| Notice of the Asset Management Association of China on Issuing the Guidelines for the Administration of Recordation of Privately Offered Asset Management Plans of Securities and Futures Business Institutions (for Trial Implementation) | | 中国证券投资基金业协会关于发布《证券期货经营机构私募资产管理计划备案管理办法（试行）》的通知 |
| (No. 4 [2019] of the Asset Management Association of China) | | （中基协发〔2019〕4号） |
| All securities and futures business institutions and relevant institutions: | | 各证券期货经营机构及相关机构： |
| For the purposes of protecting the lawful rights and interests of investors and relevant parties, according to the work arrangements of the CSRC, the Asset Management Association of China has conducted research and developed the Measures for the Administration of Recordation of Privately Offered Asset Management Plans of Securities and Futures Business Institutions (for Trial Implementation), which have been approved by the China Securities Regulatory Commission (“CSRC”) and deliberated and adopted by the Executive Council of the Asset Management Association of China, are hereby issued and shall come into force on July 1, 2019. The Notice on Matters concerning Strengthening the Recordation of Asset Management Plans for Specific Clients of Fund Management Companies and Specialized Subsidiaries, the Notice on Matters concerning the Recordation of Asset Management Plans of Futures Companies and the Notice on Matters concerning the Recordation of Direct Investment Funds shall be repealed at the same time. | | 为保护投资者及相关当事人的合法权益，根据证监会工作部署，中国证券投资基金业协会研究制定了《证券期货经营机构私募资产管理计划备案管理办法（试行）》，经中国证监会同意及协会理事会审议通过，现予发布，自2019年7月1日起实施。《关于加强基金管理公司及专户子公司特定客户资产管理计划备案有关事项的通知》《关于期货公司资产管理计划备案相关事项的通知》《关于直投基金备案相关事项的通知》同时废止。 |
| All institutions shall report the problems discovered in the implementation of this Notice to the Asset Management Association of China in a timely manner (email: zgcpb@amac.org.cn). | | 各机构在执行本通知过程中发现的问题，请及时向协会报告（联系邮箱：zgcpb@amac.org.cn）。特此通知。 |
| Annex: Measures for the Administration of Recordation of Privately Offered Asset Management Plans of Securities and Futures Business Institutions (for Trial Implementation) | | 附件：证券期货经营机构私募资产管理计划备案管理办法（试行） |
| Asset Management Association of China | | 中国证券投资基金业协会 |
| June 3, 2019 | | 二〇一九年六月三日 |
| Measures for the Administration of Recordation of Privately Offered Asset Management Plans of Securities and Futures Business Institutions (for Trial Implementation) | | 证券期货经营机构私募资产管理计划备案管理办法（试行） |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For the purposes of protecting the lawful rights and interests of investors and relevant parties, in accordance with the Securities Investment Fund Law of the People's Republic of China, the Guiding Opinions on Regulating the Asset Management Business of Financial Institutions, the Measures for the Administration of the Privately Offered Asset Management Business of Securities and Futures Business Institutions (hereinafter referred to as the “Administrative Measures”) and the Provisions on the Administration of Operation of Privately Offered Asset Management Plans of Securities and Futures Business Institutions (hereinafter referred to as the “Operation Provisions”) and other laws and regulations and self-disciplinary rules. | | 第一条 为保护投资者及相关当事人的合法权益，根据《中华人民共和国证券投资基金法》、《关于规范金融机构资产管理业务的指导意见》、《证券期货经营机构私募资产管理业务管理办法》（以下简称《管理办法》）、《证券期货经营机构私募资产管理计划运作管理规定》（以下简称《运作规定》）等法律法规、自律规则，制定本办法。 |
| Article 2 A securities and futures business institution that conducts the privately offered asset management business shall join the Asset Management Association of China (hereinafter referred to as the “AMAC”) as a member, and in accordance with the requirements of the AMAC, file the privately offered asset management plan in a timely manner, report the information on the operation of the asset management plan, and accept the self-disciplinary management of the AMAC. | | 第二条 证券期货经营机构开展私募资产管理业务，应当加入中国证券投资基金业协会（以下简称证券投资基金业协会）成为会员，并按照证券投资基金业协会要求，及时进行私募资产管理计划备案，报送资产管理计划运行信息，接受证券投资基金业协会自律管理。 |
| For the purposes of these Measures, “securities and futures business institutions” means securities companies, fund management companies, futures companies, and subsidiary companies legally formed by the aforesaid institutions to engage in the privately offered asset management business. | | 本办法所称证券期货经营机构，是指证券公司、基金管理公司、期货公司及前述机构依法设立的从事私募资产管理业务的子公司。 |
| Article 3 Securities and futures business institutions that file the private equity management plan shall submit recordation materials and operation information in a true, accurate, complete and timely manner, and be responsible for the veracity, accuracy, completeness, timeliness and regulatory compliance of recordation materials and operation information. | | 第三条 证券期货经营机构进行私募资产管理计划备案，应真实、准确、完整、及时地报送备案材料和运行信息，对备案材料和运行信息的真实性、准确性、完整性、及时性和合规性负责。 |
| Article 4 The AMAC's acceptance of recordation of the asset management plan shall not exempt the securities and futures business institution's legal liability for disclosing product information in a truthful, accurate, complete and timely manner. | | 第四条 证券投资基金业协会接受资产管理计划备案不能免除证券期货经营机构真实、准确、完整、及时地披露产品信息的法律责任。 |
| Accepting recordation does not mean the AMAC's guarantee and judgments on the product's regulatory compliance, investment value and investment risk. Investors shall identify the investment risks of products themselves and bear the losses that may occur in the investment behavior. | | 接受备案不代表证券投资基金业协会对产品的合规性、投资价值及投资风险做出保证和判断。投资者应当自行识别产品投资风险并承担投资行为可能出现的损失。 |
| Article 5 The AMAC shall, under the principles of fairness, justice, simplicity and efficiency, conduct self-disciplinary management of the privately offered asset management business conducted by securities and futures business institutions in accordance with the law. | | 第五条 证券投资基金业协会根据公平、公正、简便、高效的原则，依法对证券期货经营机构开展私募资产管理业务进行自律管理。 |
| Article 6 The AMAC's self-disciplinary management of securities and futures business institutions shall accept the guidance and supervision of the CSRC, and the AMAC shall establish regulatory cooperation and information sharing mechanisms with the CSRC and its local offices, stock exchanges, futures exchanges, securities depositary and clearing institutions, China Futures Market Monitoring Center, the Securities Association of China, the China Futures Association, and other relevant institutions. | | 第六条 证券投资基金业协会对证券期货经营机构的自律管理接受中国证监会的指导和监督，并与中国证监会及其派出机构、证券交易场所、期货交易所、证券登记结算机构、中国期货市场监控中心、中国证券业协会、中国期货业协会等相关机构建立监管合作和信息共享机制。 |
| Chapter II Recordation Requirements | | 第二章 备案要求 |
| Article 7 The asset manager shall, in accordance with the requirements of these Measures, report to the AMAC the establishment, modification, extension, termination and liquidation recordation of the asset management plan, as well as periodical reports and irregular reports, and report in a timely manner the operation of the asset management plan, risk status and other information. | | 第七条 资产管理人应按照本办法要求向证券投资基金业协会报送资产管理计划的设立、变更、展期、终止、清算备案，以及定期报告、不定期报告，并及时报送资产管理计划的运行情况、风险情况等信息。 |
| The custodian shall submit relevant reports to the AMAC in accordance with the provisions of Articles 15 and 18 of these Measures. | | 托管人应按照本办法第十五条、第十八条规定向证券投资基金业协会报送相关报告。 |
| The recordation and operation information submitted by the asset manager and the custodian to the AMAC shall be copied or reported to the CSRC or the relevant local office in accordance with relevant provisions. | | 资产管理人、托管人向证券投资基金业协会报送的备案、运行信息，应按规定抄报或报送中国证监会、相关派出机构。 |
| Article 8 The asset manager shall assign one or more investment managers for each asset management plan, and the investment manager shall obtain the qualification for engaging in the fund business and complete registration at the AMAC. | | 第八条 资产管理人应当为每只资产管理计划配备一名或多名投资经理，投资经理应当取得基金从业资格并在证券投资基金业协会完成注册。 |
| Article 9 The asset manager shall announce the establishment of the asset management plan after the capital verification report on the collective asset management plan is obtained. The asset manager shall notify investors in writing of the establishment of the asset management plan after the entry of assets under the single asset management plan in accounts. | | 第九条 资产管理人应当在集合资产管理计划取得验资报告后，公告资产管理计划成立；资产管理人应当在单一资产管理计划受托资产入账后，向投资者书面通知资产管理计划成立。 |
| Within five working days from the date of establishment of the asset management plan, the asset manager shall report to the AMAC for recordation. Before the asset management plan is granted recordation, investment activities shall not be conducted, excluding the investment in banks' current deposits, treasury bonds, central bank bills, policy financial bonds, local government bonds, money market funds and other investment varieties recognized by the CSRC for the purpose of cash management. | | 资产管理计划成立之日起五个工作日内，资产管理人应当报证券投资基金业协会备案。资产管理计划完成备案前，不得开展投资活动，以现金管理为目的，投资于银行活期存款、国债、中央银行票据、政策性金融债、地方政府债券、货币市场基金等中国证监会认可的投资品种除外。 |
| Article 10 Where the asset management plan is established, the asset manager shall submit the following materials through the comprehensive reporting platform for the asset management business of the AMAC (Ambers system): | | 第十条 资产管理计划成立的，资产管理人应当通过证券投资基金业协会资产管理业务综合报送平台（Ambers系统）报送以下材料： |
| (1) Recordation report. | | （一）备案报告； |
| (2) Capital verification report or asset payment certificate, among others. | | （二）验资报告或资产缴付证明等； |
| (3) Product establishment announcement or product establishment notice. | | （三）产品成立公告或产品成立通知书； |
| (4) Asset management contract. | | （四）资产管理合同； |
| (5) Prospectus of the plan. | | （五）计划说明书； |
| (6) Important contract texts relating to the product, including but not limited to custody agreement, sales agreement, and investment consulting agreement, among others. | | （六）与产品相关的重要合同文本，包括但不限于托管协议、销售协议、投资顾问协议等； |
| (7) Form of investors' information, including the name, certificate type, certificate number, the type of subscribed shares, the amount of shares subscribed for and other information. | | （七）投资者信息资料表，包括名称、证件类型、证件号码、认购份额类型、认购金额等信息； |
| (8) Risk disclosure statement. | | （八）风险揭示书； |
| (9) Examination opinion of the chief compliance officer. | | （九）合规负责人审查意见； |
| (10) Other materials required by the AMAC. | | （十）证券投资基金业协会要求的其他材料。 |
| Where the asset management plan accepts participation by any other privately offered asset management plan, the manager shall provide the information form on final investors. | | 资产管理计划接受其他私募资产管理计划参与的，管理人应提供向上穿透后的最终投资者信息资料表。 |
| Article 11 In the case of any modification to the asset management contract, the asset manager shall obtain the consent of the investor and the asset custodian as agreed upon in the asset management contract, legally protect investors' right to exit from the asset management plan, make reasonable arrangements on relevant follow-up matters, and report to the AMAC for recordation within five working days from the date of contract modification. | | 第十一条 资产管理合同发生变更的，资产管理人应当按照资产管理合同约定的方式取得投资者和资产托管人同意，依法保障投资者选择退出资产管理计划的权利，对相关后续事项作出合理安排，并于合同变更之日起五个工作日内报证券投资基金业协会备案。 |
| The asset manager shall submit the report on the recordation of contract modification to the AMAC. The recordation report shall state the modified content, whether the modification involves change in the direction and proportion, the custodian's opinion on the modification, the form of informing contract modification, whether open period is set for contract modification, exit status, and whether there are large-amount withdrawal, among others, and attach relevant materials. | | 资产管理人应向证券投资基金业协会报送合同变更的备案报告，备案报告应说明变更内容、变更是否涉及改变投向和比例、托管人对本次变更的意见、合同变更告知方式、合同变更是否设置开放期、退出情况及是否有巨额退出情况发生等，并附上相关材料。 |
Article 12 To extend an asset management plan, the asset manager shall submit the extension recordation report and other materials to the AMAC for recordation within five working days from the date of extension of the asset management contract. The extension recordation report shall indicate whether the extension complies with relevant laws and regulations, contract agreements, whether the extension damages the interests of investors, and whether the extension of the asset management plan meets the conditions for the establishment of the collective asset management plan.
．．．．．． | | 第十二条 资产管理计划展期的，资产管理人应当于资产管理合同展期之日起五个工作日内将展期备案报告等材料报证券投资基金业协会备案。展期备案报告应当说明展期是否符合相关法律法规、合同约定，以及展期是否存在损害投资者利益情况，集合资产管理计划展期是否符合集合资产管理计划的成立条件。
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