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Notice of National Equities Exchange and Quotations Co., Ltd. on Issues concerning the Self-Inspection and Rectification of Quoted Private Placement Institutions [Effective]
全国中小企业股份转让系统有限责任公司关于挂牌私募机构自查整改相关问题的通知 [现行有效]
【法宝引证码】

 
Notice of National Equities Exchange and Quotations Co., Ltd. on Issues concerning the Self-Inspection and Rectification of Quoted Private Placement Institutions 

全国中小企业股份转让系统有限责任公司关于挂牌私募机构自查整改相关问题的通知

(No. 1394 [2017] of National Equities Exchange and Quotations Co., Ltd.) (股转系统发〔2017〕1394号)

All market participants: 各市场参与人:
The Notice on Matters concerning the Quoted Financing of Financial Enterprises (Announcement No. 36 [2016], NEEQ, hereinafter referred to as the “Notice”) requires that “a quoted private placement institution shall conduct self-inspection on whether the increased quotation conditions in this Notice (excluding items (2), (3) and (7)) are met,” and the issues on the standards for the calculation of conditions for the self-inspection and rectification of quoted private placement institutions are hereby announced as follows: 《关于金融类企业挂牌融资有关事项的通知》(股转系统公告〔2016〕36号,以下简称《通知》)要求“已挂牌的私募机构,应当对是否符合本通知新增挂牌条件(第二项、第三项和第七项除外)进行自查”,现就挂牌私募机构自查整改条件的计算口径等相关问题通知如下:
I. Scope of self-inspection and rectification   一、关于自查整改的范围
From the date of issuance of the Notice on May 27, 2016, quoted private placement institutions registered as management institutions of privately offered investment funds (hereinafter referred to as the “managment institutions of privately offered funds”) at the Asset Management Association of China (hereinafter referred to as the “AMAC”) shall be included in the scope of self-inspection and rectification. 2016年5月27日《通知》发布之日,在中国证券投资基金业协会(以下简称基金业协会)登记为私募投资基金管理人(以下简称私募管理人)的挂牌私募机构纳入自查整改范围。
II. Basis for financial reports on self-inspection and rectification   二、关于自查整改的财务报告依据
Consolidated financial statements of financial reports in 2016 shall be taken as the basis for the calculation of income share, and the cited financial data shall be audited by the accounting firms qualified for conducting the securities and futures business, and the accounting firms shall issue special audit opinions. 涉及收入占比的计算应以2016年年度财务报告的合并财务报表数据为计算依据,所引用的财务数据应经具有证券期货业务资格的会计师事务所审计,并由其出具专项审计意见。
III. Standards for the calculation of indicators relating to self-inspection and rectification   三、关于自查整改相关指标的计算口径
(1) Indicators on income share (一)关于收入占比指标
The Notice requires that “the sum of management expenses and performance remuneration shall account for 80% or more of the income,” of which the “sum of management expenses and performance remuneration” shall include “management fee income, performance remuneration and investment consulting fee income (relating to the fund management business) and follow-up investment return,” and the “income source” shall cover “management fee income, performance remuneration, investment consulting fee income, investment return, and profits and losses from the change in fair value.” 《通知》要求,“管理费收入与业绩报酬之和须占收入来源的80%以上”,其中,“管理费收入与业绩报酬之和”应包括“管理费收入、业绩报酬、投资顾问费收入(与基金管理业务相关)、跟投收益”;“收入来源”应包括“管理费收入、业绩报酬、投资顾问费收入、投资收益、公允价值变动损益”。
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