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私募投资基金服务业务管理办法
【风险提示】协会为服务机构办理登记不构成对服务机构服务能力、持续合规情况的认可,不作为对基金财产和投资者财产安全的保证。服务机构在协会完成登记之后连续6个月没有开展基金服务业务的,协会将注销其登记。 "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. 第八条【登记要求】申请开展私募基金份额登记服务、基金估值核算服务、信息技术系统服务的机构,应当具备下列条件: 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)经营状况良好,其中开展私募基金份额登记服务和信息技术系统服务的机构实缴资本不低于人民币5000万元; (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)公司治理结构完善,内部控制有效; (2) the corporate governance structure is improved and the internal control is effective; (三)经营运作规范,最近3年内无重大违法违规记录; (3) the rules of operation and operation shall not be recorded in any major violations in the past three years; (四)组织架构完整,设有专门的服务业务团队和分管服务业务的高管,服务业务团队的设置能够保证业务运营的完整与独立,服务业务团队有满足营业需要的固定场所和安全防范措施; (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)配备相应的软硬件设施,具备安全、独立、高效、稳定的业务技术系统,且所有系统已完成包括协会指定的中央数据交换平台在内的业务联网测试; (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)负责私募基金服务业务的部门负责人、独立第三方服务机构的法定代表人等应当具备基金从业资格。所有从业人员应当自从事私募基金服务业务之日起6个月内具备基金从业资格,并参加后续执业培训; (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)申请机构应当评估业务是否存在利益冲突并设置相应的防火墙制度; (7) the application organization shall assess whether the business has conflicts of interest and set up a corresponding firewall system; (八)申请机构的信息技术系统应当符合法律法规、中国证监会及协会的规定及相关标准,建立网络隔离、安全防护与应急处理等风险管理制度和灾难备份系统; (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)申请开展信息技术服务的机构应当具有国家有关部门规定的资质条件或者取得相关资质认证,拥有同类应用服务经验,具有开展业务所有需要的人员、设备、技术、知识产权以及良好的安全运营记录等条件; (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)协会规定的其他条件。 (10) other conditions prescribed by the association. 第九条【登记材料】申请登记的机构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) 诚信及合法合规承诺函; (1) letter of credit and legal compliance; (二) 内控管理制度、业务隔离措施以及应急处理方案; (2) internal control management system, business quarantine measures and emergency treatment plans; (三) 信息系统配备情况及系统运行测试报告; (3) the information system is equipped and the system runs the test report; (四) 私募基金服务业务团队设置和岗位职责规定及包括分管领导、业务负责人、业务人员等在内的人员基本情况; (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) 与私募基金管理人签订的约定双方权利义务的服务协议或意向合作协议清单; (5) the list of service agreements or agreements of intent of the parties signed by the private fund manager; (六) 涉及募集结算资金的,应当包括相关账户信息、募集销售结算资金安全保障机制的说明材料,以及协会指定的中央数据交换平台的测试报告等; (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) 法律意见书; (7) legal opinions; (八) 开展私募基金服务业务的商业计划书; (8) the business plan of the private fund services business; (九) 协会规定的其他材料。 (9) other materials prescribed by the association. 第十条【登记流程】登记材料不完备或不符合规定的,协会告知需要补正的内容。服务机构提交的登记材料完备且登记材料符合要求的,协会自受理之日起2个月内出具登记函并公示。 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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