1. The private fund manager shall complete the registration and apply to the China Foundation for the private fund manager to put on record.

2. According to the regulation of Private Equity Fund Registration and Filing System-Notes on Filling Forms for Fund Filing and Information Updating, private equity funds should fill in information and submit various materials when filing. This paper summarizes the materials that private equity funds need to submit for managers to understand and prepare in advance.

3. The filing system divides private equity products into five categories: private equity, private equity, private venture capital, other private equity funds and consultant management products. When filing, materials shall be submitted according to the fund category.

Documents to be submitted:

1. business license \ unit qualification certificate (partnership, cooperation, company fund)

2. Fund prospectus

3. Fund risk disclosure

4. Letter of Commitment from Investors

5. Proof of issuance scale (including capital verification certificate, bank statement and other investment documents, as well as certificates issued by third parties such as industrial and commercial registration materials).

6. Fund Contract/Partnership Agreement/Articles of Association

7. Entrusted management agreement (if any)

8. Fund custody agreement (if any)

9. Details of investors (including name/organization name, certificate number and actual investment amount). Funds established after 2014,21(inclusive) are required)

10. Sales Business Management System

1 1. Share registration business management system

12. Sales system test report, sales system networking test report with central data exchange platform, and sales system function description.

13. Supervision Agreement of Sales Regulator

14. test report of share registration system, test report of networking between sales system and central data exchange platform, and functional description of sales system. (If any)

15. Test report and function description of fund settlement system. (If any)

16. Supervision agreement of the share registration regulator (if any)

17. Outsourcing agreement (if any)

Private placement, as opposed to public offering, means that securities investment funds raise funds from specific investors in a non-public way and invest in securities. Private equity funds shall be raised from qualified investors, and the cumulative number of qualified investors shall not exceed 200.

Legal basis: Interim Measures for Business Management of Private Investment Funds (Draft for Comment) Article 10 Private equity funds shall be raised from qualified investors, and the cumulative number of fund share holders of a single private equity fund shall not exceed 200.