| Announcement of the Asset Management Association of China on the Several Issues of Further Regulating the Registration of Privately Offered Fund Management Institutions | | 中国基金业协会关于进一步规范私募基金管理人登记若干事项的公告 |
| (No. 4 [2016] of the Asset Management Association of China) | | （中基协发〔2016〕4号） |
| As required by the Securities Investment Fund Law, the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds, and relevant notices of the State Commission Office for Public Sector Reform, the Asset Management Association of China (“AMAC”) officially launched the registration of privately offered fund management institutions, the recordation of privately offered funds, and self-discipline management from February 7, 2014. Over the last two years, the privately offered fund registration and recordation system has been widely recognized in the industry and by the public. In the rapidly developing privately offered fund industry, a good faith-based self-discipline regulatory system with information disclosure as the core has been initially formed. | | 根据《证券投资基金法》、《私募投资基金监督管理暂行办法》和中央编办相关通知要求，中国证券投资基金业协会（以下简称中国基金业协会）自2014年2月7日起正式开展私募基金管理人登记、私募基金备案和自律管理工作。两年来，私募基金登记备案制度得到行业和社会的广泛认同，私募基金行业发展迅速，初步形成了以信息披露为核心，诚实信用为基础的自律监管体制。 |
| During a period of time, the problems in the privately offered fund industry have attracted extensive attention of all social sectors and the regulatory institutions. Numerous good and bad privately offered fund management institutions are intermingled. Some institutions abuse registration and recordation information to illegally enhance credit for themselves. Some institutions have weak consciousness of regulation-compliant operation and information reporting. And some institutions even conduct public offering, insider trading, illegal fund-raising in the name of privately offered fund, and other activities violating laws and rules. For addressing the aforesaid problems and from the working practice of the registration of privately offered fund management institutions over the two years, to effectively protect the lawful rights and interests of investors, urge privately offered fund management institutions to fulfill the agents' obligations of honesty, credibility, cautiousness, and diligence, and promote the standard and sound development of the privately offered fund industry, relevant issues on further regulating the registration of privately offered fund management institutions are announced as follows: | | 一段时间以来，私募基金行业存在的问题倍受社会各界和监管机构关注。私募基金管理人数量众多、鱼龙混杂、良莠不齐，一些机构滥用登记备案信息非法自我增信，一些机构合规运作和信息报告意识淡薄，一些机构甚至从事公开募集、内幕交易、以私募基金为名的非法集资等违法违规活动。从上述问题和两年来私募基金管理人登记的工作实践出发，为切实保护投资者合法权益，督促私募基金管理人履行诚实信用、谨慎勤勉的受托人义务，促进私募基金行业规范健康发展，现就进一步规范私募基金管理人登记相关事项公告如下： |
| I. On cancelling the certificates of registration of privately offered fund management institutions | | 一、关于取消私募基金管理人登记证明 |
| Since the privately offered fund registration and recordation information sharing mechanism has been basically established, to strengthen the social supervision of the privately offered fund industry and realize effective and dynamic management of the registration of privately offered fund management institutions, the AMAC shall no longer issue electronic certificates for the registration of privately offered fund management institutions, from the date of issuing the announcement. The paper certificates of registration of privately offered fund management institutions and the electronic certificates of registration of privately offered fund management institutions previously issued by the AMAC shall no longer be the certificates for the handling of relevant business. According to the provisions of the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds and the Measures for the Registration of Privately Offered Investment Fund Management Institutions and Fund Recordation (for Trial Implementation), the AMAC shall, by publicizing the basic information on privately offered fund management institutions at its official website, handle the registration formalities for privately offered fund management institutions. | | 鉴于私募基金登记备案信息共享机制已基本建成，为加强对私募基金行业的社会监督，实现对私募基金管理人登记的有效、动态管理，自本公告发布之日起，中国基金业协会不再出具私募基金管理人登记电子证明。中国基金业协会此前发放的纸质私募基金管理人登记证书、私募基金管理人登记电子证明不再作为办理相关业务的证明文件。根据《私募投资基金监督管理暂行办法》和《私募投资基金管理人登记和基金备案办法（试行）》的规定，中国基金业协会以通过协会官方网站公示私募基金管理人基本情况的方式，为私募基金管理人办结登记手续。 |
| For the latest information on registration and recordation of privately offered fund management institutions, the real-time basic information on the registration of privately offered fund management institutions publicized on the Privately Offered Fund Management Institutions Publication Platform (http://gs.amac.org.cn) at the website of the AMAC and in the app of “Privately Offered Funds Collection” shall prevail. The public and investors may inquire about relevant information from the aforesaid two official channels. | | 私募基金管理人登记备案最新情况，以中国基金业协会网站“私募基金管理人公示平台（http：//gs.amac.org.cn）”和“私募汇”手机APP客户端公示的私募基金管理人登记的实时基本情况为准。社会公众和投资者可通过上述两个官方渠道查询相关信息。 |
| II. Relevant requirements on strengthening information submission | | 二、关于加强信息报送的相关要求 |
| 1. Privately offered fund management institutions shall timely handle recordation of privately offered funds according to the law. | | （一）私募基金管理人应当依法及时备案私募基金 |
| To realize effective supervision of privately offered fund management institutions, and urge registered privately offered fund management institutions to engage in business according to the law and handle recordation of privately offered fund products, the AMAC has put forward the following requirements for privately offered fund management institutions' timely recordation of privately offered funds according to the law: | | 为实现对私募基金管理人的有效监管，督促已登记的私募基金管理人依法展业，及时备案私募基金产品，中国基金业协会对私募基金管理人依法及时备案私募基金提出以下要求： |
| (1) From the date of issuing the announcement, where a newly registered privately offered fund management institution still fails to handle the recordation of the first privately offered fund product within 6 months of the handling of the registration formalities, the AMAC shall handle deregistration formalities of the privately offered fund management institution. | | 1、 自本公告发布之日起，新登记的私募基金管理人在办结登记手续之日起6个月内仍未备案首只私募基金产品的，中国基金业协会将注销该私募基金管理人登记。 |
| (2) From the date of issuing the announcement, where a privately offered fund management institution that has handled registration formalities for 12 months but has not handled recordation formalities for the first privately offered fund product still fails to handle the recordation of the privately offered fund product before May 1, 2016, the AMAC shall handle the deregistration formalities of the privately offered fund management institution. | | 2、 自本公告发布之日起，已登记满12个月且尚未备案首只私募基金产品的私募基金管理人，在2016年5月1日前仍未备案私募基金产品的，中国基金业协会将注销该私募基金管理人登记。 |
| (3) From the date of issuing the announcement, where a privately offered fund management institution that has handled registration formalities for less than 12 months and has not handled recordation formalities for the first privately offered fund product still fails to handle the recordation of the privately offered fund product before August 1, 2016, the AMAC shall handle the deregistration formalities of the privately offered fund management institution. | | 3、 自本公告发布之日起，已登记不满12个月且尚未备案首只私募基金产品的私募基金管理人，在2016年8月1日前仍未备案私募基金产品的，中国基金业协会将注销该私募基金管理人登记。 |
| For real business needs, a privately offered fund management institution that has undergone the deregistration formalities may re-apply for the registration of privately offered fund management institution as required. For a qualified applicant, the AMAC shall, by announcing the basic information on the privately offered fund management institution at the official website, handle the registration formalities for the applicant anew. | | 被注销登记的私募基金管理人若因真实业务需要，可按要求重新申请私募基金管理人登记。对符合要求的申请机构，中国基金业协会将以在官方网站公示私募基金管理人基本情况的方式，为该申请机构再次办结登记手续。 |
| 2. Privately offered fund management institutions shall fulfill the obligations of information submission in a timely manner | | （二）私募基金管理人应当及时履行信息报送义务 |
According to the provisions of the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds and the Measures for the Registration of Privately Offered Investment Fund Management Institutions and Fund Recordation (for Trial Implementation), privately offered fund management institutions shall, through the privately offered fund registration and recordation system, timely fulfill the obligations of submitting and updating the information on the quarterly, annual, and major issues and submitting other information on the privately offered fund management institutions and the privately offered funds managed by them.
．．．．．． | | 按照《私募投资基金监督管理暂行办法》和《私募投资基金管理人登记和基金备案办法（试行）》的规定，私募基金管理人应当通过私募基金登记备案系统及时履行私募基金管理人及其管理的私募基金的季度、年度和重大事项信息报送更新等信息报送义务。
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