| Questions and Answers regarding Private Fund Registration and Recordation (XIV) | | 私募基金登记备案相关问题解答（十四） |
| (Asset Management Association of China, November 3, 2017) | | （2017年11月3日 中国证券投资基金业协会） |
| Question: Under which circumstances should the Asset Management Association of China (“AMAC”) disapprove the registration of private fund managers? How should the AMAC handle such circumstances? | | 问：中国证券投资基金业协会办理私募基金管理人登记存在哪些不予登记的情形？中国证券投资基金业协会对此将如何处理？ |
| Answer: In accordance with the Securities Investment Fund Law of the People's Republic of China, the Interim Measures for the Supervision and Administration of Private Investment Funds, the Measures for the Registration of Private Investment Fund Managers and Recordation of Funds (for Trial Implementation), the Announcement on Several Matters concerning Further Regulating the Registration of Private Fund Managers and relevant self-disciplinary rules, the AMAC will not approve the registration of any institution that applies for the registration of a private fund manager under any of the following circumstances: | | 答：根据《中华人民共和国证券投资基金法》、《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）》、《关于进一步规范私募基金管理人登记若干事项的公告》及相关自律规则，申请登记私募基金管理人的机构存在以下情形的，中国证券投资基金业协会将不予办理登记： |
| I. The applicant, in violation of the provisions on the raising of funds in the Securities Investment Fund Law of the People's Republic of China or the Interim Measures for the Supervision and Administration of Private Investment Funds, offers private funds in violation of any provision before applying for registration, and conducts public publicity and recommendation or raises funds from any unqualified investor. | | 一、申请机构违反《中华人民共和国证券投资基金法》、《私募投资基金监督管理暂行办法》关于资金募集相关规定，在申请登记前违规发行私募基金，且存在公开宣传推介、向非合格投资者募集资金行为的。 |
| II. The applicant provides or the applicant colludes with a law firm, an accounting firm or any other third-party intermediary, among others, in providing false registration information or materials; or the provided registration information or materials have any misleading statement or material omission. | | 二、申请机构提供，或申请机构与律师事务所、会计师事务所及其他第三方中介机构等串谋提供虚假登记信息或材料；提供的登记信息或材料存在误导性陈述、重大遗漏的。 |
| III. The applicant concurrently operates private lending, civil financing, allocation of funds, small-sum wealth management, petty loans, P2P/P2B, crowd financing, factoring, guarantee, real estate development, trading platforms or any other business in conflict with the private fund business as prescribed in the Questions and Answers regarding Private Fund Registration and Recordation (VII). | | 三、申请机构兼营民间借贷、民间融资、配资业务、小额理财、小额借贷、P2P/P2B、众筹、保理、担保、房地产开发、交易平台等《私募基金登记备案相关问题解答（七）》规定的与私募基金业务相冲突业务的。 |
IV. The applicant is included in the list of serious illegal and dishonest enterprises in the national system for the publicity of enterprises' credit information.
．．．．．． | | 四、申请机构被列入国家企业信用信息公示系统严重违法失信企业名单的。
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