(1) The registered address and actual business place of the company
1. The fund industry association allows the actual business premises of private equity institutions to be inconsistent with the registered address, but it should fully explain the rationality of the division;
2. The office space should be independent, and the appearance photos and front desk photos of the office building should be uploaded to the fund industry association.
(2) The business scope and main business of the enterprise
1. The name and business scope of the applicant institution shall include the words "fund management", "investment management", "asset management", "equity investment" and "venture capital";
2. If the convention and exhibition industry has been actually carried out before the application, it shall explain the specific situation of the convention and exhibition industry, especially the risks that may affect the future convention and exhibition industry;
3. If there is investment with its own funds, it shall ensure that the private equity fund property and the private equity fund manager's own property operate independently and be accounted for separately;
4. It shall follow the principle of specialized operation, and its main business shall be clear, and it shall not concurrently engage in other businesses that have nothing to do with private equity fund management or have conflicts of interest.
(III) Paid-in amount of registered capital of the company
The paid-in proportion shall not be less than 25% of the total registered capital, and the proposed paid-in capital contribution shall be greater than the applicant's daily operating expenses such as labor wages and rent for six months.
(4) investors and actual controllers of the enterprise
1. Investors should not engage in activities that may conflict with private equity business at the same time;
2. Investors and actual controllers shall not be asset management products;
3. Investors shall contribute capital in monetary property;
4. The investor shall ensure that the source of funds is true and legal, and is not dominated by any third party;
5. The applicant shall ensure that the ownership structure is clear and there is no holding situation;
6. The investor shall have the capital contribution capacity matching the capital contribution subscribed by him, and provide corresponding certification materials;
7. There should be no excessive ownership structure, revolving capital contribution and cross-shareholding;
8. The stability of equity should be ensured. Where there is a change of equity within one year before the application for registration, the applicant shall explain in detail the reasons for the change.
(5) Senior management personnel
1. Obtain the qualification of fund practice;
2. Sign a labor contract with the employment agency, and the social security shall be paid by the employment agency;
3. The senior management responsible for compliance/risk control of private placement shall independently perform the functions of supervision, inspection, evaluation, reporting and suggestion of internal control, and bear relevant responsibilities for the failure of internal control caused by dereliction of duty;
4. The senior management responsible for investment of the applicant institution shall have the corresponding investment ability;
5. Except the legal representative, other senior managers of private equity fund managers shall not hold part-time jobs in principle; If you have a part-time job, you should provide relevant certification materials on the rationality of the part-time job (including but not limited to the rationality and competence of the part-time job, how to treat customers fairly, whether it violates the non-competition regulations, etc.). ), and the number of part-time executives is not higher than 65,438+0/2 of the total number of senior executives of the applicant institution;
6. Private fund managers and part-time executives should allocate their work energy reasonably;
7. The Association will focus on the reasons for the change and the integrity of private placement executives who have changed their employment agencies more than twice in one year.
(6) Other employees
1. The total number of employees of the applicant institution shall not be less than 5, and the general employees of the applicant institution shall not work part-time;
2. Employees shall abide by the principle of non-competition and shall not engage in activities that may have conflicts of interest with private equity business at the same time;
3. A labor contract shall be signed with the applicant, and the social security shall be paid by the applicant.
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