Membership of administrators
1. How and when can I apply to join the association?
After the administrator registration form is completed and submitted, upload the application form with official seal where the application form is uploaded in the system.
2. Is it necessary to join the club? What are the effects and benefits of not joining a club?
According to the Fund Law, funds with securities business must join the association and become members. Equity and venture capital institutions, voluntary members. Securities funds will not become members of the association, and future product filing will be affected. Equity and venture capital funds, whether or not to join the membership does not affect the business development.
Please check the membership benefits in the membership charter in the administrator registration system.
3. What are observation members, ordinary members and special members? What's the difference?
Special members refer to local associations, law firms and other specialized institutions.
Ordinary members: refers to institutions with management scale exceeding 2 billion (equity venture capital category exceeding 654.38+0 billion).
Observer members: refers to institutions with management scale below 2 billion (equity venture capital category below 65.438 billion+0 billion).
4. What is the membership fee and how to pay it?
First of all, the staff of the fund industry association will send you a payment notice in the form of email, and pay the fee according to the process in the email. If the institution that has not received the payment notice pays by itself, the money will be refunded.
Membership fee for ordinary members: membership fee is 6,543,800 yuan (currently only 20,000 yuan is allowed), and the annual membership fee is limited to 260,000 ‰ of operating income. After paying the entrance fee for the first year, there is no need to pay the annual fee again.
Observation membership fee: membership fee is 20,000, and annual fee is 20,000. After paying the entrance fee for the first year, there is no need to pay the annual fee again.
5. What is the mailing address and contact person of the membership information?
20 15- 10 Private placement managers will not need to send paper materials, but only need to upload an application form with official seal at the member application office in the system.
6. When will the invoice arrive?
The invoice will be sent within one month after receipt.
Administrator registration problem
1. How to apply for registration of private fund managers and filing of private fund products?
The registration and filing of private equity funds can be divided into private equity fund manager registration and private equity fund product filing. After the private equity fund management institution completes the industrial and commercial registration, please log in to official website, China Asset Management Association, enter the private equity fund registration and filing system (IE browser is recommended), register users, read the instructions for filling in the form, complete the electronic information, and register as a private equity fund manager. Private fund managers can apply for fund product filing in the same system after registration. It is strongly recommended to read the instructions and operation videos carefully before filling in the form (website: /smjjdjbaxt/385466.shtml).
2. How long does it take to complete the registration of private equity funds?
According to the regulations, if the registration and filing materials of private equity fund management institutions are complete, they should complete the registration and filing procedures by way of publicity on the website within 20 working days from the date of receiving the registration and filing materials. In practice, if the filing materials for private equity funds are complete, in principle, the filing procedures for fund products will be completed within three working days. At the same time of registration and filing, a confirmation email will be sent to the contact email address filled in by the system. Please pay attention to the contact email.
3. Why is it wrong to log in to the system again after successful registration?
After the successful registration of the institution, the new user name is no longer the email address filled in when registering, but the new user name is changed to the administrator registration number (P * * * * * *, and the system will send the administrator registration code to the contact email address. Please pay attention to check the email (probably in the trash can) and log in to the system with a new user name (the password remains the same).
4. After successful registration, when will the administrator registration certificate be issued?
No paper certificate will be provided from 20 15 1. Log in to the system to print the electronic registration certificate.
Print process, enter the registration system, in the lower left corner of my registration information, administrator registration certificate, download and print.
5. What should I do if the contact mailbox doesn't receive email feedback from the system?
If the application account has not been activated, provide an electronic application for account cancellation (stamped with the official seal of the applicant) and a business license, organization code certificate and tax registration certificate, and send them to pf@amac.org.cn. After the background processing is completed, re-register a new account and fill in a valid email address.
If the account has been activated, you can directly change the email address when filling in the registration information. If you forget your login password, you can get an email with a new password through Forgotten Password.
6. What is the relationship diagram with the actual controller?
Upload a structural diagram showing the equity and control relationship between the applicant institution and the actual controller, and refer to the control relationship diagram in the prospectus or annual report of the listed company.
7. What should I do if I lose my diploma?
Log on to China Higher Education Student Information Network (Xue Xin. Com) Intercept the electronic diploma or issue relevant certificates to the school, and still cannot obtain the above-mentioned certificates, upload the lost explanation stamped with the official seal of the applicant.
8. What are the requirements for the registered capital of the applicant?
There is no requirement at present.
9. How can I update the information if the related matters change after successful registration?
If there is a major change in the manager, please submit a change application in the "Major Manager Change" module of the system; If there are any other changes, please modify them when updating regularly (quarterly and annual).
Major event changes refer to changes in the qualification certificate of the manager and related contents, major violations of laws and regulations, changes in the types and business of major investment funds, changes in senior managers/fund managers, changes in actual controllers, changes in shareholders/partners, legal dissolution, cancellation and bankruptcy of the manager, etc.
10. What are the ways to obtain the qualification of private equity fund?
Meet one of the following conditions, can be identified as having the qualification of private equity fund:
(1) passed the qualification examination of the fund;
(2) Engaged in investment management-related business in the last three years;
This situation mainly refers to the related asset management business in the last three years, and the average annual scale of assets under management is above 6,543,800,000 yuan; Or in the last three years, he has worked in a financial supervision institution and its supervised financial institutions.
(three) other circumstances identified by the fund industry association.
This situation mainly refers to having passed the securities qualification examination or futures qualification examination and obtained relevant qualifications; Or have obtained relevant qualifications such as domestic and foreign funds or asset management and fund sales.
In cases (2) and (3), if the fund is qualified, the corresponding certification materials shall be submitted. Uploading method: in the manager registration system, the information of senior managers is 1 person, and the relevant certification materials stamped with the official seal of the company are uploaded in the "Qualification Certificate Upload" in the resume of senior managers.
1 1. How to change the main investment type from equity to securities?
Please apply for changing the main investment fund types in the module of "Changes in Major Events of Managers" in the system.
12. Employee qualification system
The system has not been opened yet, and relevant policies are being formulated. Please pay close attention to the related information of official website and WeChat official accounts.
13. The last step of administrator registration submission, do you want to join the membership office? What should I do if I can't click on the page?
Before entering the next step, please click on the articles of association and membership application form on the page to read.
14. Where do you want to inquire about private fund managers or product information?
Log in to /amac-infodisc/res/index.html# to query.
Fund product filing
1. What are the requirements of private equity fund filing for fund custody?
Unless otherwise agreed in the fund contract or partnership agreement, the private placement fund shall be managed by the fund custodian. If the fund contract stipulates not to manage private equity funds, the institutional measures and dispute settlement mechanism for ensuring the property safety of private equity funds shall be clearly defined in the fund contract. While filling in the filing materials of private equity funds, the manager of private equity funds shall further explain the reasons for not hosting and related institutional arrangements in "other matters that the manager thinks need to be explained".
2. What are the requirements for quarterly updates of private equity funds?
After the end of each quarter 10 working days, the fund will be updated once every quarter, and the liquidated fund does not need to be updated.
3. What are the regulations on the business types of funds?
Private fund managers should apply for business types that match the registered fund types when registering. Private equity fund managers can only apply for filing private equity funds within the business type they applied for when registering. If the business types applied by Company A at the time of registration include private equity, equity, venture capital and others, Company A may set up any of the above private equity funds and apply for filing; For example, Company B only applies for private placement when registering, and Company B can only apply for filing private placement funds.
4. Does unregistered private equity fund affect the related investment operation?
According to "Securities Investment Fund Law" and "Interim Measures for Supervision and Management of Private Investment Funds", private fund managers should be registered with fund industry associations, and private funds should be filed with fund industry associations. Unregistered private equity fund managers and unregistered private equity funds may not be able to participate in the investment business within the supervision system of the CSRC (such as IPO, merger and reorganization, listing of the New Third Board, etc.). ).
5. How do private equity funds open securities accounts?
According to China Securities Depository and Clearing Co., Ltd.' s Notice on Issues Related to Opening and Settlement of Private Equity Funds and Answers to Frequently Asked Questions about Opening and Settlement of Private Equity Funds, to apply for opening a private equity securities account, the original and photocopy of the relevant supporting documents of the fund industry association agreeing to the registration of private equity fund managers and the original and photocopy of the relevant supporting documents of the private equity fund filing issued by the fund industry association are required. At the same time, if the name of private equity fund changes, it shall provide relevant materials such as the private equity fund certificate re-applied by the fund industry association.
6. How do institutions qualified for fund sales carry out private equity fund management business?
Institutions that have obtained the qualification of fund sales business to carry out private fund management business shall go through the registration formalities with the fund industry association in accordance with the regulations, and can only engage in private fund management business after completing the registration formalities and obtaining the registration certificate of private fund manager.
7. Does the fund manager of private equity fund apply the "silent period" requirement?
This requirement also applies. In order to maintain the fairness and justice of the industry and unify the regulatory standards, the same three-month "silent period" requirement was also implemented for fund managers who left the Public Offering of Fund management company and worked in private fund management companies, and it was implemented when private fund managers registered.
8. What is a qualified investor? Private equity funds may not raise funds from entities other than qualified investors.
(1) Criteria for Qualified Investors. Qualified investors in private equity funds refer to units and individuals with corresponding risk identification ability and risk-taking ability, and the investment amount of a single private equity fund is not less than 6,543,800 yuan and meets the following relevant standards: units with net assets of not less than 6,543,800 yuan; Individuals whose financial assets are not less than 3 million yuan or whose average annual income in the last three years is not less than 500,000 yuan. Financial assets include bank deposits, stocks, bonds, fund shares, asset management plans, bank wealth management products, trust plans, insurance products, futures rights and interests, etc.
(2) the situation of being regarded as a qualified investor. Social security funds, enterprise annuities and other pension funds, charitable funds and other social welfare funds; Investment plans established according to law and filed with fund industry associations; Private fund managers and their employees who invest in the private funds they manage; Other investors specified by China Securities Regulatory Commission are regarded as qualified investors.
(3) Calculation of permeability. In the form of partnership, contract and other unincorporated persons, if the funds of most investors are pooled to directly or indirectly invest in private equity funds, the private equity fund manager or private equity fund sales organization shall thoroughly check whether the final investor is a qualified investor and calculate the number of investors in a consolidated manner. However, investors who meet the following conditions no longer need to check whether the final investor is a qualified investor and calculate the number of investors together: social security funds, enterprise annuities and other pension funds, charitable funds and other social welfare funds; Investment plans established according to law and filed with fund industry associations; Other investors as stipulated by China Securities Regulatory Commission.