Guidelines for Filing and Registration of Private Equity Fund Managers

私募基金管理人备案登记攻略从业资格的

Require

与取得从事私募证券投资基金业务的各类私募基金管理人，All its senior managers should obtain fund professional qualifications。Various private equity fund managers engaged in non-private securities investment fund business，At least two senior executives should obtain fund practice qualifications。

Senior executives of private equity fund managers meet one of the following conditions:，Can obtain fund practitioner qualifications：(one)Pass the Fund Practitioner Qualification Examination;(two)通过相关认定获得从业资格。(1) 近三年从事投资管理相关业务并符合相关资格认定条件。Such situations mainly refer to those who have engaged in asset management-related business in the past three years.，And the average annual scale of assets under management is more than 10 million yuan。

(2) Passed the Securities Practitioner Qualification Examination、Futures Practitioner Qualification Examination、Banking qualification examination and meet relevant qualification requirements;Or pass the Certified Public Accountant Qualification Examination、Legal Professional Qualification Examination、Asset appraiser professional qualification examination and other financial-related qualification examinations and meet relevant qualification requirements。

拟通过上述第(1)、(2)How to determine the situation: Senior executives of private equity fund managers who have obtained fund practice qualifications，You should also pass the Fund Practitioner Qualification Examination Subject 1 "Fund Laws and Regulations"、Professional Ethics and Business Standards" exam，Only then can it be determined that the fund practitioner qualification has been obtained。

(3) 符合下列条件之一的私募股权投资基金管理人(含创业投资基金管理人)的高级管理人员，You can apply to the Qualification Certification Committee of the China Asset Management Association for recognition of fund business qualifications.：a.从事私募股权投资(Including venture capital)6years and above，And participate in and successfully exit at least two projects;b. Served as a senior manager of a listed company or a large or medium-sized enterprise with a paid-in capital of not less than 1 billion yuan，And have been in the industry for 12 years or more;c. Senior managers who have been engaged in economic and social management for 12 years or more;d.In colleges and universities、Research institutions engaged in economics、12 years or more of teaching and research in finance and other related majors，and obtain the title of professor or researcher。

(three)符合上述条件之一的，Submit the following materials to the China Asset Management Association by your institution or individual：(1) 个人资格认定申请书;(2) 个人基本情况登记表。

(Four)相关证明材料(1)符合上述条件a的，需提交参与项目成功退出证明和两份行业知名人士署名的推荐信，The recommendation letter should include the recommender’s title and contact information.;(2)符合上述条件b的，需提交企业和个人的相关证明和两份行业知名人士署名的推荐信，The recommendation letter should include the recommender’s title and contact information.;(3)符合上述条件c的，需提交有关组织部门出具的任职证明;(4)符合上述条件d的，需要提交相关资格证书和两份行业知名人士署名的推荐信，The recommendation letter should include the recommender’s title and contact information.。

资格认定委员会构成及工作机制：资格认定委员会由中国证券投资基金业协会理事(不含非会员理事)、监事及私募基金相关专业委员会委员构成。每次从上述委员中随机抽取七人组成认定小组，小组成员对申请资格认定的人员以简单多数原则表决。

参与资格认定的表决人、推荐人及资格认定结果将通过中国证券投资基金业协会网站的从业人员信息公示平台向社会公示。

two、对经营范围的整改(one)合规的经营范围根据《私募投资基金监督管理暂行办法》(“暂行办法”)关于私募基金管理人防范利益冲突的

Require

，For concurrent private lending、private financing、Capital allocation business、Small amount of finance、small loan、P2P/P2B、Crowdfunding、Factoring、guarantee、real estate development、Applicants for trading platforms and other businesses，These businesses conflict with the attributes of private equity funds，Can easily mislead investors。

To prevent risks，The China Asset Management Association will not register the above-mentioned institutions that conflict with private equity fund business.。

at the same time，In order to implement the interim measures on the professional management of private equity fund managers

Require

，The name and business scope of a private equity fund manager should include “fund management”、"Investment Management"、"asset Management"、"Equity Investment"、"Venture investment" and other related words，For companies whose name and business scope do not include “fund management”、"Investment Management"、"asset Management"、"Equity Investment"、Institutions with related words such as "Venture Investment"，China Asset Management Association will not allow registration。

From the perspective of professional operation and prevention of conflicts of interest，Private equity fund managers are not allowed to concurrently engage in businesses that may conflict with private equity funds、Sell-side business and other non-financial businesses not related to the buy-side “investment management” business。According to the announcement

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，The Association encourages private equity fund managers to add “private equity” related words to their names，But it is not mandatory for now

Require

。

已登记私募基金管理人应按照上述

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Make rectifications，下一步协会将对不符合

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的私募基金管理人进行自律管理。(two)整改程序私募基金管理人的经营范围和名称的整改工作需要事先完成相关工商信息变更。即在工商信息变更完成之后，再在协会网站上，提交变更事项的申请，同时提交重大事项变更法律意见书。

协会考虑到近期各地相关工商注册政策处于调整期，To conduct business without affecting registered private equity fund managers，Private equity fund managers who need to submit relevant legal opinions，If its business scope and name do not comply with the relevant self-discipline of the association,

Require

，At the same time, it is indeed impossible to make relevant industrial and commercial changes due to objective reasons，The applicant institution should make a written commitment not to engage in other businesses unrelated to the specific private equity fund business type in which the institution is engaged.，And promised to wait until the relevant industrial and commercial change procedures can be processed normally.，Business scope and name changes will be completed in a timely manner，and press in the private equity fund registration and filing system

Require

Timely update changed industrial and commercial information。

The above commitments should be truthfully informed to the relevant law firms and handling lawyers.，There are private equity fund products，Investors should be truthfully informed。three、paid-in capital

Require

公司法已经取消的低注册资本的

Require

，Announcement from the Asset Management Association，As a non-normative document of an autonomous association，It will not violate the provisions of the law。Therefore, the association has not

Require

Regulations stipulate that private equity fund managers must have more than a specific amount of capital before they can register。

However, as a necessary and reasonable condition for the operation of the institution，Private equity fund managers should base their decisions on their own operating conditions and business development direction.，Ensure there is sufficient capital to ensure the effective operation of the institution。Relevant capital should cover the organization’s reasonable labor compensation over a period of time、House rent and other daily operating expenses。Law firms should evaluate whether a private equity fund manager has the capital required to engage in private equity fund management.、Conduct due diligence on capital conditions, etc. and issue professional legal opinions。

According to the practice of filing，Generally, it can cover the capital of the company for more than six months of normal operation.。

Four、建立切实有效的内控制度私募基金管理人应参照协会发布的《私募投资基金管理人内部控制指引》、The "Guidelines for Legal Opinions on Registration of Private Equity Fund Managers" and other regulations are formulated and uploaded to relevant systems.，制度文件包括但不限于(视具体业务类型而定)《公司风险控制管理制度》、《

Company information

披露制度》、《公司内部控制制度》、《公司机构内部交易记录制度》、《公司关于内幕交易防控制度》、《公司合格投资者风险揭示制度》、《公司投资者适当性管理与审核制度》、《公司私募投资基金宣传推介与募集管理制度》、《公司利益冲突管理办法》、《公司员工个人交易制度》

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