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Regulatory Letter of Questions and Answers of the National Equities Exchange and Quotations on Strengthening the Recordation Management of Privately Offered Investment Funds Participating in the Business of the National Equities Exchange and Quotations [Effective]
全国中小企业股份转让系统关于加强参与全国股转系统业务的私募投资基金备案管理的监管问答函 [现行有效]
【法宝引证码】

Regulatory Letter of Questions and Answers of the National Equities Exchange and Quotations on Strengthening the Recordation Management of Privately Offered Investment Funds Participating in the Business of the National Equities Exchange and Quotations 

全国中小企业股份转让系统关于加强参与全国股转系统业务的私募投资基金备案管理的监管问答函

(March 20, 2015) (2015年3月20日)

I. In the enterprise's application for quotation, what are the specific requirements for intermediaries' checking of recordation of privately offered investment funds? Answer: For an enterprise that files an application from the date of issuance of this regulatory letter of questions and answers, the intermediary shall check whether there is any management institution of privately offered investment funds or privately offered investment fund, and whether it complies with the corresponding provisions:   一、在企业申请挂牌环节,对中介机构核查私募投资基金备案情况有何具体要求?答:自本监管问答函发布之日起申报的企业,中介机构须核查是否存在私募投资基金管理人或私募投资基金,及其是否遵守相应的规定:
(1) Where a company applying for quotation or the shareholder of a company applying for quotation falls under a management institution of privately offered investment funds or privately offered investment fund, the sponsoring broker-dealer and lawyers shall check whether it has performed registration and recordation procedures in accordance with the Securities Investment Fund Law, the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds, the Measures for the Registration of Management Institutions of Privately Offered Investment Funds and Recordation of Funds (for Trial Implementation) and other relevant provisions, and please explain the checking object, checking methods, and checking result and give opinions in the Recommendation Report and Legal Opinion respectively. 1、若申请挂牌公司或申请挂牌公司股东属于私募投资基金管理人或私募投资基金的,请主办券商及律师核查其是否按照《证券投资基金法》、《私募投资基金监督管理暂行办法》及《私募投资基金管理人登记和基金备案办法(试行)》等相关规定履行了登记备案程序,并请分别在《推荐报告》、《法律意见书》中说明核查对象、核查方式、核查结果并发表意见。
(2) Where stocks are offered when an application for quotation is filed, the sponsoring broker-dealer and lawyers shall examine whether the subscription target of the company's stocks has the management institution of privately offered investment funds or privately offered investment fund, whether it has performed registration and recordation procedures in accordance with the Securities Investment Fund Law, the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds, the Measures for the Registration of Management Institutions of Privately Offered Investment Funds and Recordation of Funds (for Trial Implementation) and other relevant provisions, and please explain the checking object, checking methods, and checking result and give opinions in the Recommendation Report, Legal Opinion or other special opinions on the stock issue respectively.
......
 2、申请挂牌同时发行股票的,请主办券商和律师核查公司股票认购对象中是否存在私募投资基金管理人或私募投资基金,是否按照《证券投资基金法》、《私募投资基金监督管理暂行办法》及《私募投资基金管理人登记和基金备案办法(试行)》等相关规定履行登记备案程序,并请分别在《推荐报告》、《法律意见书》或其他关于股票发行的专项意见中说明核查对象、核查方式、核查结果并发表意见。
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