Shenzhen Private Equity Funds and Fund Managers

深圳私募基金及基金管理人面向需要私募基金及基金管理人服务的企业。Let's first understand the actual business operations or application situation，核对拟开展的基金业务、管理架构及人员安排，Reorganize the handling process and the list of materials。Processing conditions、The requirements and time set by the supervisor shall be subject to the actual matters and the regulations in effect at that time.。

This page focuses on explaining the service content、Preparation and processing steps；The articles below on related topics can be used to further understand specific issues.。If there is already an application or change record，It is recommended to check together with the relevant documents。

Processing Guide：深圳私募基金及基金管理人专题文章

• 私募基金管理人资质申请：政策变化、审核要求与壳资源转让
• 契约型基金：法律基础、运作架构与优势
• 资产配置私募基金牌照申请：实际控制人要求、一控原则与高管条件
• Transfer of private equity funds：中基协备案审核要素、必备条件与转让流程

Preparation focus of this work

• business model
• 募集对象
• investment strategy
• 关键人员

First-time handling and business coordination

When applying for the first time，First clarify what problem this service solves，Double-check whether it is necessary to arrange the company at the same time、Account、Licensing or financial and tax matters。Prepare materials according to actual use，Avoid investing in supporting procedures in advance if there is no immediate demand.。

When the business or applying entity has not yet been established，Available to viewShenzhen company registrationService scope；The entity registration and the requirements of this business should be checked separately。

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。

• Explain the current business model、Matters to be handled and existing procedures。
• 准备主体、personnel、内控制度、投资业务及披露资料。
• If it involves historical changes、Corrections or Abnormal Items，Please also provide the corresponding records for verification.。

Data Organization and Handover Verification

The following is for initial communication and plan verification，Formal submission of materials should be according to specific matters、Determined by the current requirements of the jurisdiction and the receiving institution。

• business model
• 募集对象
• investment strategy
• 关键人员
• Source of funds
• 公益或投资用途

Three checkpoints for material preparation

Subject agreement：contract、Register、The names and identities in the documents and accounts should correspond with each other.，The relationship between the main entities of the group needs to be explained。

Period and version：Use the currently valid file，Keep the relevant history records at the same time；Do not use expired licenses or old application forms to replace current requirements。

Sending and storage：First provide a business overview，Complete identification document、Bank transactions and customer information are transmitted according to the confirmed scope and channels；Public pages do not display sensitive materials。

Register、备案与实际展业是不同环节，具体规则应另行核对。This page is for service introduction，Does not replace the current service guidelines issued by the competent authority；The quotation and timeline must be based on the specific business、Confirmed after checking the materials and processing path。

Quote range and processing time

The deliverables of the consulting services should be clearly defined before commissioning.、Data organization and communication scope。If it involves government fees、Translate、Notarization or local professional agency fees，The actual occurrences of the projects should be checked separately、The responsible party and whether it has been included in the quotation；Unconfirmed items are not considered as fixed charge commitments。

Consultant Work Arrangements and Supervisory Authorities、The processing time by the bank or third party should be specified separately.。The progress depends on the completeness of the materials、Correction and external organization arrangements，Specific nodes need to be confirmed after the business scope is clarified.。

Business Boundaries and Subsequent Management

管理人登记、基金备案和基金会登记不能互相替代，登记也不构成收益保证。不得将公益基金会介绍为可自由募集投资资金的工具。

Records to be retained after delivery

Save the final file、Submit receipt、Matters that need continued cooperation and expiration reminders。Verify the main body in the document、Whether the scope of business or rights aligns with the entrusted objectives；Subsequent changes、declare、Renewal or exit is not included by default in a one-time service。

Involving subsequent accounting handover，can be combinedShenzhen Industrial and Commercial Tax DifficultiesCheck the scope of work；Accounting services do not replace special permits or review by the competent authority。