2001年12月10日证监发[2001]150号各商业银行:为规范代理证券投资基金销售业务的商业银行的相关业务运作,保护基金持有人的合法权益,现发布《关于代理证券投资基金销售业务的商业银行完善内部合规控制制度和员工行为规范的指导意见》,请遵照执行。已取得开放式基金销售代理资格的商业银行,应当自本通知下发之日起3个月内完成相 December 10, 2001 Zheng Jian Fa [2001] No. 150 Commercial Banks: In order to regulate the relevant business operations of commercial banks that act as agents in the securities investment fund sales business and protect the lawful rights and interests of the holders of the funds, the Bank promulgated the “Proposal on the Agency for Securities Investment Funds Guiding Opinions on Perfecting the Internal Compliance Control System and Employees’ Code of Conduct for Commercial Banks in Sales Business ”, please follow the instructions. Commercial banks that have obtained the qualification of an open-ended fund sales agent shall complete the phase within 3 months as of the date of this circular