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私募基金管理人登记相关事项

私募基金管理人登记若干事项 律师事务所及其经办律师在《法律意见书》上的签字签章齐全,The date of issuance is clear and unambiguous。《法律意见书》及私募基金登记备案系统中律师事务所就私募基金管理人重要情况说明出具的确认函,All must be stamped with the official seal of the law firm and the seal seal.,List the name of the handling lawyer and his practicing certificate number and be signed by the handling lawyer。

seventh,Law firms and their handling lawyers should fulfill their duties,Conduct due diligence on the private equity fund manager or applicant institution diligently and responsibly,According to the "Guidelines for Legal Opinions on Registration of Private Equity Fund Managers",independent、objective、Issue a "Legal Opinion" impartially。

Private equity fund managers shall follow the relevant regulations of the “Announcement on Further Regulating Certain Matters concerning the Registration of Private Equity Fund Managers”

Require

,Fully cooperate with the law firm and its handling lawyers,Provide truthfully all information and materials required by the law firm to conduct due diligence。

3、风险和内控制度的核查

Require

*,律师事务所及其经办律师需核查申请机构是否已制定《私募基金管理人登记法律意见书指引》第四条第(八)项所提及的完整的涉及机构运营关键环节的风险管理和内部控制制度; second,需判断相关风险管理和内部控制制度是否符合基金业协会《私募投资基金管理人内部控制指引》的规定; third,需评估上述制度是否具备有效执行的现实基础和条件

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.。

4、律师事务所选聘标准 基金业协会鼓励私募基金管理人选择具备下列条件的中国律师事务所出具法律意见书: (1)内部管理规范风险控制制度健全执业水准高社会信誉良好;(2)有二十名以上执业律师, 其中五名以上曾从事过证券法律业务;(3)已经办理有效的执业责任保险;(4)*近两年未因违法执业行为受到行政处罚

5、律师选聘标准 基金业协会鼓励具备下列条件之一并且*近两年未因违法执业行为受到行政处罚的律师参与出具法律意见书: (1)*近三年从事过证券法律业务;(2)*近三年连续执业且拟与其共同承办业务的律师*近3年从事过证券法律业务;(3)*近三年连续从事证券法律领域的教学研究工作或者接受过证券法律业务的行业培训


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