Published On: Sat, Sep 4th, 2010

SZSE Releases ETF Risk Management Guidelines

The foundation of ETF products development is to build up perfect risk management system and practically carry out all kinds of risk prevention and disposal measures. The SZSE has attached much importance to innovation and development of funds business during the course of pushing forward multi-layered capital market construction. And the SZSE also commits to pushing market system building and products innovation while unceasingly perfect LOF business platform, enriching various innovation funds products. At the same time, the SZSE has always put risk prevention in the first place while paying much attention to market development. In order to uphold the safe operation of ETF market and promote the steady and healthy development of the market, the SZSE has enacted the “Guidelines of the Shenzhen Stock Exchange for Risk Management of Exchange Traded Funds” by deepened analysis on risk factors and fully communicating with ETF management institutions at home and abroad.

The “Guidelines” put forward the specific requirements in terms of arrangement of personnel operating ETF businesses in fund management companies, technology, system preparation, information production, disclosure procedure and real-time risk monitoring, and so on. The SZSE also will perfect risk control measures jointly with fund management companies, take the further step to strengthen ETF risk management work, better place the foundation for the long-term development of ETF products according to the requirement of the “Guidelines”.

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