证券投资基金业从业人员执业守则

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证券投资基金业从业人员执业守则

中国证券业协会基金公会


证券投资基金业从业人员执业守则

2001-10-10
中国证券业协会基金公会


为提高证券投资基金(以下简称“基金”)从业人员的职业道德和自律意识,维护基金投资人的合法权益,树立基金业的良好形象,促进基金业健康、稳定发展,特制定基金业从业人员执业操守及行为准则,供从业人员严格自律,自觉遵守。

基金业从业人员执业操守

遵纪守法诚实信用勤勉尽责自律自强

基金业从业人员行为准则

1.遵守国家有关法律法规、监管部门规定、基金契约,以及行业公认的职业道德和行为规范。

2.坚持“公平、公正、公开”原则,公平对待基金和基金投资人,依法保障基金投资人的合法权益。

3.以基金资产的保值增值为目标,以取信于基金投资人、取信于市场、取信于社会为宗旨,规范管理、忠于职守,自觉维护证券市场的正常秩序。

4.诚实对待基金投资人,确保向基金投资人提供的信息真实、准确、完整和及时。

5.勤勉、谨慎、尽责地履行职责。

6.严格遵守基金投资规程,有效控制投资风险,以专业经营方式管理和保管基金资产。

7.遵守工作纪律,只就具备资格和能力处理的事项提供意见。

8.保守基金、基金投资人及本人所在公司的商业秘密。

9.热爱本职工作,努力钻研业务,不断提高专业技能。

10.团结同事,协调合作,优质高效地完成本职工作。

11.珍惜基金业的职业荣誉,自觉维护本行业及所在公司的声誉。

12.禁止下列行为:

(1)违反证券交易制度和规则,扰乱市场秩序;

(2)故意损害基金投资人及其它同业机构、人员的合法权益;

(3)违反基金契约、托管协议等有关法律文件;

(4)信息披露不真实,有误导、欺诈成分;

(5)泄露在任职期间知悉的有关公司、基金的商业秘密;

(6)为自己或与本人有利害关系的他人买卖股票;

(7)玩忽职守,滥用职权;

(8)越权或违规经营;

(9)以不正当手段谋求业务发展;

(10)其它法律、法规和中国证监会禁止的行为。


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国务院批转国家进出口委、国家计委关于部分物资计划外出口实行许可证办法请示报告的通知(附英文)

国务院


国务院批转国家进出口委、国家计委关于部分物资计划外出口实行许可证办法请示报告的通知(附英文)

1981年12月28日,国务院

通知
国务院同意国家进出口委、国家计委《关于部分物资计划外出口实行许可证办法的请示报告》,现转发给你们,希按规定的品类,研究贯彻执行。

关于部分物资计划外出口实行许可证办法的请示报告
随着国民经济调整方针的进一步贯彻,外贸体制的改革和经营权的逐步下放,我国的对外贸易,将会有一个新的发展。为了适应形势的发展,各地区、各部门还相继成立了一些出口机构,直接经营出口业务。在执行过程中,由于通报情况的工作没有跟上,致使某些国内短线产品或若干耗能高、出口不划算的物资,一方面国家大量进口,另一方面某些地区或部门却在计划外组织出口。同样一种商品,出口的价格低,进口的价格高,使国家外汇蒙受损失,也影响国家建设的需要。这样继续下去,对国家十分不利。为此,我们同有关部门商量,对国内紧缺物资的出口,提出以下建议:
一、拟划出十一类紧缺物资,对计划外出口实行许可证办法(具体目录附后)。这里所说的短线物资,也是相对而言,在执行中情况可能发生变化,拟由国家进出口委和国家计委在编制年度国民经济计划时,根据供需情况,商有关主管部门及时进行修订。
二、凡是实行许可证办法的出口物资,除国家计划安排的出口和国外来料加工、外贸部门进料加工,以及经批准已经签订合同的补偿贸易、外贸部门同地方已签有协议扶持出口的商品等以外,各地区、各部门如需计划外组织出口,或组织有利于我们的品种串换(即有进有出),要征得主管分配部门的同意,并报国家进出口委、国家计委批准。
三、各地海关要加强对计划外出口物资的管理。为了便于海关掌握,各地区、各部门凡经营目录中规定的十一类出口物资,不论是计划内的或是计划外的出口,均应向外贸部门申请出口许可证,海关凭证验放,否则一律不予放行。
四、计划外出口的目录所列物资,只要质量符合国家标准,运输上也有可能,主管分配部门应按国家价格予以收购,或协助找用户在国内销售。
以上意见如可行,请批转各部门和各省、市、自治区,自一九八二年二月一日起实行。

计划外出口实行许可证办法的物资目录
一、原油、重油、成品油。
二、煤炭。
三、钢材:薄板(包括镀锌板、镀锡板)、带钢、中
厚钢板(包括造船板)、焊管(包括镀锌焊管)、方坯。
四、生铁、焦炭、铁合金、铬矿。
五、平板玻璃。
六、有色金属:铜、铝、铅、锌、锡、钴、铋、钼精
矿及制品、碲;国家统配的铜材、铝材、铅材。
七、木材:原木、锯材、胶合板。
八、大中型厂生产的水泥。
九、天然橡胶。
十、纯碱、烧碱、聚乙烯、聚丙烯、磷矿石、硫铁矿、
硫磺、苯酐、液态烃。
十一、大米、大豆、玉米、食糖、棉花、松香、桐
油、烤烟。

CIRCULAR OF THE STATE COUNCIL CONCERNING THE APPROVAL AND TRANS-MISSION OF A REPORT SUBMITTED BY THE STATE IMPORT AND EXPORT COMMISSIONAND THE STATE PLANNING COMMISSION REQUESTING INSTRUCTIONS ON THE IMPOSI-TION OF EXPORT LICENCE PR
OCEDURES FOR THE EXPORT OF SOME GOODS ANDMATERIALS BE

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
CIRCULAR OF THE STATE COUNCIL CONCERNING THE APPROVAL AND TRANS-
MISSION OF A REPORT SUBMITTED BY THE STATE IMPORT AND EXPORT COMMISSION
AND THE STATE PLANNING COMMISSION REQUESTING INSTRUCTIONS ON THE IMPOSI-
TION OF EXPORT LICENCE PROCEDURES FOR THE EXPORT OF SOME GOODS AND
MATERIALS BEYOND THE STATE PLAN
(December 28, 1981)
The State Council agrees with the "Report Requesting Instructions on the
Imposition of Export Licence Procedures for the Export of Some Goods and
Materials Beyond the State Plan" submitted by the State Import and Export
Commission and the State Planning Commission, and the Report is hereby
transmitted to you; it is required you consider carefully the ways to
implement this Report in accordance with the prescribed categories of
goods and materials.
A REPORT REQUESTING INSTRUCTIONS ON THE IMPOSITION OF EXPORT LICENCE
PROCEDURES FOR THE EXPORT OF SOME GOODS AND MATERIALS BEYOND THE STATE
PLAN
With the further implementation of the policy for the readjustment of the
national economy, and with the structural reform of foreign trade and the
gradual decentralization of power of management, the foreign trade of our
country will have a new development. With a view to meeting the needs of
the development, various localities and departments have established some
export institutions to engage directly in export business. In the course
of these developments, owing to poor communication among different
localities and departments, the State, on the one hand, imports in large
quantities some finished products in short supply at home and other goods
and materials that are of the high energy consumption and are not suitable
for export, while some localities or departments, on the other hand, are
organizing the export of the aforesaid goods and materials beyond the
state plan. For the same kind of commodity, the price is low when it is
exported, and the price is high when it is imported, and consequently, the
State suffers losses in terms of foreign exchange, and is also affected
unfavourably with respect to the needs for construction. If this situation
is allowed to continue, the country will suffer serious losses. We have,
therefore, consulted with the relevant departments, and hereby put forward
the following proposals with respect to the export of the goods and
materials that are in short supply in China:
1. We hereby propose to designate eleven categories of badly-needed goods
and materials, on the export of which, if beyond the state plan, the
export licence procedures shall be imposed (the specific catalogue is
attached below as appendix). The products in short supply as mentioned
above are relatively in short supply, for, in the course of the
implementation, circumstances might change. It is proposed here that the
State Import and Export Commission and the State Planning Commission,
while working out the annual plan for the national economy, and through
consultation with the competent authorities concerned, set about revising,
in good time, the aforesaid catalogue in the light of the supply-and-
demand situation.
2. With respect to export goods and materials subject to the export
licence procedures with the exception of those export commodities that are
included in the State plan, materials imported to execute processing
contracts, or imported by foreign trade departments for processing into
finished goods, or contained in the approved and signed contracts for
compensation trade, or commodities on which agreements have been signed
between foreign trade departments and local units for supporting the
production for export, if any locality or department is to make
arrangements, beyond the State plan, for the export of the said goods and
materials, or to organize exchange of categories and types that are
favorable to us, the case shall obtain the consent of the competent
allocating departments, and be submitted to the State Import and Export
Commission and the State Planning Commission for approval.
3. Customs offices at various localities should improve their control over
the goods and materials that are exported beyond the State plan. In order
to facilitate the administration of the Customs offices over the aforesaid
export goods and materials, all localities and departments that deal in
the eleven categories of export goods and materials stipulated in the said
catalogue, either within or beyond the State plan, shall all apply to the
foreign trade departments for export licences and the Customs offices
shall examine the export according to the licences; otherwise, no
clearance shall be given to these goods and materials.
4. All the goods and materials listed in the catalogue for export beyond
the State plan, so long as their quality meets the state standards and no
problem arises in transportation, shall be purchased at the prices set by
the state, by the competent allocating departments, or the competent
allocating departments shall assist in locating users for domestic sale.
If the above proposals are feasible, we request that they be approved and
transmitted to all departments and all provinces, autonomous regions, and
municipalities directly under the Central Government for implementation as
of February 1, 1982.
CATALOGUE OF GOODS AND MATERIALS SUBJECT TO THE EXPORT LICENCE PROCEDURES
FOR THE EXPORT BEYOND THE STATE PLAN
1. crude oil, heavy oil, refined oil.
2. coal.
3. steel products: sheet steel (including zinc-plating steel, tin-plating
steel), strip steel, medium and heavy steel plate (including steel plate
for ship-building), welded pipe (including zinc-plating welded pipe),
square billet.
4. pig iron, coke, iron alloy, chromium ore.
5. plate glass.
6. nonferrous metals: copper, aluminium, lead, zinc, tin, cobalt, bismuth,
concentrate molybdenum ore and its products, tellurium; copper products,
aluminium products, and lead products placed under the state's unified
allocation.
7. timber: log, sawn wood products, plywood.
8. cement produced by large, medium-sized and small cement mills.
9. natural rubber.
10. sodium carbonate, polyethylene, polypropylene, phosphorus ore,
mawsonite, sulphur, benzene anhydride, liquid hydrocarbon.
11. rice, soybean, corn, sugar, cotton, rosin, tung oil, flue-cured
tobacco.


晋城市人民政府办公厅关于印发晋城市城乡环境卫生管理暂行办法的通知

山西省晋城市人民政府办公厅


晋市政办〔2008〕53号



晋城市人民政府办公厅关于印发晋城市城乡环境卫生管理暂行办法的通知

各县(市、区)人民政府,市直及驻市各有关单位:

《晋城市城乡环境卫生管理暂行办法》已经市人民政府同意,现印发给你们,请认真组织实施。

二OO八年六月四日

晋城市城乡环境卫生管理暂行办法

为了加强对城乡环境卫生的有效管理,从根本上解决脏乱差问题,根据省政府城乡环境卫生清洁工程会议精神和先进地市经验,结合我市实际,出台此办法。

一、责任分解

全市卫生责任区本着“属地管理、权属责任、卫生区适当扩展”三原则,按照各县(市、区)、各乡(镇、办事处)及村(社区)行政区域和各部门职能进行责任划分,具体分解为:

(一)城市:市区(县城)主要街道路面、人行道、公共厕所等场所的清扫保洁和城市生活垃圾清运由环卫处负责,爱卫办监管;绿化带、公园、广场、城市河道的清扫保洁由园林局负责(县城无园林局的谁管理谁负责),爱卫办监管;社区(城中村)内的清扫保洁由社区居委会(村委会)负责,街道办事处监管;所有营业门店内部卫生由业主负责,卫生监督所监管;所有集贸市场卫生由市场管理业主负责,工商局监管;所有街道门店“门前三包”和乱停乱放、乱搭乱建及广告整治由门店业主负责,执法局(城建大队)监管;建筑垃圾清运由建筑方负责,街道路面维修按权属单位负责,出租车保洁由车主负责,由建设局监管;其它公用设施由权属管理单位负责清扫保洁,爱卫办监管。

(二)农村:村委会主任是村环境卫生的清扫保洁的第一责任人。主要街道、公共场所及村周围垃圾清扫保洁由村清洁队负责,乡(镇、办)负责爱卫工作的领导和专职工作人员监管;农户庭院卫生、院落至街道间的路面卫生由农户负责,村委会监管;村内沿街商铺、门店卫生由业主负责,并落实“门前三包”责任,乡(镇、办)负责爱卫工作的领导和专职工作人员监管。

(三)机关、企事业单位:城市各机关、企事业单位及其家属区内卫生由本单位负责,并实行“门前三包”责任,由所在地街道办事处负责爱卫工作的领导和专职工作人员监管;地处城镇和乡村的机关、企事业单位,内部区域环境卫生由各单位负责,并实行“门前三包”责任,如周边没有村庄和单位的,还需负责围墙以外30米范围内的环境清洁,如周边有单位的,负责两单位之间各一半的清洁范围,门前至主干道之间的卫生由该单位负责,并实行“门前三包”责任,由所在地乡(镇、办)负责爱卫工作的领导和专职工作人员监管。

(四)道路:道路清扫保洁由公路权属(责任)单位负责。清扫保洁范围原则上是市区有绿化带的地段,从道路路面至路旁绿化带,无绿化带的地段至护路树外侧;绿化带由绿化责任单位负责;绿化带外按属地管理原则,由行政区域管辖单位负责清扫保洁,由爱卫办监管。

(五)爱卫办:各级爱卫办根据自己的职责,应对所辖区域范围内的环境卫生全日、全方位进行监督检查和考评奖惩。

二、卫生标准

城市严格按照晋市政发〔2008〕30号文件中“晋城市清洁县城(市区)环境卫生质量标准”执行,按照“晋城市城乡环境卫生清洁工程清洁县城(市区)千分制考核评分表”督查落实;农村严格按照晋市政发〔2008〕30号文件中“晋城市清洁村环境卫生质量标准”执行,按照“晋城市城乡环境卫生清洁工程清洁村(社区)千分制考核评分表”督查落实。

(一)城市:做到路面硬化,全日保持清洁卫生,生活垃圾入池,日产日清,并做到无害化处理,建筑垃圾、医疗废弃物收集处理规范,公共厕所、垃圾箱、果皮箱等环卫设施数量充足,布局合理,街容街貌整洁,无四堆八乱现象,广告牌匾设置规范,墙壁保持清洁。

(二)乡村:做到主要街道路面硬化,全日保持清洁卫生,街道两侧无乱堆乱放现象;沿街店铺卫生整洁,广告牌匾规范;农户庭院干净整洁,厕所卫生清洁;垃圾点设置合理并做到日产日清,村外建有垃圾填埋场,做到规范处理。

(三)公路:做到路面无严重破损,并保持清洁,路边两侧30米内无乱搭乱建乱倒及漂浮垃圾现象。

三、队伍建设

为了搞好城乡环境卫生清洁工程,并保持经常,必须自上而下建立健全爱卫办机构和清洁队伍。

(一)爱卫办机构

各县(市、区)已独立设置爱卫办机构的,维持现状不变,未独立设置爱卫办机构的要独立设置,为全额预算副科级事业单位。同时,县(市)爱卫办机构要增挂城乡环境卫生管理中心的牌子,一套人马,两块牌子。乡(镇、办)要确定一名副乡级领导负责辖区内的爱国卫生和环境卫生清洁工作,并指定2-3名工作人员专门从事此项工作。村委会要明确一名负责环境卫生的干部,村委会主任为本村环境卫生的第一责任人。

(二)清洁队伍

城市环境卫生清洁队伍由各县(市、区)根据实际情况组建,原则上够用、管用,全日保洁;农村环境卫生清洁队伍,原则上每300口人需有一名保洁人员,社区可按面积适当配置,主要负责本村主要街道、公共区域和村外周边地域的环境卫生清扫保洁;各企事业单位根据各自情况确定保洁人数;道路权属单位组建专业清扫保洁队伍,原则上够用、管用,对所辖道路进行全日清扫保洁。

四、经费保障

(一)城市:城市环境卫生保洁员数量原则上由各县(市、区)政府核定,经费由各县(市、区)财政列支。

(二)农村:农村环境卫生清洁队伍实行经费补助制,原则上按各村上年度统计农业人口数每人每年10元的标准,由各县(市、区)财政列入预算,由县级爱卫办统一管理使用,具体办法由各县(市、区)政府制定。经济条件较好、特色城镇化程度较高、村镇保洁任务较大的村镇,可根据本村情况和工作量给予补贴。

(三)道路:清扫保洁费用由道路权属单位负责。

(四)机关和企事业单位:清扫保洁费用由各单位负责。
城乡环境卫生补助经费要做到专款专用,养事不养人,任何单位和个人不得挤占挪用。根据需要,还需配备车辆、装备和大型清扫保洁工具的,由各县(市、区)财政给予保障。

五、强化督查

各级爱卫办要依据《晋城市城乡环境卫生清洁工程考核办法》,加大对所辖范围环境卫生清洁工作的督查力度。采取定期与不定期、明查与暗访、上级查与交叉查相结合的方式,不间断地进行巡回督查,并在电视台、报刊上设立清洁工程曝光台,定期或不定期向人民群众曝光脏乱差问题单位,对曝光率高、整改不力、变化不大的责任人进行通报批评,并同时上报市委、市政府,从而有力推动城乡环境卫生清洁工程的实施,从根本上改变城乡环境卫生面貌。