為(wei)健(jian)全資本(ben)市(shi)場財富(fu)管(guan)(guan)(guan)理(li)功能，深化(hua)(hua)投(tou)資端改(gai)革，培育資本(ben)市(shi)場買方中(zhong)介隊(dui)伍(wu)，證(zheng)(zheng)監會起草《公(gong)(gong)(gong)開(kai)募集證(zheng)(zheng)券投(tou)資基(ji)(ji)金投(tou)資顧(gu)(gu)(gu)問(wen)(wen)業(ye)務(wu)管(guan)(guan)(guan)理(li)規(gui)(gui)定》（以下簡(jian)稱《規(gui)(gui)定》），現(xian)向社會公(gong)(gong)(gong)開(kai)征求意見。《規(gui)(gui)定》主要內(nei)容(rong)包括：一是(shi)沿(yan)用(yong)試點(dian)期間(jian)對“投(tou)資”活動的(de)(de)(de)規(gui)(gui)范(fan)原則，加強(qiang)對投(tou)資環節的(de)(de)(de)監管(guan)(guan)(guan)，進一步明確(que)對管(guan)(guan)(guan)理(li)型業(ye)務(wu)的(de)(de)(de)管(guan)(guan)(guan)控，優化(hua)(hua)投(tou)資分散度等監管(guan)(guan)(guan)要求。二是(shi)強(qiang)化(hua)(hua)對“顧(gu)(gu)(gu)問(wen)(wen)”服務(wu)的(de)(de)(de)監管(guan)(guan)(guan)，督促(cu)引導(dao)行(xing)(xing)業(ye)堅守“顧(gu)(gu)(gu)問(wen)(wen)”服務(wu)本(ben)源，持(chi)續豐(feng)富(fu)服務(wu)內(nei)涵，加強(qiang)投(tou)資者適當性和服務(wu)匹配(pei)管(guan)(guan)(guan)理(li)，規(gui)(gui)范(fan)宣傳推介行(xing)(xing)為(wei)，強(qiang)化(hua)(hua)信義(yi)義(yi)務(wu)落實和利益沖(chong)突防范(fan)。三是(shi)針對新(xin)問(wen)(wen)題(ti)、新(xin)情況補(bu)齊監管(guan)(guan)(guan)短板(ban)，促(cu)進業(ye)務(wu)合規(gui)(gui)有序開(kai)展。例如，加強(qiang)對投(tou)資顧(gu)(gu)(gu)問(wen)(wen)機(ji)構之(zhi)間(jian)及投(tou)資顧(gu)(gu)(gu)問(wen)(wen)與基(ji)(ji)金銷售機(ji)構等其他機(ji)構合作展業(ye)的(de)(de)(de)規(gui)(gui)范(fan)管(guan)(guan)(guan)理(li)，明確(que)對投(tou)資顧(gu)(gu)(gu)問(wen)(wen)機(ji)構配(pei)置公(gong)(gong)(gong)募基(ji)(ji)金之(zhi)外的(de)(de)(de)其他產品的(de)(de)(de)規(gui)(gui)范(fan)性要求，豁免基(ji)(ji)金經理(li)以外的(de)(de)(de)基(ji)(ji)金從業(ye)人員投(tou)資本(ben)公(gong)(gong)(gong)司(si)基(ji)(ji)金時鎖(suo)定期的(de)(de)(de)要求等。（證(zheng)(zheng)券時報(bao)·e公(gong)(gong)(gong)司(si)）