资产管理行业的混业经营趋势已不可避免，以资管新规为首的新监管框架已经形成。在监管层面统一和明确尽职管理的定义和范围也变得迫在眉睫。然而，对于管理人如何进行尽职管理，目前国内还没有统一的规范性文件。本文在总结尽职管理监管现状的基础上，分析了资管行业尽职管理中的管理人义务、信托关系、受托人义务、谨慎义务，并提出落实尽职管理监管应明确资管产品法理基础、确立统一尽职管理标准、制定针对性的尽职指引、研究丰富判罚案例。
The trend of mixed operation in asset management is inevitable，and the regulatory framework has been built by the Guidelines on Regulating Asset Management Businesses of Financial Institutions. To unify and clarify the definition of conscientious management of asset manager has become imminent. However，there is not any unified conscientious management supervision documents for the asset management in China. On the basis of summarizing the present situation of supervision，this paper analyses the manager’s obligations，the trust relationship，the trustee’s obligations and the cautious obligations in conscientious asset management，and puts forward suggestions on implementing the supervision of conscientious management，including clarifying the legal basis of the asset management，establishing unified conscientious management standards，formulating targeted guidelines for conscientious management and researching the enriched penalty cases.
