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私募基金备案律师问题解答

Require

私募基金管理人在备案登记时需要出具法律意见书并以附件形式将法律意见书的指引提供

作为私募基金的法律从业者从以下方面就法律意见书中律师应当审查的内容作一解析总结:one、主体资质审查律师要审查申请机构是否依法在中国境内设立并有效存续;two、经营范围审查律师应审查申请机构的工商登记文件所记载的经营范围是否符合国家相关法律法规的规定

申请机构的名称和经营范围中是否含有“基金管理”、"Investment Management"、"asset Management"、"Equity Investment"、“创业投资”等与私募基金管理人业务属性密切相关字样以及私募基金管理人名称中是否含有“私募”相关字样

私募投资基金备案律师调查问题解答三专业化经营审查投资基金备案律师调查问题解答律师应审查申请机构是否符合《私募投资基金监督管理暂行办法》第 22 条专业化经营原则说明申请机构主营业务是否为私募基金管理业务申请机构的工商经营范围或实际经营业务中是否兼营可能与私募投资基金业务存在冲突的业务是否兼营与“投资管理”的买方业务存在冲突的业务是否兼营其他非金融业务

Four、股权结构审查律师应对申请机构股东的股权结构情况对行审查申请机构是否有直接或间接控股或参股的境外股东,If so,请说明穿透后其境外股东是否符合现行法律法规的

Require

和中国基金业协会的规定

five、实际控制人审查律师应审查申请机构是否具有实际控制人;If so,请说明实际控制人的身份或工商注册信息以及实际控制人与申请机构的控制关系并说明实际控制人能够对机构起到的实际支配作用

six、关联性审查律师应审查申请机构是否存在子公司(持股 5%以上的金融企业上市公司及持股 20%以上的其他企业)、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

seven、私募基金从业条件审查律师应审查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、business place、资本金等企业运营基本设施和条件。eight、风控制度审查律师应审查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。

Nine、募集方式审查律师应审查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?。ten、高管审查律师要审查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

eleven、违法审查律师应审查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”上存在不良信用记录等

twelve、涉诉审查律师应审查申请机构近三年涉诉或仲裁的情况。Thirteen、申请备案资料审查律师应对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、完整性进行审查。fourteen、经办执业律师及律师事务所认为需要说明的其他事项投资基金备案律师调查问题解答


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