| Notice of the Asset Management Association of China on Issuing a Series of Self-regulation Rules Including the Detailed Working Rules on the Due Diligence Investigation into the Asset Securitization Business of Public-Private-Partnership (PPP) Projects | | 中国证券投资基金业协会关于发布《政府和社会资本合作（PPP）项目资产证券化业务尽职调查工作细则》等系列自律规则的通知 |
| (No. 292 [2019] of the Asset Management Association of China) | | （中基协字〔2019〕292号） |
| All relevant entities: | | 各相关单位： |
| For the purposes of further improving the business rules system, regulating and directing the due diligence investigation into asset securitization business, and improving the quality of the due diligence investigation work, according to the Provisions on the Administration of the Asset Securitization Business of Securities Companies and the Subsidiaries of Fund Management Companies (hereinafter referred to as the “Provisions on the Administration”), the Guidelines for the Due Diligence Investigation into the Asset Securitization Business of Securities Companies and the Subsidiaries of Fund Management Companies (hereinafter referred to as the “Guidelines for the Due Diligence Investigation”), and the Guidelines for the Risk Control of the Asset Securitization Business (hereinafter referred to as the “Guidelines for Risk Control”), the Asset Management Association of China (“AMAC”) has studied and developed a series of self-regulation rules including the Detailed Working Rules on the Due Diligence Investigation into the Asset Securitization Business of Public-Private-Partnership (PPP) Projects, which are hereby issued for your compliance and implementation with the consent of the China Securities Regulatory Commission and upon deliberation and adoption by the council of the AMAC. | | 为进一步完善业务规则体系，规范和指导资产证券化业务的尽职调查工作，提高尽职调查工作质量，根据中国证监会《证券公司及基金管理公司子公司资产证券化业务管理规定》（以下简称《管理规定》）《证券公司及基金管理公司子公司资产证券化业务尽职调查工作指引》（以下简称《尽调指引》）《资产证券化业务风险控制指引》（以下简称《风控指引》）以及其他有关规定，中国证券投资基金业协会（以下简称“协会”）研究制定了《政府和社会资本合作（PPP）项目资产证券化业务尽职调查工作细则》等系列自律规则，经中国证监会同意及协会理事会审议通过，现予发布实施，请遵照执行。 |
| I. The detailed working rules on the due diligence investigation into three underlying assets including PPP projects, accounts receivables of enterprises, and creditor's rights of financing lease are issued herein, and subsequently detailed working rules for the due diligence investigation into other general categories of assets will be developed and issued under the principle of “developing rules for a category of mature business.” | | 一、此次发布PPP项目、企业应收账款、融资租赁债权等三类基础资产的尽职调查工作细则，后续按照“成熟一类制定一类”的原则制定、发布其他大类资产尽职调查工作细则。 |
| II. The provisions of these Detailed Rules are the minimum requirements for the due diligence investigation into the asset securitization business and all relevant institutions may develop more detailed and rigorous rules. The due diligence investigation into the investment subject matter of privately-offered funds products whose privately-offered fund managers have been registered shall be governed, mutatis mutandis by, these Detailed Rules. | | 二、本细则的规定是资产证券化业务尽职调查工作的最低要求，各相关机构可在此基础上制定更为细化、标准更高的制度。已登记私募基金管理人的私募基金产品投资标的涉及相关基础资产的，其尽职调查工作参照本细则执行。 |
III. The due diligence investigation into the asset securitization business shall satisfy the following principles and standards:
．．．．．． | | 三、对资产证券化业务的尽职调查工作应满足如下原则和标准：
．．．．．． |
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