After more than a year's practice, the Association issued a series of questions and answers, guidelines, organized training, and arranged for law firms and managers' representatives to answer questions, so that private fund managers, law firms and other intermediaries had a deeper understanding of the requirements for managers and private fund filing. The Association encourages and supports the registration of high-quality private fund managers, and is cautious about applicants with weak qualifications and low degree of specialization.
I. Qualification of senior management personnel
There must be at least two senior managers with fund qualification, among whom the legal representative must be qualified, and one of the general manager and the person in charge of risk control must be qualified.
Executives must be natural persons who have registered their qualifications or personal information in the Employee Management System.
Second, the scope of business
Just follow the above registration requirements.
Three. registered capital
The paid-in capital can guarantee the company's operation for more than 6 months, which is better than the registered capital of 25% and 3 million.
Fourth, the office conditions
Need to have an actual office address, more than 200 square meters, to meet the normal work of all employees of the company, as well as suitable office equipment. According to the new revision notice of China Foundation Association, the system needs to upload the picture of the office building where the institution is located and the picture of the institution's front desk.
Verb (short for verb) employee
There are more than 65,438+00 employees (less than 5 with certificates), and the organizational structure is: general manager, investment department, risk control department, marketing department, personnel administration department, finance department, etc. , each with 1-2 employees, including general manager, risk control director and investment manager.
Intransitive verb mechanism document
According to the regulatory requirements and the company's own situation, there are about 20 institutional documents, and the necessary system of the association is 9- 1 1.
The following documents are required:
1. Risk control management system
2. Information disclosure affairs management system
3. Fund promotion and fund raising management system
4.QFII risk disclosure system
5. The internal examination and approval process system of qualified investors
6. Internal transaction record system
7. Invest in the trading system to prevent insider trading and conflicts of interest.
8. Employee securities trading declaration system
9. Fair trade system
10. Internal control management system
Seven, license plate type
At present, there are private equity funds, private equity funds, private equity funds, private equity funds, venture capital funds, venture capital funds, other private equity funds and other private equity funds. Choose one or more according to your actual needs, apply for only one according to the requirements of the new answer 13 of the association, and rectify the previous multi-type licenses.
So, choose one out of three.
Eight, the lawyer issued a legal opinion.
Hire a professional law firm to conduct due diligence, complete legal opinions according to the requirements of the association, and submit them when the private fund manager system applies for a license.
Nine, apply for a permit to implement the filing system.
Apply for private fund manager's account filing, complete online data entry and keep consistent with the contents of legal opinions, and upload legal opinions.
Associative feedback
If the association has any questions, it will feed them back to the administrator's mailbox, and the administrator will make rectification according to the feedback, and ask the law firm to submit supplementary legal opinions together.
XI. The Association passed the examination and obtained the license of private fund manager.
After the association passed the examination, it sent an email to the administrator's mailbox, and the private placement was successfully filed.