(1) Significant changes have taken place in the fund contract;
(two) the number of investors exceeds the provisions of laws and regulations;
(3) fund liquidation or liquidation;
(4) The manager and fund custodian of the private placement fund have changed;
(5) Other events that have a significant impact on the continuous operation of the fund, the interests of investors and the net asset value.
First, what is a major change?
Major event changes refer to changes in the qualification certificate of the manager and related contents, major violations of laws and regulations, changes in the types and business of major investment funds, changes in senior managers/fund managers, changes in actual controllers, changes in shareholders/partners, legal dissolution, cancellation and bankruptcy of the manager, etc.
Second, what are the major changes?
Changes of subject qualification documents and related contents
A. Change the business license with three certificates in one/five certificates in one
B. Change of manager's name
C. the manager increases or decreases the capital and changes the paid-in capital.
D, change the manager's institutional nature and organizational form
E. change the registered address and business scope of the administrator.
F, change the legal representative (issue special legal opinions)
Changes in the manager's legal compliance and integrity
A, in the last three years, have you been punished by L, L and L?
B. Have you been punished by the CSRC in the last three years?
C, in the last three years, has China Securities Regulatory Commission taken measures of L administration, L supervision and L management?
D have you been punished by other regulatory authorities in the last three years?
E. Has the fund industry association adopted self-discipline measures in the last three years?
F have measures been taken by other self-regulatory organizations in the last three years?
G. Whether litigation or arbitration against L has been involved in the last three years.
Change of organization type and business type
According to the principle of professional management, the "Organization Type" cannot be changed after registration. If you need to modify the "organization type", please "cancel" and re-apply after canceling the private fund manager. However, business types can still be changed within the scope of acquisition. For example, the type of business that the manager applied for at that time was "private equity investment fund and private equity investment FOF fund; Venture capital fund, venture capital FOF fund ",then he can be changed to" private equity investment fund, venture capital FOF fund ".
A. Institutional types: "Private Equity Investment Fund Manager", "Private Equity (Venture) Investment Fund" and "Private Other Investment Fund"
B business type: "private equity investment fund, private equity investment FOF fund", "private equity investment fund, private equity investment FOF fund"; Venture capital fund, venture capital FOF fund ","other private investment funds, other private investment FOF funds ".