All kinds of private fund managers engaged in non-private securities investment fund business shall have at least two senior executives who have obtained the qualification of fund practice, and their legal representatives \ executive partners (appointed representatives) and compliance \ risk control leaders have obtained the qualification of fund practice. Compliance \ The person in charge of risk control of various private equity fund managers shall not engage in investment business.
Extended data:
Main features:
Implement post-event registration and filing, and carry out industry self-discipline management. The self-discipline management of private equity funds takes information disclosure as the core and honesty and trustworthiness as the basis.
First, the registration of private equity funds is not an administrative license, and the fund industry association does not conduct substantive prior review of the registration materials provided by private equity fund managers. The private fund manager promises to bear legal responsibility for the authenticity, accuracy and completeness of the information provided.
Second, the fund industry association will publicize the basic information of managers, funds and employees and accept social supervision. If the public finds that fund managers provide false information or violate laws and regulations, they can report complaints to fund industry associations by telephone, fax, mail and letter.
The association will take self-discipline measures for acts that violate self-discipline rules such as providing false information. If the circumstances are serious or suspected of violating the law, it will be handed over to the CSRC for handling;
The third is to establish the credit files of private fund managers and their employees, track and record their credit information, and establish the credit system of private fund industry.
Baidu Encyclopedia-Measures for the Registration and Filing of Private Investment Funds