Research On The Compliance Of M Fund Company Business Activities

With the rapid development of Chinese economy, the compliance of the fund company business activities attracted more and more attention. How to regulate the fund company business activities, to evaluate the compliance of it, are the current fund managers and even the supervisory organ problems. Therefore, based on the compliance of fund company management activity, the author designs a compliance evaluation system for it. The compliance of M company fund management activity is the most significant object ofthis study.Firstly, according to the literature review in this area and some other relative paper, the author put forward the content and methods of this study. Secondly, summarizes the status on compliance of M company fund management activities. By reading relevantliterature combined with the actual business activities of M company, I summarize the situation of this industry related laws and regulations and its description. Thirdly, calculate the scores on the model for the M fund company business activities compliance. Because the financial industry related business activities has its own particularity, it need to be presented both theoretical basis and factual practice, so the investigation in this paper use a questionnaire analysis to form M company management activities compliance evaluation, use AHP theory to identify each index weighted value and construct the fund company business activities compliance evaluation system. Finally, evaluate the fund company business activities compliance by using the evaluation system above, then find out the compliance issues, causes and propose the corresponding suggestions for improvement.The results of this study indicate, M fund operating activities are compliant category. However, analysis of the secondary evaluation still found a lower aggregate levelsof compliance in product design, sales management, and investment management. Through the evaluation results to find the causes of the problem, and then based on thespecific reasons for the specification M fund operating activities proposed Compliance:Building a compliance processes in product design, conduct sales promotion of compliance, the proposal to establish investment compliance risk control mechanisms. I hopethe results of this study on the specification M fund companies conduct business activities, nurturing M fund compliance awareness within the company plays an importantrole. At the same time, but also for the evaluation of regulatory agencies and intermediaries operating activities M fund compliance provide a basis.