Private equity fund product registration process

私募基金产品备案流程及

Things to note

有哪些？ 一、私募基金募集与备案流程 （一）营业执照——合伙型、公司基金备案必备 只有合伙型、cooperative、Corporate fund products，The system meeting of China Foundation Association

Require

Upload this file，Contractual funds do not need to be uploaded，Because contractual funds do not have an organizational structure。

What needs to be clear is，What you want to upload here is the business license of the fund product.，rather than the business license of the fund manager。We have always believed that on the issue of uploading business licenses，There should be no doubt，But there are indeed fund managers in the fund filing system，Uploaded the business license of the fund manager but encountered feedback from the China Fund Management Association。

（二）《基金招募说明书》——非备案必备文件 《基金招募说明书》是投资者了解基金的基本也是重要的文件之一，It is a must-read document before investing。But within the fund filing system，There is an inapplicable option after the "Fund Prospectus"，Files that are not required to be uploaded，You can choose not to apply within the system。

（三）《基金风险揭示书》——备案必备文件 《私募投资基金监督管理暂行办法》第十六条明确

Require

:Private equity fund managers sell private equity funds on their own，Questionnaire surveys and other methods should be used to，Evaluate investors’ risk identification capabilities and risk-taking capabilities，A written commitment from the investor to meet the conditions of a qualified investor;A risk disclosure letter should be prepared，Confirmed by investor’s signature。

The China Fundraising Association issued the "Measures for the Management of Private Investment Fund Raising Behavior" on April 15, 2025.，At the same time, the "Private Investment Fund Investor Risk Questionnaire Content and Format Guidelines (Personal Version)" and the "Private Investment Fund Risk Disclosure Statement and Format Guidelines" were released, 私募基金产品备案流程及

Things to note

Which ones are there?

one、私募基金募集与备案流程 （一）营业执照——合伙型、公司基金备案必备 只有合伙型、cooperative、Corporate fund products，The system meeting of China Foundation Association

Require

Upload this file，Contractual funds do not need to be uploaded，Because contractual funds do not have an organizational structure。What needs to be clear is，What you want to upload here is the business license of the fund product.，rather than the business license of the fund manager。

We have always believed that on the issue of uploading business licenses，There should be no doubt，But there are indeed fund managers in the fund filing system，Uploaded the business license of the fund manager but encountered feedback from the China Fund Management Association。 （二）《基金招募说明书》——非备案必备文件 《基金招募说明书》是投资者了解基金的基本也是重要的文件之一，It is a must-read document before investing。

But within the fund filing system，There is an inapplicable option after the "Fund Prospectus"，Files that are not required to be uploaded，You can choose not to apply within the system。

（三）《基金风险揭示书》——备案必备文件 《私募投资基金监督管理暂行办法》第十六条明确

Require

:Private equity fund managers sell private equity funds on their own，Questionnaire surveys and other methods should be used to，Evaluate investors’ risk identification capabilities and risk-taking capabilities，A written commitment from the investor to meet the conditions of a qualified investor;A risk disclosure letter should be prepared，Confirmed by investor’s signature。

The China Fundraising Association issued the "Measures for the Management of Private Investment Fund Raising Behavior" on April 15, 2025.，At the same time, the "Private Investment Fund Investor Risk Questionnaire Content and Format Guidelines (Personal Version)" and the "Private Investment Fund Risk Disclosure Statement and Format Guidelines" were released,

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