Port communicationWhat basic systems do institutions need to establish when registering private equity fund managers?
answer：Private equity fund managers should refer to the "Internal Control Guidelines for Private Equity Fund Managers" issued by the Association、The "Guidelines for Legal Opinions on Registration of Private Equity Fund Managers" and other regulations are formulated and uploaded to relevant systems.，System documents include but are not limited to (depending on the specific business type) operational risk control system、information disclosure system、Internal transaction recording system、Guard against 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、Recruitment-related regulatory systems，and the fair trading system applicable to private securities investment fund business、Securities reporting system for practitioners, etc.。
also，In the legal opinion, the law firm should issue an opinion on whether the system has the realistic basis and conditions for effective implementation based on the actual situation of the company.。For example，Whether the establishment of relevant systems matches the existing organizational structure and staffing of the institution，Whether it meets the actual needs of the organization’s operations, etc.。
If the existing organizational structure and staffing of private equity fund managers make it difficult for them to fully implement relevant systems independently and effectively，The organization may consider purchasing the services of an outsourcing service agency，including law firms、Professional services such as accounting firms。
The association encourages private equity fund managers to consider their own actual operating conditions，Professional outsourcing services by choosing a private equity fund outsourcing service agency registered with the association，Achieve the goals of the institution’s risk management and internal control systems，Reduce operating costs，Improve core competitiveness。If the above situation exists，Please apply for registration as a private equity fund manager，Submit an outsourcing service agreement or a letter of intent for an outsourcing service agreement at the same time。
5、Will the registration and filing be affected if the registration place of the applicant institution and the actual business location are not in the same administrative region? answer：The registration place of the applicant organization and the actual business location are not in the same administrative region，Does not affect private equity fund manager registration。However, the applicant organization should truthfully fill in relevant matters.，Law firms are required to make relevant factual statements，State the place of business of the manager、The respective places of registration，Whether it is indeed operated in the actual place of business, etc.。
▌私募基金备案1、Private equity fund managers who have registered but have not yet registered private equity fund products，What are the registration procedures for applying for registration of a private equity fund for the first time?
answer：According to the "Announcement on Further Regulating Certain Matters concerning the Registration of Private Equity Fund Managers"
Require
，Private fund managers who have registered before the "Announcement" and have not yet registered private fund products，The "Legal Opinion on Registration of Private Equity Fund Manager" should be submitted before applying for registration of private equity fund products for the first time.，After the submitted legal opinion is approved,，Submit private equity fund registration according to normal procedures。
2、How to determine the qualified investor standards of private equity funds?answer：According to the "Interim Measures for the Supervision and Administration of Private Investment Funds"，Qualified investors of private equity funds refer to those who have corresponding risk identification capabilities and risk-taking capabilities，Units and individuals who invest no less than 1 million yuan in a single private equity fund and meet the following relevant standards：(1) Units with net assets of not less than 10 million yuan；(2) Individuals whose financial assets are not less than 3 million yuan or whose average annual income in the past three years is not less than 500,000 yuan。
The financial assets mentioned in the preceding paragraph include bank deposits、stock、bond、Fund shares、Asset Management Plan、Bank financial products、trust plan、insurance products、Futures rights, etc.。
According to the relevant provisions of Article 13 of the "Interim Measures for the Supervision and Administration of Private Investment Funds"，The following investors are considered qualified investors：(1) Social security fund、Enterprise annuities and other pension funds，Charitable funds and other social welfare funds；(2) Investment plans established in accordance with the law and registered with the Asset Management Association of China；(3) Private equity fund managers and their employees who invest in the private equity funds they manage；(4) Other investors specified by the China Securities Regulatory Commission。
as a partnership、Contract and other unincorporated forms，Directly or indirectly invest in private equity funds by pooling funds from a majority of investors，Private equity fund managers or private equity fund sales agencies should conduct thorough verification to see whether the final investor is a qualified investor.，And combined to calculate the number of investors。
but，Comply with paragraph (1) of this article、(two)、Investors specified in item (4) invest in private equity funds，No more thorough verification of whether the final investor is a qualified investor and a consolidated calculation of the number of investors。
About Hong Kong Xintong
Hong Kong Xintong focuses onGuangdong and Hong Kong license plates、Shenzhen Hazardous Chemicals Business License、Shenzhen labor dispatch licenseandShenzhen Charity Foundationapplication services，Assist customers to applyShenzhen travel agency business license、Shenzhen pawn shop business license、Shenzhen auction house license and other mainstream domestic financial licenses，Support enterprises to achieve compliance expansion of cross-border financial business。Also availableODI overseas investment registration、International travel agency registration and other services，Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more，Please contactHong Kong Information Communications Consultant。
