1. Engaged in private equity investment (including venture capital) for 6 years or more, and participated in and successfully withdrew from at least two projects;
2. Being a senior manager of a listed company or a large or medium-sized enterprise with paid-in capital of not less than 10 billion yuan, and having worked for 12 years or more;
3. Senior managers engaged in economic and social management 12 years or above;
4. Engaged in teaching and research work in economics, finance and other related majors in institutions of higher learning and scientific research institutions 12 years or above, and obtained the title of professor or researcher.
Meet one of the above conditions, institutions or individuals shall submit the following materials to China Asset Management Association:
(1) An application for personal qualification;
(2) personal basic information registration form;
(3) Relevant certification materials:
1. If one of the above conditions is met, a certificate of successful withdrawal from participating in the project and two letters of recommendation signed by celebrities in the industry shall be submitted, and the position and contact information of the recommender shall be attached to the letter of recommendation;
2. In line with the above condition 2, relevant certificates of enterprises and individuals and two letters of recommendation signed by industry celebrities shall be submitted, and the letters of recommendation shall be accompanied by the position and contact information of the recommender;
3. If the above three conditions are met, a certificate issued by the relevant organization department shall be submitted;
4. Those who meet the above four conditions need to submit relevant qualification certificates and two letters of recommendation signed by industry celebrities, and the letters of recommendation should be accompanied by the position and contact information of the recommender.
Composition and working mechanism of the review committee: The review committee is composed of directors (excluding non-member directors) of China Asset Management Association, supervisors and members of relevant professional committees of private equity funds. Seven members are randomly selected from the above-mentioned members at a time to form an evaluation team, and the members of the evaluation team vote on the applicants for qualification evaluation according to the principle of simple majority. Voters, referees and qualification results will be publicized to the public through the employee information publicity platform on the website of China Asset Management Association.
The above-mentioned materials related to the qualification application shall be submitted to the special mailbox for the qualification management of private placement senior managers of the Association in electronic form, and the mailbox is smrygl@amac.org.cn.
Q: What are the conditions for private fund managers and senior managers to apply for fund qualification? They only need to pass the examination of subject 1, fund laws and regulations, professional ethics and business norms? What materials need to be submitted?
A: Senior managers of private equity fund managers who meet one of the following conditions and pass the subject 1 exam can apply for fund qualification:
1. Engaged in asset management-related business in the last three years, with the average annual scale of assets under management above 6,543,800,000 yuan;
2. Pass the financial qualification examinations such as securities qualification (excluding securities investment funds, securities issuance and underwriting subjects), futures qualification, banking qualification, chartered financial analyst (CFA), or obtain the qualification of certified public accountant, legal professional qualification, asset appraiser, or serve as a director, supervisor or senior manager of a listed company;
If one of the above conditions is met, the institution or individual shall submit to China Asset Management Association the certificate of asset management scale in the last three years issued by the fund custodian (fund custodian department) or fund service institution, or the relevant qualification certificate or certificate.
The above-mentioned materials related to applying for qualification identification are submitted in electronic form through the qualification identification file uploading port of the private equity fund registration and filing system.
Q: What subjects can senior managers of private equity investment fund managers (including venture capital fund managers) pass the securities qualification examination to determine the fund qualification?
Answer: 1. According to the provisions of the Notice on Matters Related to the Qualification Examination of Funds (CJZ [20 15]12), those who passed the examination of securities investment funds organized by China Securities Association before February 2015 need to take the examination again.
2. Anyone who has passed the examinations of "Basic Knowledge of Securities Market" and "Securities Investment Fund" organized by China Securities Industry Association before 20 15 and 12, or passed the examinations of "Basic Knowledge of Securities Market" and "Securities Issuance and Underwriting" may directly apply to China Asset Management Association for the qualification of registered fund.
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