2023年8月11日, 中国证券监督管理委员会(“中国证监会”)更新了关于设立公募基金管理公司审批的行政许可事项服务指南。本次更新主要明确了境外金融机构申请设立公募基金管理公司的办理时限。根据更新后的指南, 符合条件的境外金融机构申请设立公募基金管理公司, 中国证监会应在收到完整且符合法定形式的申请后, 于120天内作出决定。 具体而言, 中国证监会有关该办理时限的依据是国务院2023年6月29日发布的《关于在有条件的自由贸易试验区和自由贸易港试点对接国际高标准推进制度型开放的若干措施》(国发〔2023〕9号)第14条:“试点地区金融管理部门应按照内外一致原则, 在收到境外金融机构、境外金融机构的投资者、跨境金融服务提供者提交的与开展金融服务相关的完整且符合法定形式的申请后, 于120天内作出决定, 并及时通知申请人。如不能在上述期限内作出决定, 金融管理部门应立即通知申请人并争取在合理期限内作出决定。” 同时, 根据中国证监会网站的相关披露, 中国证监会于2023年7月27日决定受理安联投资有限公司(Allianz Global Investors GmbH)设立外商独资公募基金管理公司安联基金管理有限公司的申请, 并于2023年8月23日作出《关于核准设立安联基金管理有限公司的批复》。 The Processing Time Limit for Approving the Establishment of Foreign-invested Public Fund Management Companies is Shortened On August 11, 2023, the China Securities Regulatory Commission (“CSRC”) updated the Administrative Licensing Service Guide for Approving the Establishment of Public Fund Management Companies. This update mainly clarifies the CSRC’s processing time limit for overseas financial institutions to apply for the establishment of public fund management companies. According to the updated Guide, in case a qualified overseas financial institution applies to establish a public fund management company, the CSRC should make a decision within 120 days after receiving a complete application that complies with legal forms. Specifically, the legal basis for the CSRC’s processing time limit is Article 14 of the Measures for Connecting Eligible Pilot Free Trade Zones and Free Trade Ports with International High-standard System-based Opening-up released by the State Council on June 29, 2023. Article 14 reads that: “The financial regulators of pilot areas should, in accordance with the principle of consistency between domestic and foreign affairs, make a decision within 120 days after receiving a complete application related to financial services submitted by overseas financial institutions, investors of overseas financial institutions, and providers of cross-border financial services that complies with legal forms, and promptly notify the applicant. If a decision cannot be made within the above-mentioned period, the financial regulators should immediately notify the applicant and strive to make a decision within a reasonable period.” Additionally, according to relevant disclosures on the CSRC’s website, on July 27, 2023, the CSRC accepted the application from Allianz Global Investors GmbH’s application to establish Allianz Fund Management Co., Ltd., a wholly foreign-owned public fund management company, and approved this application on August 23, 2023.

外资设立公募基金管理公司审批时限缩短