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投资基金服务业务管理办法
服务机构的登记 Registration of service agencies 第七条【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。 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;

备案号:冀ICP备16030082号

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