基金备案基金备案有哪些
Require
第十一条 私募基金管理人应当在私募基金募集完毕后20个工作日内,Filing through the private equity fund registration and filing system,And indicate the fund category based on the main investment direction of the private equity fund.,Fill in the fund name truthfully、Capital size、investor、fund contract(基金公司章程或者合伙协议,以下统称基金合同)等基本信息。
Corporate funds employ self-employed management teams to manage fund assets,While the corporate fund is undergoing registration procedures as a fund,,You also need to complete the registration procedures as a fund manager。 第十二条 私募基金备案材料不完备或者不符合规定的,私募基金管理人应当根据基金业协会的
Require
及时补正。
第十三条 私募基金备案材料完备且符合
Require
of,The Fund Industry Association shall within 20 working days from the date of receipt of all filing materials,Disclose the basic information of private equity funds through the website,Complete registration procedures for private equity funds。The basic information of private equity funds published on the website includes the name of the private equity fund.、Establishment time、Filing time、Main investment areas、Fund manager and fund custodian and other basic information。
第十四条 经备案的私募基金可以申请开立证券相关账户。 第四章 人员管理 第十五条 私募基金管理人应当按照规定向基金业协会报送高级管理人员及其他基金从业人员基本信息及变更信息。 第十六条 从事私募基金业务的专业人员应当具备私募基金从业资格。
Meet one of the following conditions,Can be recognized as having qualifications to practice private equity funds: (one)Passed the private equity fund practitioner qualification examination organized by the Asset Management Association; (two)Engaged in investment management related business in the past three years; (three)Other circumstances recognized by the Asset Management Association。
第十七条 私募基金管理人的高级管理人员应当诚实守信,近三年没有重大失信记录,未被中国证监会采取市场禁入措施。 前款所称高级管理人员指私募基金管理人的董事长、General manager、deputy general manager、执行事务合伙人(Appointed representative)、合规风控负责人以及实际履行上述职务的其他人员。
第十八条 私募基金从业人员应当定期参加基金业协会或其认可机构组织的执业培训。 第五章 信息报送 第十九条 私募基金管理人应当在每月结束之日起5个工作日内,Update information related to private securities investment funds under management,including fund size、net unit value、Number of investors, etc.。
第二十条 私募基金管理人应当在每季度结束之日起10个工作日内,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.。
第二十一条 私募基金管理人应当于每年度结束之日起20个工作日内,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。
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