理和專職受托資產管理人員數量,核心成員的大類資產配置管理經驗。 

  8.最近3年受到相關監管部門處罰或立案調查的情況。 

  (二)申請賬戶管理人資格的申請人 

  1.最近3年的凈資產水平。 

  2.最近3年的平均凈利潤水平。 

  3.最近3年的平均主營業務收入水平。 

  4.現有其他企業年金基金管理業務開展情況、業績等綜合表現。 

  5.設立專門的賬戶管理部門、專門的風險控制崗位并配備專職風險控制人員的情況。 

  6.部門負責人管理年金的經驗及兼職情況,專職人員數量,核心成員的企業年金賬戶管理經驗。 

  7.企業年金基金賬戶管理業務信息系統與受托人、托管人等管理人系統對接的能力,數據安全和運營保障能力,災難備份體系和應急保障機制建立情況。 

  8.最近3年受到相關監管部門處罰或立案調查的情況。 

  (三)申請投資管理人資格的申請人 

  1.凈資產水平。 

  2.現有其他企業年金基金管理業務開展情況、業績等綜合表現。 

  3.設立獨立的交易部門、專門的交易場所的情況以及交易制度建立情況。 

  4.設立專門養老類資金投資部門的情況,投研專職人員數量,投研負責人和擬任投資經理的平均投資管理年限及其養老型資管產品投資管理經驗。 

  5.投資管理、風險管理、運營管理等信息系統建設情況,與受托人、托管人等管理人系統對接的能力,數據安全和運營保障能力,災難備份體系和應急保障機制建立情況。 

  6.最近3年受到相關監管部門處罰或立案調查的情況。 

  三、關于申請材料的報送 

  申請人應當按照下列要求報送申請材料: 

  (一)按照24號令附件所規定的內容及格式,結合本通告中相關申請條件的內容要求,按時提交書面申請材料。申請材料的內容應真實、完整、準確,無虛假陳述。 

  (二)申請轉移和增加企業年金基金管理資格的,需分別提交申請材料。 

  (三)提交申請材料時須指定經辦人,并提供其所在單位授權委托書、本人身份證等證明文件的原件和復印件。 

  (四)申請材料一式12份,其中1份為原件,報送書面材料的同時須報送電子文檔。申請材料應控制在40頁以內(A4紙,不含附件),附申請材料目錄及摘要,摘要控制在10頁以內。 

  (五)受理申請材料的時間為2018523日—25日(9:00-11:3014:00-16:30),地址為北京市東城區和平里中街7318室。 

  此次資格調整,主要是解決目前年金市場上存在的一些突出矛盾。下一步,為了貫徹國務院關于完善行政許可工作的一系列要求,將穩步推進企業年金基金管理資格常規受理工作。各有關單位和機構,如有意見建議,可及時與我部聯系。

    聯系人:劉新年、周佳

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              

    話:010-842093638420750384208516(傳真) 

    箱:[email protected] 

    

    

    

  人力資源社會保障部 

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