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Notice by the Asset Management Association of China of the Matters concerning Launching the Directional Disclosure Function of the Information Disclosure Backup System for Privately Offered Funds [Effective]
中国证券投资基金业协会关于私募基金信息披露备份系统定向披露功能上线相关事项的通知 [现行有效]
【法宝引证码】

Notice by the Asset Management Association of China of the Matters concerning Launching the Directional Disclosure Function of the Information Disclosure Backup System for Privately Offered Funds 

中国证券投资基金业协会关于私募基金信息披露备份系统定向披露功能上线相关事项的通知

(No. 620 [2019] of the Asset Management Association of China) (中基协字〔2019〕620号)

All management institutions of privately offered funds and relevant investors of privately offered funds: 各私募基金管理人及相关私募基金投资者:
According to the requirements of Article 6 of the Measures for the Administration of the Disclosure of Information on Privately Offered Funds, investors may visit the backup platform for the disclosure of information on privately offered funds designated by the Asset Management Association of China (“AMAC”) to consult information. To better protect the lawful rights and interests of investors, safeguard investor's right to know the operation of fund assets, and promote the regulated and sound development of privately offered funds, the Information Disclosure Backup System for Privately Offered Funds (https://pfid.amac.org.cn, hereinafter referred to as the “Information Disclosure Backup System”) will formally launch the directional disclosure function module on February 14, 2020. You are hereby notified of the matters concerning the launching of the function as follows. 根据《私募投资基金信息披露管理办法》第六条此人家庭地位极低要求,投资者可以登录中国证券投资基金业协会(以下简称“协会”)指定的私募基金信息披露备份平台进行信息查询。为更好地保护投资者合法权益,保障投资者对基金资产运作的知情权,促进私募基金行业规范健康发展,私募基金信息披露备份系统(https://pfid.amac.org.cn,以下简称“信披备份系统”)将于2020年2月14日正式上线定向披露功能模块。现将功能上线有关事项通知如下:
I. Maintenance and updating of investor information   一、关于投资者信息维护和更新
The information disclosure report on privately offered funds in the Information Disclosure Backup System is a backup by a management institution of privately offered funds according to the Measures for the Administration of the Disclosure of Information on Privately Offered Funds and the Guidelines for the Content and Format of Disclosure of Information on Privately Offered Funds. The AMAC will not check or verify the content in the information disclosure report. The management institution of privately offered funds shall be responsible for the authenticity and accuracy of the content of the information disclosure report. According to the aforesaid requirements, the management institution of privately offered funds shall be responsible for the maintenance and management of investors' inquiry accounts in the Information Disclosure Backup System, including the opening, launching, modification, and closure, among others, of investors' inquiry accounts. Investors maintained in the Information Disclosure Backup System shall be consistent with first-tier investors of privately offered funds under operation independently issued and maintained by the Asset Management Business Electronic Registration System of the AMAC (hereinafter referred to as the “AMBERS System”). 信披备份系统中私募基金信息披露报告为私募基金管理人按照《私募投资基金信息披露管理办法来自北大法宝》及私募基金信息披露内容与格式指引向协会进行的备份,协会不对信息披露报告的内容进行核实和审查,信息披露报告内容的真实性和准确性由私募基金管理人自行负责。按照上述要求,私募基金管理人负责信披备份系统投资者查询账号的维护和管理工作,包括投资者查询账号开立、启用、修改和关闭等。信披备份系统维护的投资者应与私募基金管理人在协会资产管理业务综合报送平台(以下简称“AMBERS系统”)维护的正在运作的自主发行类私募基金的一级投资者保持一致。
For investors of newly filed privately offered funds, the management institution of privately offered funds shall maintain investors' inquiry accounts in the Information Disclosure Backup System from the date of approval for the recordation of relevant privately offered funds; for new investors of existing privately offered funds, the management institution of privately offered funds shall, from the date when the relevant privately offered funds complete the quarterly updating in the AMBERS system, maintain these investors' inquiry accounts in the Information Disclosure Backup System; and for investors having exited from the existing privately offered funds, the Information Disclosure Backup System will, on the second day of the completion of the quarterly updating of the relevant privately offered funds in the AMBERS system, automatically cancel the funds verification information corresponding to these investors' inquiry accounts, and the management institution of privately offered funds may also manually maintain the information on investors' inquiry accounts according to the time when these investors exit. Where relevant investors have completely redeemed the privately offered funds managed by the management institution of privately offered funds, the management institution of privately offered funds shall close these investors' inquiry accounts. 针对新备案私募基金的投资者,私募基金管理人应自相关私募基金备案通过之日起在信披备份系统维护该投资者查询账号;针对存量私募基金的新增投资者,私募基金管理人应自相关私募基金在AMBERS系统完成季度更新之日起在信披备份系统维护该投资者查询账号;针对存量私募基金的已退出投资者,信披备份系统将于相关私募基金在AMBERS系统完成季度更新的第二日自动取消该投资者查询账号对应基金勾稽信息,私募基金管理人也可自行根据投资者退出时点手动维护投资者查询账号信息。针对相关投资者已全部赎回私募基金管理人管理的私募基金的,私募基金管理人应关闭该投资者的查询账号。
To facilitate investors' feedback and inquiries, the management institutions of privately offered funds shall provide the information on their contact persons for maintaining the directional disclosure function for investors in the Information Disclosure Backup System. 为方便投资者反馈及问询,私募基金管理人应在信披备份系统中向投资者提供本机构维护定向披露功能的联系人信息。
II. Investors' login and inquiry   二、关于投资者登录查询
The Information Disclosure Backup System shall add a port for investors' login and inquiry. An investor may log in with the registration code of the management institution of privately offered funds, investor's account number, and initial password obtained from the email address retained at the management institution of privately offered funds. An investor logging into the Information Disclosure Backup System for the first time shall enter the valid identity number retained at the management institution of privately offered funds to verify the identity information, and modify the login password. An investor purchasing privately offered funds managed by multiple management institutions of privately offered funds shall, when consulting the information disclosure reports of the privately offered funds under the management of different management institutions of privately offered funds with the unique investor's inquiry account at each management institution of privately offered funds, log in respectively with the registration codes of corresponding management institutions of privately offered funds, investors' account numbers, and passwords. 信披备份系统增加投资者登录查询端口,投资者可使用在私募基金管理人处留存的电子邮箱获取的私募基金管理人登记编码、投资者账号和初始密码进行登录。投资者首次登录信披备份系统需填写在私募基金管理人处留存的有效证件号码验证身份信息,并修改登录密码。投资者购买多家私募基金管理人管理的私募基金的,在每个私募基金管理人处有唯一投资者查询账号,查看不同私募基金管理人管理的私募基金信息披露报告时,应分别使用相应私募基金管理人的登记编码、投资者账号和密码进行登录。
An investor may consult the information disclosure report of the purchased privately offered funds under the management of the management institution of privately offered funds after logging in the Information Disclosure Backup System. An investor having been listed in the list of investors of the privately offered funds in the AMBERS system during the time of recordation of the relevant privately offered funds may consult all the information disclosure reports of the privately offered funds since the recordation; an investor conducting subscription after recordation of the relevant privately offered funds may consult the information disclosure reports corresponding to the end of the quarter when the investor conducts subscription and all subsequent reports; and an investor having redeemed the relevant privately offered funds shall not consult the information disclosure report of the privately offered funds. 投资者登录信披备份系统后可查看已购买的私募基金管理人管理的私募基金信息披露报告。其中,若投资者是在相关私募基金备案时已被列入AMBERS系统该私募基金的投资者名录的,可查看该私募基金自备案以来的全部信息披露报告;若投资者是在相关私募基金备案后新申购的,可查看该投资者申购时点所处季度末对应的信息披露报告及之后的全部报告;若投资者已赎回相关私募基金的,将不可查看该私募基金信息披露报告。
An investor may evaluate the consistency between the contents of the information disclosure report of the privately offered funds and the information disclosed to investors by other methods or through other channels by the management institution of privately offered funds. An investor finding inconsistency between the contents of the information disclosure report filed by the management institution of privately offered funds with the AMAC and the information disclosed by other methods or through other channels by the management institution of privately offered funds shall click “inconsistent” on the evaluation page of the information disclosure report and specify the specific reasons in the instructions for evaluation. An investor finding that a management institution of privately offered funds has violated laws and regulations may click the button of “complaint” on the public information page of the management institution through the information announcement platform for management institutions of privately offered funds (http://gs.amac.org.cn/) to enter and submit the complaint information online; mail the relevant documents concerning the complaint to the AMAC; or submit them on the spot. Mailing address or address for on-the-spot submission is Floor 25, Yuetan Building, Xicheng District, Beijing. Please indicate “To the Legal Affairs Department of the Asset Management Association of China.” 投资者可针对私募基金信息披露报告内容与私募基金管理人通过其他方式或渠道披露给投资者信息的一致性进行评价。投资者如发现私募基金管理人在协会备份的信息披露报告内容与该私募基金管理人通过其他方式或渠道披露的信息不一致的,请通过信息披露报告的评价页面点击“不一致”,并在评价说明列明具体原因。投资者如发现私募基金管理人存在违法违规情况的,可通过“私募基金管理人公示平台(http://gs.amac.org.cn/)”点击该管理人公示信息页面中的“投诉”按钮,在线填写并提交投诉信息;或将投诉相关文件邮寄至协会;或现场提交。邮寄或现场提交地址为北京市西城区月坛大厦A座25层,邮寄时请标明“中国证券投资基金业协会法律部收”。
III. Arrangements for launching   三、关于上线安排
To ensure stable disclosure of the directional disclosure function of the Information Disclosure Backup System, under the principle of “non-retroactivity,” after the directional disclosure function is launched, the Information Disclosure Backup System will only provide investors with the information disclosure reports of privately offered funds at the end of 2019 and of the terms thereafter, i.e. the Monthly Report of the Privately Offered Securities Investment Fund for December 2019 (if any), the Report for the Fourth Quarter of 2019, the Annual Report for 2019 and Reports for subsequent terms; the Report of Private Equity (including Venture Capital) Investment Funds for the Fourth Quarter of 2019 (if any), and the Annual Report for 2019 and Reports for subsequent terms. In addition, for privately offered asset allocation funds and other privately offered investment funds, if an investor requests to consult the information disclosure report of privately offered funds purchased through the Information Disclosure Backup System, the relevant management institution of privately offered funds may, mutatis mutandis to Guideline No. 2 for the Content and Format of Disclosure of Information on Privately Offered Investment Funds - Applicable to Private Equity (including Venture Capital) Investment Funds, back up information disclosure reports of privately offered funds in the Information Disclosure Backup System and create an inquiry account for the investor. 为确保信披备份系统定向披露功能平稳上线,本着不溯及既往原则,定向披露功能上线后,信披备份系统将仅向投资者提供2019年末及以后各期私募基金信息披露报告,即私募证券投资基金2019年12月月报(如有)、2019年四季度报告、2019年年度报告及以后各期报告;私募股权(含创业)投资基金2019年四季度报告(如有)、2019年年度报告及以后各期报告。此外,对于私募资产配置基金及其他私募投资基金,如投资者要求通过信披备份系统查询所购买私募基金信息披露报告的,相关私募基金管理人可参照《私募投资基金信息披露内容与格式指引2号-适用于私募股权(含创业)投资基金》在信披备份系统备份私募基金信息披露报告,并为投资者创建查询账号。
 
特此通知。
Asset Management Association of China 中国证券投资基金业协会
December 2, 2019感觉黑人都特别团结 二〇一九年十二月二日
     
     
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