基金产品备案流程

基金产品备案流程 基金产品备案流程及

Things to note

Which ones are there? one、私募基金募集与备案流程

1. 营业执照——合伙型、Corporate fund registration is required. Only partnership type、cooperative、Corporate fund products，The system meeting of China Foundation Association

Require

Upload this file，Contractual funds do not need to be uploaded，Because contractual funds do not have an organizational structure。

What needs to be clear is，What you want to upload here is the business license of the fund product.，rather than the business license of the fund manager。We have always believed that on the issue of uploading business licenses，There should be no doubt，But there are indeed fund managers in the fund filing system，Uploaded the business license of the fund manager but encountered feedback from the China Fund Management Association。

1. 《基金招募说明书》——非备案必备文件 《基金招募说明书》是投资者了解基金的基本也是重要的文件之一，It is a must-read document before investing。But within the fund filing system，There is an inapplicable option after the "Fund Prospectus"，Files that are not required to be uploaded，You can choose not to apply within the system。
2. 《基金风险揭示书》——备案必备文件 《私募投资基金监督管理暂行办法》第十六条明确

Require

:Private equity fund managers sell private equity funds on their own，Questionnaire surveys and other methods should be used to，Evaluate investors’ risk identification capabilities and risk-taking capabilities，A written commitment from the investor to meet the conditions of a qualified investor;A risk disclosure letter should be prepared，Confirmed by investor’s signature。

The China Fundraising Association issued the "Measures for the Management of Private Investment Fund Raising Behavior" on April 15, 2025.，At the same time, the "Private Investment Fund Investor Risk Questionnaire Content and Format Guidelines (Personal Version)" and the "Private Investment Fund Risk Disclosure Statement and Format Guidelines" were released,

1. 《投资者承诺函》——备案必备文件 《基金风险揭示书》与《投资者承诺函》，Documents signed by all investors are required to be submitted，If there are 5 investors，Just upload all 5 copies。

Some of our clients have multiple investors，Will only upload a commitment letter signed by one investor，This will lead to feedback from the China Foundation Association。All investor-signed documents should be scanned and uploaded in one PDF document。

1. 《机构承诺函》——备案必备文件 这是需要基金管理人出具的承诺函，And it will vary depending on the management of equity or securities products.，There are subtle differences。
2. 募集规模证明/实缴出资证明
3. 基金合同/合伙协议/公司章程 在进行基金产品备案时，重要也是容易遭遇反馈的文件就是基金合同。2025April 18，China Fund Contract Association officially releases long-awaited fund contract guidelines，Guidance contract type、corporate、Three types of partnerships，adopted different guidance methods。

therefore，When making articles of association/partnership agreement/fund contract，Respond to specific contract guidelines

Require

，Make files。

1. 《委托管理协议》——非备案必备文件 《委托管理协议》非必须上传的文件，You can choose not to apply within the system。

Give an example of a situation where you need to upload the "Entrusted Management Agreement"：The GP of a partnership fund product does not serve as the fund manager，An external fund manager is hired to manage the fund.。

1. 《托管协议》——非备案必备文件 不论是证券类基金还是股权类基金，You can choose not to host。

If the fund chooses not to be managed，We often encounter feedback from the China Foundation Association，Right now

Require

Upload the "No Escrow Agreement" signed by all investors，The "No Custody Agreement" needs to clearly state that "the Fund has no custody"。According to the fund contract guidelines，Unmanaged fund products，Institutional measures and dispute resolution mechanisms for private equity fund property security need to be stated in the fund contract.。

1. 销售归集/托管账户信息——备案必备文件 这对基金产品备案提出了两个

Require

，First, a special account has been opened，Second, the raised funds have entered the special account。In the case of hosting or PB comprehensive hosting business，It is necessary to open two accounts: a custodian account and a sales collection account.，Without hosting and outsourcing，Just open a sales collection account。

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