About private equity funds，你需要了解的（二）

今天港信通-继续给你分享关于私募基金的干货，大家都来学习吧！

1. 私募基金登记备案的性质？私募基金管理人应当依法进行登记，Within 20 working days after the completion of private equity fund raising，Should apply for filing in accordance with the law。All types of private equity fund managers and private equity funds must register with the Asset Management Association of China，otherwise，Not allowed to engage in private equity investment fund management business activities。
2. 私募基金管理人登记？

私募基金管理人应当向中国基金业协会履行基金管理人登记手续并申请成为基金业协会会员。Private equity fund managers should truthfully declare basic information about fund managers、Basic information for senior managers and other practitioners、Basic information of shareholders or partners、Basic information about managed funds。13、私募基金的备案包括哪些信息？

Private equity fund managers shall complete the filing within 20 working days after the private equity fund is raised.，Report the fund name truthfully、Capital size、Basic information of investors、Fund contract (fund company articles of association or partnership agreement，(collectively referred to as the Fund Contract)、Fund operation status (custody、Disclosure frequency、Main investment directions, etc.)、Brief information about investment projects。14、外资设立的基金管理机构是否纳入登记备案范围？

外资在中国境内设立的私募基金管理机构，Must complete the private equity fund manager registration procedures with the Asset Management Association。Private equity fund management institutions established by foreign capital outside China are temporarily not included in the registration scope。

1. 实缴资本未到位的机构能否登记为私募基金管理人？私募基金管理机构应当具备适当资本，to be able to support its basic operations。
2. Regular updates from private equity fund managers

Require

？

Private Securities Investment Fund

1. monthly updates：Private equity fund managers should make monthly updates within 5 working days from the end of each month，Update relevant information about private securities investment funds under management，including fund size、net unit value、Number of investors, etc.。
2. annual update：Private equity fund managers shall conduct annual updates within 20 working days from the end of each year.，Update private equity fund managers、Shareholder or partner、Senior managers and other practitioners、Basic information such as private equity funds managed。Private equity fund managers shall submit their financial statements before the end of April each year，Fill in the annual financial report audited by an accounting firm through the private equity fund registration and filing system。

Non-private securities investment funds (private equity funds、Venture Capital Fund)

1. quarterly update：Private equity fund managers shall conduct quarterly updates within 10 working days from the end of each quarter.，Update relevant information on non-securities private equity funds such as private equity investment funds under management，Including subscription scale、Actual payment scale、Number of investors、Main investment directions, etc.。
2. annual update：Private equity fund managers shall conduct annual updates within 20 working days from the end of each year.，Update private equity fund managers、Shareholder or partner、Senior managers and other practitioners、Basic information such as private equity funds managed。Private equity fund managers shall submit their financial statements before the end of April each year，Fill in the annual financial report audited by an accounting firm through the private equity fund registration and filing system。

Venture capital funds should also submit reports on investment in small, medium and micro enterprises and social and economic contributions.。17、Update on major changes in private equity fund managers

Require

？

The private equity fund manager has the following major events:，Private equity fund managers shall report to the Asset Management Association within 10 working days.：

1. Name of private equity fund manager、Changes in senior management；
2. Controlling shareholders of private equity fund managers、The actual controller or executive partner changes；
3. Split-up or merger of private equity fund managers；
4. Private equity fund managers or senior managers have committed serious violations of laws and regulations；
5. Disbanded according to law、Being revoked or declared bankrupt in accordance with the law；
6. Other major matters that may harm the interests of investors。
7. Update on major changes in private equity funds

Require

？

During the operation of private equity funds，When the following major events occur，Private equity fund managers shall report to the Asset Management Association within 5 working days.：

1. Major changes to the fund contract；
2. The number of investors exceeds the legal and regulatory requirements；
3. Fund liquidation or liquidation occurs；
4. Private equity fund manager、Fund trustee changes；
5. Continuous operation of the fund、investor interests、Other events that have a significant impact on net asset value。
6. 私募基金管理人的从业人员是否需具备基金从业资格？从事非私募证券投资基金（私募股权投资基金和创业投资基金）业务的私募基金管理人的从业人员不

Require

Qualified for fund business。Employees of private equity fund managers engaged in private equity investment fund business shall have the qualifications to practice private equity funds.。

Meet one of the following conditions，Can be considered to be qualified to practice private securities funds：

1. Pass the Fund Practitioner Qualification Examination；
2. Engaged in investment management-related business in the past three years (this type of situation mainly refers to engaging in related asset management business in the past three years)，And the average annual scale of assets under management is more than 10 million yuan，Or have worked for a financial regulatory agency and the financial institutions it regulates in the past three years)；
3. Other circumstances recognized by the Asset Management Association (such circumstances mainly refer to those who have passed the Securities Practitioner Qualification Examination or the Futures Practitioner Qualification Examination)，Obtain relevant qualifications；or have obtained domestic、External funds or asset management、Fund sales and other related professional qualifications, etc.)。
4. 私募基金高级管理人员的任职基本条件？私募基金高级管理人员的任职应当具备两个基本条件：
5. No record of major breach of trust in the past three years；
6. No market entry ban measures have been taken by the China Securities Regulatory Commission。如果你还有关于这方面的知识需要了解，You are welcome to consult Hong Kong Xintong at any time!

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