Registration of private equity fund managers

Registration for private equity fund managers Applicants must have full-time senior executives，Normally，

Require

The person in charge of risk control is a full-time person。 Resumes for executives and employees，Associations are also increasingly emphasizing professional backgrounds。Shenzhen private equity fund manager registration For applicants whose main executives and employees are people with non-investment fields or related industry backgrounds，The association will pay careful attention to，

Require

Discuss whether it can meet the professional requirements

Require

。

in practice，There are individual applicants who are piecing together the number of employees.，Joined some junior high schools、Employees with a high school degree，Or people without any relevant industry background，Can this type of applicant be approved for registration?，There is high uncertainty。 Business scope According to current guidance

Require

and practice，

Require

The applicant’s name and business scope reflect the business type，There are related words such as "investment management" or "fund management"。

Such as engaging in securities private equity fund management，The applicant’s name is “Equity Investment Management”，will be associated with

Require

Change name，at the same time，证券基金管理人的名称和经营范围应不包含“投资咨询”； If you are a private equity fund manager，经营范围包含“投资咨询”、“企业管理咨询”是允许的。 Tips：It is recommended that the business scope be purer，Keep "Investment Management" only、"asset Management"。

The actual controller is based on the current association’s

Require

，The applicant should have an actual controller，Can be jointly controlled by multiple actual controllers。 According to the relevant provisions of the new system operation manual：“The actual controller refers to shareholders or natural persons who can actually control the behavior of the enterprise.、Legal person or other organization”。

When operating within a new system，For the actual controller part，The system prompts "The actual controller should be traced back to the * natural person、State-owned holding enterprises or collective enterprises、listed company、Overseas institutions subject to the supervision of foreign financial regulatory authorities”。 therefore，Traceable to state-owned holding enterprises or collective enterprises、listed company、Overseas institutions that are supervised by foreign financial regulatory authorities can be recognized by the association as actual controllers.，Can no longer trace upwards。

Applicant related party association

Require

Full disclosure of related party information，Related parties refer to financial enterprises controlled by the same controlling shareholder/actual controller、Asset management institutions or related service institutions； For situations where listed companies or group companies are controlling shareholders or actual controllers，There is no looser disclosure standard。

If the related party has not been registered with the association but its name or business scope contains words related to "investment management"，The association will

Require

Disclose the actual business conditions of such related parties，The next step is to do private equity business，but

Require

Commitment to filing in the future； Related parties exist to engage in credit、P2P and other businesses，Lawyers should advise whether the applicant and related parties (from personnel、place、business dealings, etc.) are completely isolated and express opinions in legal opinions.。

For manager controlling shareholders、The actual controller changes，A lawyer should issue a special legal opinion，and make system changes。 In this case，

Require

Regarding the new controlling shareholder、The actual controller’s related party information is disclosed in the legal opinion.，And at the same time update the manager’s related party information in the association registration system。

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