如何进行私募基金管理人登记!

ask：开展民间借贷、Small amount of finance、众筹等业务的机构，同时开展私募基金管理业务的，如何进行私募基金管理人登记？

answer：根据《私募投资基金监督管理暂行办法》（以下简称《暂行办法》）关于私募基金管理人防范利益冲突的

Require

，For concurrent private lending、private financing、Capital allocation business、Small amount of finance、small loan、P2P/P2B、Crowdfunding、Factoring、guarantee、real estate development、Applicants for trading platforms and other businesses，These businesses conflict with the attributes of private equity funds，Can easily mislead investors。

To prevent risks，The China Asset Management Association will not register the above-mentioned institutions that conflict with private equity fund business.。上述机构可以设立专门从事私募基金管理业务的机构后申请私募基金管理人登记。经金融监管部门批准设立的机构在从事私募基金管理业务的同时也从事上述非私募基金业务的，应当相应建立业务隔离制度，防止利益冲突。

at the same time，为落实《暂行办法》关于私募基金管理人的专业化管理

Require

，The name and business scope of a private equity fund manager should include “fund management”、"Investment Management"、"asset Management"、"Equity Investment"、"Venture investment" and other related words，For companies whose name and business scope do not include “fund management”、"Investment Management"、 "asset Management"、"Equity Investment"、Institutions with related words such as "Venture Investment"，China Asset Management Association will not allow registration。

已登记私募基金管理人应按照上述

Require

Make rectifications，下一步协会将对不符合

Require

的私募基金管理人进行自律管理。 ask：从事私募证券投资基金业务的高管人员以及基金经理有何资质

Require

? answer：根据《证券投资基金法》第九条的规定，从事私募证券投资基金业务的从业人员应当具有基金从业资格。

基金从业资格的取得方式已在《私募基金登记备案相关问题解答（六）》中进行了解答。

对于私募基金管理人首次申请私募证券投资基金管理人资格、私募股权基金管理人和创业投资基金管理人变更为私募证券基金管理人或者私募股权基金管理人和创业投资基金管理人同时从事私募证券投资基金业务类型等申请从事私募证券投资基金业务的，其从事私募证券投资基金业务的高管人员和基金经理应当具备基金从业资格。

已登记机构应当按照规定自查从事私募证券投资基金业务的从业人员是否具备基金从业资格，下一步中国基金业协会将按照《基金法》的规定，对基金从业人员进行资质管理和业务培训，

Require

Does not meet

Require

的机构整改。 ask：How do law firms and their handling lawyers conduct due diligence on the risk management and internal control systems of private equity fund managers?

answer：Law firms and their handling lawyers conduct due diligence on the risk management and internal control systems of the applicant institution.，The following should be checked and verified including but not limited to:： one、Whether the applicant institution has formulated a complete risk management and internal control system involving key aspects of the institution's operations as mentioned in Article 4 (8) of the "Guidelines for Legal Opinions on Registration of Private Equity Fund Managers"； two、Determine whether the relevant risk management and internal control systems comply with the provisions of the China Asset Management Association's "Internal Control Guidelines for Private Equity Fund Managers"； three、Evaluate whether the above systems have the realistic basis and conditions for effective implementation。

For example，Whether the establishment of relevant systems matches the existing organizational structure and staffing of the institution，Whether it meets the actual needs of the organization’s operations, etc.。

Taking into account the current development status of my country's private equity fund industry，To support the specialization of private equity fund managers、Differentiated development，Ensure the effective implementation of risk management and internal control systems of private equity fund managers，The China Asset Management Association encourages private equity fund managers to consider their own actual operating conditions，Professional outsourcing services by choosing a private equity fund outsourcing service agency registered with the China Asset Management Association，Achieve the goals of the institution’s risk management and internal control systems，Reduce operating costs，Improve core competitiveness。

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