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行業新聞
私募投資基金服務業務管理辦法
【風險提示】協會為服務機構辦理登記不構成對服務機構服務能力、持續合規情況的認可,不作為對基金財產和投資者財產安全的保證。服務機構在協會完成登記之后連續6個月沒有開展基金服務業務的,協會將注銷其登記。 "Risk warning" association for services is dealt with register does not constitute a service agency service, continuous compliance approval, not as the assets of the fund and the investor property safety guarantee. The service organization shall not conduct the fund service for six months after the registration of the association, and the association shall cancel its registration. 第八條【登記要求】申請開展私募基金份額登記服務、基金估值核算服務、信息技術系統服務的機構,應當具備下列條件: Article 8 the application for registration requirements 】 【 private equity share registration services, fund valuation services, accounting services, information technology system shall meet the following requirements: (一)經營狀況良好,其中開展私募基金份額登記服務和信息技術系統服務的機構實繳資本不低于人民幣5000萬元; (1) the operation is in good condition, and the institutions that carry out the share registration services and information technology system services of the private equity fund shall not be less than 50 million yuan. (二)公司治理結構完善,內部控制有效; (2) the corporate governance structure is improved and the internal control is effective; (三)經營運作規范,最近3年內無重大違法違規記錄; (3) the rules of operation and operation shall not be recorded in any major violations in the past three years; (四)組織架構完整,設有專門的服務業務團隊和分管服務業務的高管,服務業務團隊的設置能夠保證業務運營的完整與獨立,服務業務團隊有滿足營業需要的固定場所和安全防范措施; (4) organizational structure, complete with a special service team and in charge of the service business executives, service business team set up to ensure complete and independent business operations, permanent service business team to meet business needs and safety; (五)配備相應的軟硬件設施,具備安全、獨立、高效、穩定的業務技術系統,且所有系統已完成包括協會指定的中央數據交換平臺在內的業務聯網測試; (5) is equipped with the corresponding hardware and software facilities, security, independence, high efficiency, stable business technology systems, and all system has been completed, including association designated central data exchange platform, business networking test; (六)負責私募基金服務業務的部門負責人、獨立第三方服務機構的法定代表人等應當具備基金從業資格。所有從業人員應當自從事私募基金服務業務之日起6個月內具備基金從業資格,并參加后續執業培訓; (6) the legal representatives of the departments responsible for the services of the private equity fund and the legal representatives of the independent third party service institutions shall have the qualifications of the fund. All practitioners shall be eligible for the fund's work within 6 months from the date of the private equity services business, and participate in the follow-up practice training; (七)申請機構應當評估業務是否存在利益沖突并設置相應的防火墻制度; (7) the application organization shall assess whether the business has conflicts of interest and set up a corresponding firewall system; (八)申請機構的信息技術系統應當符合法律法規、中國證監會及協會的規定及相關標準,建立網絡隔離、安全防護與應急處理等風險管理制度和災難備份系統; (eight) application of information technology system shall conform to the laws and regulations, the provisions of the China securities regulatory commission (CSRC) and the association and related standards, set up network isolation, security protection and emergency disposal system of risk management and disaster backup system; (九)申請開展信息技術服務的機構應當具有國家有關部門規定的資質條件或者取得相關資質認證,擁有同類應用服務經驗,具有開展業務所有需要的人員、設備、技術、知識產權以及良好的安全運營記錄等條件; (9) the application of information technology services institutions shall have the qualification conditions stipulated by the relevant state departments or obtain the relevant qualification authentication, has the similar application service experience, doing business with all of the necessary personnel, equipment, technology, intellectual property and good safety operation records and other conditions; (十)協會規定的其他條件。 (10) other conditions prescribed by the association. 第九條【登記材料】申請登記的機構提交的材料包括但不限于: Article 9 the materials submitted by the application for registration shall include but not limited to: (一) 誠信及合法合規承諾函; (1) letter of credit and legal compliance; (二) 內控管理制度、業務隔離措施以及應急處理方案; (2) internal control management system, business quarantine measures and emergency treatment plans; (三) 信息系統配備情況及系統運行測試報告; (3) the information system is equipped and the system runs the test report; (四) 私募基金服務業務團隊設置和崗位職責規定及包括分管領導、業務負責人、業務人員等在內的人員基本情況; (4) private equity fund services team set up and rules and post responsibilities including in charge of the leadership, business leaders, business people, such as staff basic information; (五) 與私募基金管理人簽訂的約定雙方權利義務的服務協議或意向合作協議清單; (5) the list of service agreements or agreements of intent of the parties signed by the private fund manager; (六) 涉及募集結算資金的,應當包括相關賬戶信息、募集銷售結算資金安全保障機制的說明材料,以及協會指定的中央數據交換平臺的測試報告等; (6) relating to the settlement funds raising, shall include the relevant account information, raise sales settlement funds safeguard mechanism of material, and association of data exchange platform in the middle of the specified test reports, etc.; (七) 法律意見書; (7) legal opinions; (八) 開展私募基金服務業務的商業計劃書; (8) the business plan of the private fund services business; (九) 協會規定的其他材料。 (9) other materials prescribed by the association. 第十條【登記流程】登記材料不完備或不符合規定的,協會告知需要補正的內容。服務機構提交的登記材料完備且登記材料符合要求的,協會自受理之日起2個月內出具登記函并公示。 Article 10 where the registered material is incomplete or not in conformity with the provisions, the association shall inform the needs of the contents of the registration. The registered material submitted by the service organ is complete and the registered material is in conformity with the requirements, and the association shall issue a registration letter within two months from the date of acceptance.

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