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Item and Scope Check
Distinguish this actual business、Planned tasks and work that need to be handled by other professional organizations。
Service Overview
深圳私募基金管理人服务应先核对实际主体、Activities and this matter，Confirm registration separately again、Professional work and ongoing maintenance arrangements。different。先区分管理人主体、具体基金、募集和投资活动，再核对中国证券投资基金业协会等现行规则，不能把一种登记当成全部业务许可。
Nature of the matter and applicable boundaries
different。先区分管理人主体、具体基金、募集和投资活动，再核对中国证券投资基金业协会等现行规则，不能把一种登记当成全部业务许可。
应核对主体、实际控制、professionals、治理及拟开展活动，普通公司营业执照不能替代相应登记和持续合规要求。
material、Responsibility and Result Verification
以投资对象、策略、合同和组织形式说明实际业务，按相应类别核对登记备案要求，不能只靠公司名称判断。
募集对象、Way、投资者资格和风险揭示应单独核对；登记或备案记录不意味着可以公开向不特定人群销售。
不代表。登记备案不保证投资安全、收益或管理能力，不能在宣传中使用官方背书或保本承诺。
Shenzhen Private Fund Manager Services：Processing conditions、List of Materials and Official References
深圳私募基金管理人服务由中国证券投资基金业协会／深圳证监局主管。Is it applicable、Handle according to which category of matters，Depends on the subject qualifications、Business activities and actual location/personnel arrangements；Newly established under the same name、change、continue、Cancellation handled separately，Cannot replace each other。
30 Second key point
- Competent authority：中国证券投资基金业协会／深圳证监局
- First, look at the conditions：持续满足登记要求：实缴资本、personnel、place、system。
- Change processing：20–40 个工作日
- Validity period：登记持续有效，需按期更新。
- Supervisory/Approval Authority
- 中国证券投资基金业协会／深圳证监局
- Main basis
- 《私募投资基金登记备案办法》（中国证券投资基金业协会）；《私募投资基金监督管理条例》（国务院令第762号）
- Handling method
- Online declaration + window/on-site verification (depending on the matter)
- Validity period
- 登记持续有效，需按期更新。
Scope of application：First determine which category it belongs to
Situations that usually require handling：
- 已完成登记、需办理重大事项变更或信息更新的管理人
- 需要建立合规风控体系的管理人
Easily mistaken as needed、But situations that should be verified separately：
- 尚未登记的新设机构（按登记流程办理）
Core Conditions (Checked Item by Item)
- 持续满足登记要求：实缴资本、personnel、place、system。
- 重大事项（股东、实控人、executive、name、经营范围）变更需在规定期限内报送。
- 按时完成年度信息更新与审计。
List of materials and common return points
| Material | Key Points / Common Reasons for Returned Items |
|---|---|
| 变更申请与说明 | |
| 股东/高管变更文件 | |
| 更新后的制度与人员名单 | |
| 年度审计报告 |
Review and On-site Inspection Focus Points
- 高管离职未及时补位，会导致登记信息与实际不符。
- 经营范围新增冲突业务（如放贷、保理）会被要求整改。
time limit、Validity Period and Subsequent Obligations
| project | illustrate |
|---|---|
| Change processing | 20–40 个工作日 |
| Validity and Renewal | 登记持续有效，需按期更新。 |
| Ongoing obligation | each year 4 moon 30 日前完成年度信息更新。 |
Cost structure (listed separately)，Avoid vague punches
按变更事项与合规体系范围计费。
Risk and Responsibility Boundaries
- 信息更新逾期会被公示并影响产品备案。
Official Basis and Verification Entry
| Basis / Entrance | Issuing Authority | Verification method |
|---|---|---|
| 《私募投资基金登记备案办法》 | Securities Investment Fund Association of China | Enforcement 2023-05-01；The current valid text shall prevail |
| 《私募投资基金监督管理条例》 | 国务院令第762号 | Enforcement 2023-09-01；The current valid text shall prevail |
| Securities Investment Fund Association of China | — | Visit |
Date of consultation of the above materials：2026November 12。The provisions of the regulations shall be based on the officially published current text.；Service guidelines have regional differences and version updates，The actual acceptance requirements shall be subject to the standards of the accepting authority at the current period.。
illustrate：This page is a guide for handling conditions and organizing materials，Does not constitute legal advice、Regulatory approval or approval commitment。Submit application、On-site verification、The issuance of certificates and the decision to open accounts are both independently made by the competent authority or the bank.；Specific scope of services、The costs and deliverables shall be subject to written authorization.。
Scope of Services
Define the consultant's work according to the actual matters this time、The respective scope of work of professional institutions and external audits。
Data and Missing Items Compilation
Bring up existing records、Support evidence compared with formal requirements item by item，Record issues to be completed。
Results and subsequent handover
Verify agreed delivery、Submit or other results，List unfinished matters and ongoing maintenance。
Required Documents
The following are directions for the initial communication and information verification，The official list is according to the current acceptance requirements、Confirmation of the subject and actual matters。
- Entity Registration、Existing qualifications and authorization materials
- Practical activity、contract、Transactions or assets and the corresponding supporting documents
- Equity、personnel、A truthful description of the location and this change
- Original notice、All previous handling records and the matters pending confirmation this time
Application Process
Step 1
Confirm entity、Actual activities and this goal
Step 2
Organize existing records and supporting materials，Check applicable requirements
Step 3
Handle and coordinate professional work according to explicit authorization
Step 4
Check results、Original documents and subsequent responsibilities handover
Key Considerations
This page is for the scope of matters and preparation instructions，Does not replace individual laws、tax、Audit or other professional opinions。Processing conditions、Government fees、Processing time and results are determined according to the applicable regulations and review.，No unified guarantee。
List the consultant's work separately before commissioning、government fees、Capital or balance requirements、Professional signing and other third-party fees；Check the final records and items that still need to be handled during the handover。
FAQs
different。先区分管理人主体、具体基金、募集和投资活动，再核对中国证券投资基金业协会等现行规则，不能把一种登记当成全部业务许可。
应核对主体、实际控制、professionals、治理及拟开展活动，普通公司营业执照不能替代相应登记和持续合规要求。
以投资对象、策略、合同和组织形式说明实际业务，按相应类别核对登记备案要求，不能只靠公司名称判断。
募集对象、Way、投资者资格和风险揭示应单独核对；登记或备案记录不意味着可以公开向不特定人群销售。
不代表。登记备案不保证投资安全、收益或管理能力，不能在宣传中使用官方背书或保本承诺。
对照管理人资料、fund contract、investment strategy、募集文件和实际运营，发现不一致应先核实真实情况，不仅修改表格文字。
Verify position、Resume、实际履职和利益冲突，不以挂名人员替代真实团队，具体资格按当前规则确认。
明确管理、托管、law、审计和顾问责任，是否涉及强制或专业签署事项按具体业务另核。