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| Notice by the Asset Management Association of China of Strengthening the Self-regulation of Private Fund Information Submission and Optimizing Industry Services | | 中国证券投资基金业协会关于加强私募基金信息报送自律管理与优化行业服务的通知 |
| (No. 107 [2021] of the Asset Management Association of China) | | （中基协字〔2021〕107号） |
| All private fund managers: | | 各私募基金管理人： |
| Information submission on an ongoing basis is an important basic system arrangement in the administrative regulation and self-regulation system for private funds. For the purposes of further strengthening the submission of information on private equity funds, optimizing industry services, and continuously promoting the improvement of quality of industry data, you are hereby notified of the relevant matters as follows: | | 持续信息报送是私募基金行政监管和自律管理体系中的一项重要基础性制度安排。为进一步加强私募基金信息报送工作，优化行业服务，持续推动行业数据质量提升，现将有关事项通知如下： |
| I. Managers shall submit information in a timely and accurate manner and strengthen internal control management | | 一、管理人应当及时准确报送信息，强化内控管理 |
| In accordance with the information submission requirements of the Interim Measures for the Supervision and Administration of Privately Offered Investment Funds, the Several Provisions on Strengthening the Regulation of Privately offered Investment Funds, the Measures for the Registration of Private Fund Managers and the Recordation of Funds (for Trial Implementation), the Instructions on the Registration of Private Fund Managers, the Instructions on the Recordation of Private Investment Funds and other regulations and self-regulatory rules, private fund managers shall, after undergoing registration and recordation formalities, continuously fulfill information submission obligations through the Asset Management Business Electronic Registration System (“AMBERS System”) of the Asset Management Association of China (“AMAC”). At the same time, managers shall, in a timely manner, report to the AMAC major matters such as the change of their controlling shareholders, actual controllers, or legal representatives/executive partners (appointed representatives), and the change of the maturity dates of private funds, and undergo the change formalities. | | 根据《私募投资基金监督管理暂行办法》《关于加强私募投资基金监管的若干规定》《私募投资基金管理人登记和基金备案办法（试行）》《私募基金管理人登记须知》《私募投资基金备案须知》等法规和自律规则中关于信息报送的要求，私募基金管理人应当于登记备案后在中国证券投资基金业协会（以下简称“协会”）资产管理业务综合报送平台（以下简称“AMBERS系统”）持续履行信息报送义务。同时管理人应当就其控股股东、实际控制人、法定代表人/执行事务合伙人（委派代表）变更，以及私募基金到期日变更等重大事项，及时向协会报告，办理变更手续。 |
| In accordance with the Measures for the Administration of Disclosure of Information on Private Investment Funds and the Notice of Matters Concerning Strengthening the Self-regulation of Disclosure of Information on Private Investment Funds, managers shall back up information through the Information Disclosure Backup System for Private Funds (“Information Disclosure Backup System”) of the AMAC as required. | | 根据《私募投资基金信息披露管理办法》《关于加强私募基金信息披露自律管理相关事项的通知》，管理人应当按规定通过协会私募基金信息披露备份系统（以下简称“信披备份系统”）备份信息。 |
| Based on the mechanism of information sharing and collaboration with the Department of Credit Supervision and Administration of the State Administration for Market Regulation, the AMAC has improved big data analysis and monitoring methods, strengthened the instant verification prompts for front-end data entry and the interim and ex post data problem identification and feedback, and continuously strengthened abnormal data monitoring. Managers shall, in accordance with the requirements of the Several Provisions on Strengthening the Regulation of Private Investment Funds, the Guidelines for the Internal Controls of Private Investment Fund Managers and other regulatory provisions and self-regulatory rules, effectively establish and improve the internal control management mechanisms for information submission, specify the duties of persons in charge of information submission and relevant personnel, and proactively enhance the building of information submission capacity to ensure that the information submitted and disclosed is timely, authentic, accurate, and complete and meets the specified requirements, without any false record, misleading statement or major omission. | | 基于与国家市场监督管理总局信用监督管理司的信息共享协作机制，协会已健全大数据分析监测手段，强化前台数据填报即时校验提示和事中事后数据问题识别反馈，持续加强异常数据监测。管理人应当切实按照《关于加强私募投资基金监管的若干规定》《私募投资基金管理人内部控制指引》等监管规定及自律规则的要求，建立健全信息报送内控管理机制，明确信息报送负责人及相关人员职责，主动强化信息报送能力建设，确保报送、披露信息及时、真实、准确、完整，符合规定要求，不存在虚假记载、误导性陈述或重大遗漏。 |
| II. Releasing the explanations on examples of common problems in information submission | | 二、发布信息报送常见问题示例说明 |
| ．．．．．． | | 协会将对管理人在持续信息报送中出现的常见问题进行总结分析，进一步明确相关数据的统计报送口径，发布和持续更新《私募基金信息报送常见问题示例说明》。请管理人对照自查、及时整改。 |
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