Port communication11Have you registered your first fund product? ◆ If you have registered fund products，Please go directly to Article 2。
◆ If you have not yet registered for fund products，Please complete the self-examination according to the following time points：(1) As of February 5, 2025，Registration has been completed for 12 months，You must register fund products before May 1, 2025；(2) As of February 5, 2025，Registration less than 12 months，You must register fund products before August 1, 2025；(3) Newly registered as a fund manager after February 5, 2025，You must register the fund product within 6 months from the date of registration。
◆ After the self-examination is completed，You should hurry up and implement，Otherwise, the China Asset Management Association will cancel your fund manager’s registration.。After the fund manager registration is canceled，You can click related
Require
Re-apply for registration。2You fulfill your quarterly obligations in a timely manner、Is there an obligation to submit and update annual and major event information? ◆ Please log in to the China Asset Management Association website in time for the quarterly implementation of the private equity fund registration and filing system.、Annual and major event information submission and update obligations。
◆ If you have performed it in time，Please go directly to Article 3。
◆ If you have not performed it in time，Please seize the time to implement the information submission and update obligations starting from February 5, 2025，otherwise：(1) Before completing the rectification，The China Asset Management Association will suspend accepting your application for fund product registration.；(2) If you fail to complete the above information update obligations for a total of 2 times,，The China Asset Management Association will include you in the list of abnormal institutions and make it public；(3) Once the fund manager is announced as an abnormal institution，Even if you complete the rectification，It will take at least 6 months to return to normal institutional disclosure status.。
3Are you included in the "List of Serious Illegal Enterprises"? ◆ 请您登录“全国企业信用信息公示系统”中的“严重违法企业名单”栏目，Check whether you are included in the "List of Serious Illegal Enterprises"。◆ If you are not included，Please go directly to Article 4。
◆ If you have been included，Please hurry up and implement the rectifications，otherwise：(1) Before completing the rectification，The China Asset Management Association will suspend accepting your application for fund product registration.；(2) The China Asset Management Association will include you in the list of abnormal institutions and make it public；(3) Once the fund manager is announced as an abnormal institution，Even if you complete the rectification，It will take at least 6 months to return to normal institutional disclosure status.。
4Do you submit your annual financial report audited by an accounting firm before the end of April each year? ◆ If you have submitted，Please go directly to Article 5。
◆ If you have not submitted，Please seize the time to implement the rectifications and make supplementary submissions，otherwise：(1) Before completing the rectification，The China Asset Management Association will suspend accepting your application for fund product registration.；(2) The China Asset Management Association will include you in the list of abnormal institutions and make it public；(3) Once the fund manager is announced as an abnormal institution，Even if you complete the rectification，It will take at least 6 months to return to normal institutional disclosure status.。
5Have you contacted a professional law firm to provide relevant "Legal Opinions"?
◆ From February 5, 2025，New applicants for private equity fund manager registration，You need a "Legal Opinion on Registration of Private Equity Fund Manager" issued by a law firm；◆ Fund products that have been registered but have not yet been filed，You need to submit a supplementary "Legal Opinion on Private Equity Fund Manager Registration" issued by a law firm when you apply for registration of fund products for the first time.；◆ Fund products that have been registered and filed，The China Asset Management Association will, depending on the situation,
Require
You supplementally submit the "Legal Opinion on Registration of Private Equity Fund Manager" issued by a law firm，Please be prepared；◆ If you start from February 5, 2025，Applying to change the following major matters，You need to submit the "Special Legal Opinion on Changes in Major Matters of Private Equity Fund Manager" issued by a law firm：(1) Change of controlling shareholder or actual controller；(2) Change of legal representative or executive partner；(3) Name of private equity fund manager、Changes in senior management；(4) Split-up or merger of private equity fund managers；(5) Private equity fund managers or senior managers have committed serious violations of laws and regulations；(6) Dissolution according to law、Being revoked or declared bankrupt in accordance with the law；(7) Other major matters that may harm the interests of investors；(8) Other major matters prudently determined by the China Asset Management Association。
6Your executives fit the job description
Require
? ◆ According to relevant regulations，The fund manager shall have at least 2 senior executives (including legal representative, executive partner (appointed representative)、Compliance and risk control manager、General manager、Deputy General Manager, etc.)；in，Required settings for the person in charge of compliance and risk control，and shall not engage in investment business。◆ If you have set up this position
Require
，Please go directly to Article 7。
◆ If you do not have the relevant
Require
，Please seize the time to implement the rectifications，otherwise：(1) The law firm will not be able to issue you an unqualified "Legal Opinion on Registration of Private Equity Fund Manager"；(2) Further，You will not be able to complete the registration of fund products。7Have your senior managers obtained fund practitioner qualifications?
◆ According to relevant regulations，Please check the following content yourself：(1) If you are engaged in private securities investment fund business，then all your executives should obtain this qualification；(2) If you are engaged in non-private securities investment fund business，Then at least 2 senior executives should obtain this qualification。at the same time，Your legal representative, executive partner (appointed representative)、The person in charge of compliance and risk control should obtain this qualification。
◆ If your executives already have this qualification，Please remind your executives to complete 15 hours of follow-up training each year，To maintain its fund practitioner qualifications。◆ If you do not have the relevant
Require
，Please seize the time to implement the rectifications，otherwise：(1) The law firm will not be able to issue you an unqualified "Legal Opinion on Registration of Private Equity Fund Manager"；(2) Further，You will not be able to complete the registration of fund products。
8Have you established a risk management and control system that is appropriate for the type of private equity fund management business you are engaged in? ◆ According to relevant regulations，You should establish a risk management and control system that is appropriate for the type of private equity fund management business you are engaged in。
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。
◆ If you have established relevant systems，Then the self-examination of this article is completed。◆ If you have not established relevant systems yet，Please seize the time to implement the rectifications，otherwise：(1) The law firm will not be able to issue you an unqualified "Legal Opinion on Registration of Private Equity Fund Manager"；(2) Further，You will not be able to complete the registration of fund products。
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