如何申请登记基金管理人!

Whether the applicant institution has subsidiaries (financial companies holding more than 5% of the shares、Listed companies and other companies holding more than 20% of shares)、Branches and other related parties (financial enterprises controlled by the same controlling shareholder/actual controller、Asset management institutions or related service institutions)。If so，请说明情况及其子公司、关联方是否已登记为私募基金管理人。

1. 申请机构是否按规定具有开展私募基金管理业务所需的从业人员营业场所、资本金等企业运营基本设施和条件。
2. 申请机构是否已制定风险管理和内部控制制度。

是否已经根据其拟申请的私募基金管理业务类型建立了与之相适应的制度，Including (depending on the specific business type) operational risk control system、information disclosure system、Internal transaction recording system、Prevent insider trading、Conflict of Interest Investment Transaction System、Qualified investor risk disclosure system、Qualified investor internal review process and related systems、Private equity fund promotion、Fund raising-related regulatory systems and fair trading systems (applicable to private securities investment fund business)、Securities trading declaration system for practitioners and other supporting management systems。

1. 申请机构是否与其他机构签署基金外包服务协议，并说明其外包服务协议情况，Are there potential risks?。
2. 申请机构的高管人员是否具备基金从业资格，高管岗位设置是否符合中国基金业协会的

Require

。高管人员包括法定代表人执行事务合伙人委派代表、General manager、副总经理（如有）和合规风控负责人等。

1. 申请机构是否受到刑事处罚、Administrative penalties imposed by financial regulatory authorities or administrative supervision measures taken；Whether the applicant organization and its senior managers have been subject to disciplinary action by industry associations；Whether there is negative information in the capital market integrity database；Whether it is included in the list of dishonest persons subject to execution；Whether it is included in the directory of abnormal business operations or the directory of seriously illegal enterprises in the National Enterprise Credit Information Publicity System；是否在“信用中国”网站上存在不良信用记录等。
2. 申请机构近三年涉诉或仲裁的情况。
3. 申请机构向中国基金业协会提交的登记申请材料是否真实、precise、whole。
4. 经办执业律师及律师事务所认为需要说明的其他事项。

five、已登记的私募基金管理人若申请变更控股股东、变更实际控制人、变更法定代表人执行事务合伙人等重大事项或中国基金业协会审慎认定的其他重大事项，需向中国基金业协会提交《私募基金管理人重大事项变更专项法律意见书》，对私募基金管理人重大事项变更的相关事项逐项明确发表结论性意见。

《私募基金管理人重大事项变更专项法律意见书》的

Require

参见上述《法律意见书》的相关

Require

。

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