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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  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

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            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  人力资源社会保障部 

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