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行業新聞
投資基金服務業務管理辦法
服務機構的登記 Registration of service agencies 第七條【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。 Article 7 the "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;

備案號:冀ICP備16030082號

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