Apply for the National Private Equity Excellent License

Apply for the National Private Equity Excellent License Shenzhen Manager Registration Private Equity Fund Registration

Require

】 one、Private equity fund product issuance

1. Determine private equity fund products，Involving fund product contracts，Product introduction；
2. Determine fund manager，Fund custodian；
3. Open an escrow account，Generally choose a brokerage account or a bank account；
4. Raised funds are deposited in an escrow account；
5. Involving private equity fund products，Submit to the Fund Association for review。
6. After product registration passes review by the Asset Management Association，Fund products can be issued。 two、Application for registration as a private equity fund manager
7. Registration method： Submit information online through electronic systems，Online review。
8. Registration information content： Fill in the basic information of the fund manager、Basic information for senior managers and other practitioners、Basic information of shareholders or partners、Basic information about managed funds、Company Due Diligence Legal Opinion、financial audit report。
9. Registration time limit： Complete materials，The Fund Industry Association shall within 20 working days from the date of receipt of all registration materials.，Disclose the basic information of private equity fund managers through the website，Complete registration procedures for private equity fund managers。
10. Announcement content：
11. Name of private equity fund manager、Establishment time、Registration time、address、Contact information、Basic information such as the main person in charge and basic integrity information。
12. Corporate funds employ self-employed management teams to manage fund assets，While the corporate fund is undergoing registration procedures as a fund,，You also need to complete the registration procedures as a fund manager。
13. Registration time limit for private equity funds： Private equity fund registration materials are complete and comply with

Require

of，The Fund Industry Association shall within 20 working days from the date of receipt of all filing materials，Disclose the basic information of private equity funds through the website，Complete registration procedures for private equity funds。

The basic information of private equity funds published on the website includes the name of the private equity fund.、Establishment time、Filing time、Main investment areas、Fund manager and fund custodian and other basic information。

Apply for a private equity outstanding license

1. Preparation materials: To apply for a private equity outstanding license, you need to prepare the following materials：
2. Executive qualifications：Private equity funds engaged in securities must have at least two senior executives with fund practice qualifications，Among them, the legal representative，General manager，The person in charge of risk control must have a fund professional qualification。
3. Business scope：According to the regulations of the association, the current business scope of private equity fund managers can only be：asset Management，investment management，Equity investment，Equity Investment Management，Equity fund investment management (it is recommended not to write “investment consulting” in the business scope of managers applying for a private securities fund type license)。
4. Registered capital：The paid-in capital ratio is 25% and above，Or the paid-in capital can guarantee the company's operation for more than 6 months。
5. Office conditions：A physical business address is required，No limit to size，Can meet the needs of all employees of the company to work normally，and appropriate office equipment.。
6. Executives：*Have 5-10 employees，The organizational structure is：General manager，Investment Department，Risk Control Department，Administration Department，Marketing Department，Personnel Department, etc.，1-2 employees each，Among them, the general manager，Risk control manager，Investment Manager* is full time，Other staff can work part-time。
7. institutional literature：According to the association and the company's own conditions，Prepare institutional documents，Generally, there are 9-23 institutional documents (do not copy other templates in full，The association is now very strict in reviewing this aspect，Write strictly according to your own situation，It doesn't matter how many there are，The important thing is to match your company)。

8. License plate type

： According to the revision notice of China Foundation Association*，Private equity fund managers can be divided into the following three types:，Fund managers should clarify the type of fund manager and the following fund product types when planning，Facilitate the arrangement of subsequent matters。

Fund managers can be divided into the following three categories:： a、Private securities investment fund manager b、private equity、Venture capital fund manager c、Other private equity investment fund managers apply for outstanding private equity license

1. Preparation materials: To apply for a private equity outstanding license, you need to prepare the following materials：
2. Executive qualifications：Private equity funds engaged in securities must have at least two senior executives with fund practice qualifications，Among them, the legal representative，General manager，The person in charge of risk control must have a fund professional qualification。
3. Business scope：According to the regulations of the association, the current business scope of private equity fund managers can only be：asset Management，investment management，Equity investment，Equity Investment Management，Equity fund investment management (it is recommended not to write “investment consulting” in the business scope of managers applying for a private securities fund type license)。
4. Registered capital：The paid-in capital ratio is 25% and above，Or the paid-in capital can guarantee the company's operation for more than 6 months。
5. Office conditions：A physical business address is required，No limit to size，Can meet the needs of all employees of the company to work normally，and appropriate office equipment.。
6. Executives：*Have 5-10 employees，The organizational structure is：General manager，Investment Department，Risk Control Department，Administration Department，Marketing Department，Personnel Department, etc.，1-2 employees each，Among them, the general manager，Risk control manager，Investment Manager* is full time，Other staff can work part-time。
7. institutional literature：According to the association and the company's own conditions，Prepare institutional documents，Generally, there are 9-23 institutional documents (do not copy other templates in full，The association is now very strict in reviewing this aspect，Write strictly according to your own situation，It doesn't matter how many there are，The important thing is to match your company)。

8. License plate type

： According to the revision notice of China Foundation Association*，Private equity fund managers can be divided into the following three types:，Fund managers should clarify the type of fund manager and the following fund product types when planning，Facilitate the arrangement of subsequent matters。 Fund managers can be divided into the following three categories:： a、Private securities investment fund manager b、private equity、Venture capital fund manager c、Other private equity investment fund managers

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