Notice on registration management of private equity funds

Notice to all securities companies and their subsidiaries regarding the coordination of registration management and risk monitoring of private equity products、Various fund management companies and their subsidiaries：In order to strengthen the unified filing management and risk monitoring of private equity products，The China Securities Regulatory Commission recently issued the "Notice on Doing a Good Job in Filing Management and Risk Monitoring of Private Equity Products" (issued by the China Securities Regulatory Commission).[2014]41Number)，(hereinafter referred to as "Notice")。

In order to implement the "Notice"

Require

，The relevant notice on the connection between private placement product registration management and risk monitoring is now as follows:：From July 1, 2014，The Securities Association of China (hereinafter referred to as the Securities Association) and the China Securities Capital Market Development Monitoring Center were originally responsible for the asset management business of securities companies and their subsidiaries.、direct investment business、Filing management of private equity products such as specific client asset management business of fund management companies and their subsidiaries、Risk (statistical) monitoring and other responsibilities are assigned to the Asset Management Association of China (hereinafter referred to as the Asset Management Association).。

Securities companies and their subsidiaries will still submit reports in accordance with the original

Require

，Through the securities company’s private equity product filing management system (the new submission path is：Fund management companies and their subsidiaries will still submit reports in accordance with the original

Require

，Submit specific customer asset management business filing materials and risk monitoring information through the FIRST system。

three、Securities companies and their subsidiaries、Fund management companies and their subsidiaries should improve the internal review and submission mechanism for private equity product filings，Do a good job in filing private equity products。Problems encountered during the reporting process，Please contact and report to the Fund Industry Association and Securities Industry Association in a timely manner。2014June 26, 2018 For details, please contact Shenzhen Hong Kong Xintong-。

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