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| Notice of the Asset Management Association of China on Issuing the Measures for the Registration of Management Institutions of Privately Offered Investment Funds and the Recordation of Funds (for Trial Implementation) | | 中国证券投资基金业协会关于发布《私募投资基金管理人登记和基金备案办法（试行）》的通知 |
| (No. 1 [2014] of the Asset Management Association of China) | | (中基协发[2014]1号) |
| All management institutions of privately offered investment funds: | | 各私募基金管理人： |
| For the purposes of regulating the privately offered investment fund business, protecting the lawful rights and interests of investors, and promoting the sound development of the privately offered investment fund industry, in accordance with the Securities Investment Fund Law and as authorized by the China Securities Regulatory Commission, the Asset Management Association of China has developed the Measures for the Registration of Management Institutions of Privately Offered Investment Funds and the Recordation of Funds (for Trial Implementation), which are hereby issued. | | 为规范私募投资基金业务，保护投资者合法权益，促进私募投资基金行业健康发展，根据《证券投资基金法》和中国证券监督管理委员会的授权，中国证券投资基金业协会制定了《私募投资基金管理人登记和基金备案办法（试行）》，现予发布。 |
| Annex: Measures for the Registration of Management Institutions of Privately Offered Investment Funds and the Recordation of Funds (for Trial Implementation) | | 附件：《私募投资基金管理人登记和基 金备案办法（试行）》 |
| Asset Management Association of China | | 中国证券投资基金业协会 |
| January 24, 2014 | | 二〇一四年一月十七日 |
| Measures for the Registration of Management Institutions of Privately Offered Investment Funds and the Recordation of Funds | | 私募投资基金管理人登记和基金备案办法 |
| (for Trial Implementation) | | （试行） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 For the purposes of regulating the privately offered investment fund business, protecting the lawful rights and interests of investors, and promoting the sound development of the privately offered investment fund industry, these Measures are developed in accordance with the Securities Investment Fund Law, the Notice of the State Commission Office of Public Sectors Reform on the Functions for the Management of Privately Offered Investment Funds and relevant provisions issued by the China Securities Regulatory Commission (“CSRC”). | | 第一条 为规范私募投资基金业务，保护投资者合法权益，促进私募投资基金行业健康发展，根据《证券投资基金法》、《中央编办关于私募股权基金管理职责分工的通知》和中国证券监督管理委员会（以下简称中国证监会）有关规定，制定本办法。 |
| Article 2 For the purpose of these Measures, “privately offered investment funds” (hereinafter referred to as “privately offered funds”) means investment funds established for raising funds from qualified investors in a non-public manner, including companies or partnership enterprises whose assets are under the management of the management institutions of funds or general partners and that are established for the purpose of investment activities. | | 第二条 本办法所称私募投资基金（以下简称私募基金），系指以非公开方式向合格投资者募集资金设立的投资基金，包括资产由基金管理人或者普通合伙人管理的以投资活动为目的设立的公司或者合伙企业。 |
| Article 3 The Asset Management Association of China (“AMAC”) shall, according to the provisions of these Measures, conduct registration of management institutions of privately offered funds and recordation of privately offered funds, and conduct self-disciplinary management of the privately offered fund business activities. | | 第三条 中国证券投资基金业协会（以下简称基金业协会）按照本办法规定办理私募基金管理人登记及私募基金备案，对私募基金业务活动进行自律管理。 |
| Article 4 Management institutions of privately offered funds shall provide the documents and information required for the registration and recordation of privately offered funds, and ensure the authenticity, accuracy and integrity of the documents and information provided. | | 第四条 私募基金管理人应当提供私募基金登记和备案所需的文件和信息，保证所提供文件和信息的真实性、准确性、完整性。 |
| Chapter II Registration of Management Institutions of Funds | | 第二章 基金管理人登记 |
| Article 5 Management institutions of privately offered funds shall undergo the registration formalities for management institutions of funds with the AMAC and apply to the AMAC for becoming members. | | 第五条 私募基金管理人应当向基金业协会履行基金管理人登记手续并申请成为基金业协会会员。 |
| Article 6 To apply for registration, a management institution of privately offered funds shall truthfully enter the basic information on the management institution of funds, senior executives and other personnel, shareholders or partners and funds under management thereof in the system for the registration and recordation of privately offered funds. | | 第六条 私募基金管理人申请登记，应当通过私募基金登记备案系统，如实填报基金管理人基本信息、高级管理人员及其他从业人员基本信息、股东或合伙人基本信息、管理基金基本信息。 |
| Article 7 Where the application materials for registration are incomplete or fail to comply with relevant provisions, a management institution of privately offered funds shall make supplements and corrections in a timely manner according to the requirements of the AMAC. | | 第七条 登记申请材料不完备或不符合规定的，私募基金管理人应当根据基金业协会的要求及时补正。 |
| In the case of any major change in the registered items during the period of application for registration, a management institution of privately offered funds shall notify the AMAC and change the contents of application for registration in a timely manner. | | 申请登记期间，登记事项发生重大变化的，私募基金管理人应当及时告知基金业协会并变更申请登记内容。 |
| Article 8 The AMAC may examine the application materials for registration provided by management institutions of privately offered funds by holding interviews with senior executives, conducting on-site inspections, and soliciting opinions from the CSRC and its dispatched agencies, and relevant professional associations, among others. | | 第八条 基金业协会可以采取约谈高级管理人员、现场检查、向中国证监会及其派出机构、相关专业协会征询意见等方式对私募基金管理人提供的登记申请材料进行核查。 |
| Article 9 Where the application materials for registration provided by a management institution of privately offered funds are complete, the AMAC shall, within 20 working days of receipt of all registration materials, undergo the registration formalities for the management institution of privately offered funds by announcing the basic information on the management institution of privately offered funds at the website. The basic information on a management institution of privately offered funds to be announced at the website shall include the name, time of establishment, time of registration, domicile, contact information, primary person in charge and other basic information and basic integrity information on the management institution of privately offered funds. | | 第九条 私募基金管理人提供的登记申请材料完备的，基金业协会应当自收齐登记材料之日起20个工作日内，以通过网站公示私募基金管理人基本情况的方式，为私募基金管理人办结登记手续。网站公示的私募基金管理人基本情况包括私募基金管理人的名称、成立时间、登记时间、住所、联系方式、主要负责人等基本信息以及基本诚信信息。 |
| The information announced shall not constitute recognition of the investment management capability and continuous compliance of a management institution of privately offered funds, and shall not be used as guarantee for the safety of fund assets. | | 公示信息不构成对私募基金管理人投资管理能力、持续合规情况的认可，不作为基金资产安全的保证。 |
| Article 10 Where a registered management institution of privately offered funds is dissolved, revoked or declared bankrupt in accordance with the law, the AMAC shall deregister the management institution of privately offered funds in a timely manner. | | 第十条 经登记后的私募基金管理人依法解散、被依法撤销或者被依法宣告破产的，基金业协会应当及时注销基金管理人登记。 |
| ．．．．．． | | ．．．．．． |
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