| Notice of the Asset Management Association of China on Issuing the Measures for the Administration of the Disclosure of Information on Privately Offered Investment Funds | | 中国基金业协会关于发布《私募投资基金信息披露管理办法》的通知 |
| All management institutions of privately offered investment funds: | | 各私募投资基金管理人： |
| In accordance with the relevant provisions of the Securities Investment Fund Law and the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds, the Measures for the Administration of Disclosure of Information on Privately Offered Investment Funds, as voted through the executive council of the Asset Management Association of China, are hereby issued. These Measures shall come into force on the date of issuance, and the specific arrangements concerning the implementation of Articles 5 and 6 of these Measures will be stated in another notice. | | 根据《证券投资基金法》、《私募投资基金监督管理暂行办法》有关规定，经中国基金业协会理事会表决通过，现予以发布《私募投资基金信息披露管理办法》。本办法自发布之日起施行，其中，本办法第五条、第六条的具体实施安排，另行通知。 |
| Annexes: | | 特此通知。 |
| | 附件： |
| 1. Measures for the Administration of the Disclosure of Information on Privately Offered Investment Funds | | |
| | 1.私募投资基金信息披露管理办法 |
| 2. Guideline No. 1 for the Content and Format of Disclosure of Information on Privately Offered Investment Funds | | |
| | 2.私募投资基金信息披露内容与格式指引1号 |
| 3. Explanation on Drafting the Measures for the Administration of the Disclosure of Information on Privately Offered Investment Funds | | |
| Asset Management Association of China | | 3.《私募投资基金信息披露管理办法》起草说明 |
| February 4, 2016 | | 中国基金业协会 |
| Annex 1: | | 二〇一六年二月四日 |
| Measures for the Administration of the Disclosure of Information on Privately Offered Investment Funds | | 附件1： |
| | 私募投资基金信息披露管理办法 |
| Chapter I General Provisions | | |
| | 第一章 总则 |
| Article 1 For purposes of protecting the lawful rights and interests of investors of privately offered funds, and regulating the disclosure of information on privately offered investment funds, these Measures are developed 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 Privately Offered Investment Fund Management Institutions and Fund Recordation (for Trial Implementation) and other laws, regulations and the relevant self-discipline rules. | | |
| | 第一条 为保护私募基金投资者合法权益，规范私募投资基金的信息披露活动，根据《证券投资基金法》、《私募投资基金监督管理暂行办法》、《私募投资基金管理人登记和基金备案办法（试行）》等法律法规及相关自律规则，制定本办法。 |
| Article 2 For the purposes of these Measures, “parties with information disclosure obligations” means the management institutions of privately offered funds, the custodians of privately offered funds, as well as legal persons and other organizations with information disclosure obligations prescribed by laws, administrative regulations, the China Securities Regulatory Commission (“CSRC”) and the Asset Management Association of China (“AMAC”). | | |
| Where there are several parties with information disclosure obligations for a same privately offered fund, the relevant matters, responsibilities and obligations on information disclosure shall be agreed upon in relevant agreements. | | 第二条 本办法所称的信息披露义务人，指私募基金管理人、私募基金托管人，以及法律、行政法规、中国证券监督管理委员会（以下简称中国证监会）和中国证券投资基金业协会（以下简称中国基金业协会）规定的具有信息披露义务的法人和其他组织。 |
| A party with information disclosure obligations who authorizes a third-party agency to disclose information for it shall not be exempted from the information disclosure obligations that it shall assume in accordance with the law. | | 同一私募基金存在多个信息披露义务人时，应在相关协议中约定信息披露相关事项和责任义务。 |
| | 信息披露义务人委托第三方机构代为披露信息的，不得免除信息披露义务人法定应承担的信息披露义务。 |
| Article 3 The parties with information disclosure obligations shall disclose information to investors according to the provisions of the AMAC and those agreed upon in fund contracts, companies' bylaws or partnership agreements (hereinafter collectively referred to as “fund contracts”). | | |
| | 第三条 信息披露义务人应当按照中国基金业协会的规定以及基金合同、公司章程或者合伙协议（以下统称基金合同）约定向投资者进行信息披露。 |
| Article 4 The parties with information disclosure obligations shall ensure the authenticity, accuracy and integrity of disclosed information. | | |
| | 第四条 信息披露义务人应当保证所披露信息的真实性、准确性和完整性。 |
| Article 5 The management institutions of privately offered funds shall, as required, report information through the backup platform for the disclosure of information on privately offered funds designated by the AMAC. | | |
| The data submitted by the management institutions of privately offered funds to the backup platform for the disclosure of information on privately offered funds shall be taken as the basis for the previous performance of the management institutions of privately offered funds and the operation of privately offered funds. | | 第五条 私募基金管理人应当按照规定通过中国基金业协会指定的私募基金信息披露备份平台报送信息。 |
| | 私募基金管理人过往业绩以及私募基金运行情况将以私募基金管理人向私募基金信息披露备份平台报送的数据为准。 |
| Article 6 Investors may visit the backup platform for the disclosure of information on privately offered funds designated by the AMAC to consult information. | | |
| | 第六条 投资者可以登录中国基金业协会指定的私募基金信息披露备份平台进行信息查询。 |
| Article 7 The parties with information disclosure obligations, investors and other related institutions shall, in accordance with the law, keep confidential all non-publicly disclosed information on privately offered funds, trade secrets, and personal privacy, among others, which they have obtained. | | |
| The AMAC shall strictly keep confidential the information on privately offered fund management institutions and privately offered funds. Such information shall not be disclosed, unless otherwise provided by any law or regulation. | | 第七条 信息披露义务人、投资者及其他相关机构应当依法对所获取的私募基金非公开披露的全部信息、商业秘密、个人隐私等信息负有保密义务。 |
| | 中国基金业协会应当对私募基金管理人和私募基金信息严格保密。除法律法规另有规定外，不得对外披露。 |
| Article 8 The AMAC shall, in accordance with these Measures, conduct self-discipline management of the disclosure of information on privately offered funds. | | |
| | 第八条 中国基金业协会依据本办法对私募基金的信息披露活动进行自律管理。 |
| Chapter II General Provisions | | |
| | 第二章 一般规定 |
| Article 9 The information that shall be disclosed by a party with information disclosure obligations to investors shall cover: | | |
| | 第九条 信息披露义务人应当向投资者披露的信息包括： |
| (1) fund contract; | | |
| | （一） 基金合同； |
| (2) prospectus and other publicity and promotion documents; | | |
| | （二） 招募说明书等宣传推介文件； |
| (3) clauses on major rights and obligations in fund sales agreements (if any); | | |
| | （三） 基金销售协议中的主要权利义务条款（如有）； |
| (4) fund investment; | | |
| | （四） 基金的投资情况； |
| (5) assets and liabilities of funds; | | |
| | （五） 基金的资产负债情况； |
| (6) distribution of fund investment proceeds; | | |
| | （六） 基金的投资收益分配情况； |
| (7) arrangements on expenses assumed for the fund and merit pay; | | |
| | （七） 基金承担的费用和业绩报酬安排； |
| (8) possible conflicts of interest; | | |
| | （八） 可能存在的利益冲突； |
| (9) major lawsuits and arbitration involving the management of privately offered funds, fund assets and fund custody; and | | |
| | （九） 涉及私募基金管理业务、基金财产、基金托管业务的重大诉讼、仲裁； |
| (10) other major information that affects investors' lawful rights and interests as prescribed by the CSRC and the AMAC. | | |
| | （十） 中国证监会以及中国基金业协会规定的影响投资者合法权益的其他重大信息。
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