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Notice by the Asset Management Association of China of Registration of Investment Managers Engaged in Privately-offered Asset Management Business of Securities and Futures Broker-Dealer Institutions [Effective]
中国证券投资基金业协会关于证券期货经营机构从事私募资产管理业务投资经理登记的通知 [现行有效]
【法宝引证码】

Notice by the Asset Management Association of China of Registration of Investment Managers Engaged in Privately-offered Asset Management Business of Securities and Futures Broker-Dealer Institutions 

中国证券投资基金业协会关于证券期货经营机构从事私募资产管理业务投资经理登记的通知

(No. 346 [2019] of the Asset Management Association of China) (中基协字〔2019〕346号)

All institutions: 各机构:
According to the Securities Investment Fund Law, the Measures for the Administration of the Privately-offered Asset Management Business of Securities and Futures Broker-Dealer Institutions (Order No. 151 [2018], CSRC), the Guiding Opinions on the Management of the Investment Managers of Fund Management Companies (Announcement No. 3 [2009], CSRC), the Measures for the Administration of Privately-offered Asset Management Plans of Securities and Futures Broker-Dealer Institutions (for Trial Implementation) (No. 4 [2019], AMAC), and other relevant provisions, for the purposes of advancing the well-regulated development of privately-offered asset management business of securities and futures broker-dealer institutions and protecting the lawful rights and interests of investors, the requirements for registration of investment managers engaged in privately-offered asset management business (hereinafter referred to as the "investment managers") of securities and futures broker-dealer institutions are hereby announced as follows: 根据《证券投资基金法》、《证券期货经营机构私募资产管理业务管理办法》(证监会令〔2018〕151号)、《基金管理公司投资管理人员管理指导意见》(证监会公告〔2009〕3号)、《证券期货经营机构私募资产管理计划备案管理办法(试行)》(中基协发〔2019〕4号)等有关规定,为推进证券期货经营机构私募资产管理业务的规范发展,保护投资者合法权益,现就证券期货经营机构从事私募资产管理业务的投资经理(以下简称“投资经理”)登记要求通知如下:
I. Conditions for investment manager registration   一、关于投资经理登记条件
An investment manager shall qualify as a fund professional, have more than three years of experience in investment management, investment research, investment consulting, or other relevant business, have a good record on integrity and professional ethics, have not faced material administrative regulatory measures or administrative punishment imposed by the regulatory authorities over the most recent three years, and meet other conditions as required by laws and regulations. 投资经理应当取得基金从业资格,具有3年以上投资管理、投资研究、投资咨询等相关业务经验,具备良好的诚信记录及职业操守,最近3年未被监管机构采取重大行政监管措施、行政处罚,符合法律法规规定的其他条件。
II. Exams and qualification registration   二、关于考试科目与资格注册
According to the provisions of the Notice of Issues Concerning the Implementation of Qualification Management of Fund Professionals (No. 100 [2017], AMAC) and the like, investment managers shall pass exams to qualify as fund professionals. The exam series approved by the Asset Management Association of China (hereinafter referred to as the "Association") include Series 1 Fund Laws and Regulations, Professional Ethics and Standards of Business; Series 2 Basic Knowledge of Securities Investment Funds; Series 3 Basic Knowledge of Private Equity Investment Funds; and the Securities Investment Funds and the Basic Knowledge of Securities Market organized by the Securities Association of China (the two series have ceased being organized). If an investment manager passes Series 1 and 2, or Series 1 and 3, or Series 1 and the Securities Investment Funds, or the Basic Knowledge of Securities Market and the Securities Investment Funds, his or her employer may apply for registration of professional qualifications with the Association through the Professionals Management Platform (http://person.amac.org.cn/).
......
 根据《关于基金从业人员资格管理实施有关事项的通知》(中基协字〔2017〕100号)等规定,投资经理应通过考试取得基金从业资格。中国证券投资基金业协会(以下简称“协会”)认可的考试科目包括科目一《基金法律法规、职业道德与业务规范》、科目二《证券投资基金基础知识》、科目三《私募股权投资基金基础知识》,中国证券业协会组织的《证券投资基金》、《证券市场基础知识》(该两个科目已停止组织考试)。投资经理通过科目一和科目二、或科目一和科目三、或科目一和《证券投资基金》、或《证券市场基础知识》和《证券投资基金》考试的,可由所在任职机构通过从业人员管理平台(http://person.amac.org.cn/)向协会申请基金从业资格注册。
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