Shell to private products can not clear cry Blind Association consultant’s first record!-candy boy

Shell to cry blind: private association consultant’s first product is not clear for the record! The Securities Times reporter Wu Jun "shell" private security shell war was going on, the fund industry association busy pour cold water. Consultant management funds issued by the third party channels can not record private institutions as the first private equity products, which means that the "shell" of private equity to guarantee the success of the shell, the issue of independent products it must. Yesterday evening, the China Fund Industry Association made a number of responses to the problems arising from the implementation of the new regulations on private equity supervision. The association made it clear that the current private filing work continues, and private brokerage, to participate in the "shell" should be cautious and avoid all compliance charges to be fair; the legal opinion is an important content of the product must first private, not too many restrictions on lawyers, law firms, but are encouraged to standard. A clear association not for investment products as the first private equity products, but can be added after filing. The "shell" need to be cautious to charge fair implementation of the new regulations for a week, brokerage, private firms have started Paul shell war, pay close attention to this association. The association clarified the status of intermediaries, private custodian and service institutions are an important part of the private equity fund industry ecosystem and industry chain. In carrying out the service business, it is necessary to fully understand and correctly understand the laws and regulations of the private placement industry and the connotation of the announcement. According to the recent low threshold of the establishment of private equity products, lawyers bidding legal opinions put forward to avoid the herd phenomenon, association of the blind development of business, not to face legal risk, moral risk, compliance risk, blind; hope that private equity brokerage, law firms and accounting firms to value their own reputation and credit records. The association will pay close attention to, and timely carry out self inspection and verification work; if there is illegal behavior, law firms and other related securities, but also bear the responsibility. According to the private security shell eagerness, some firms on the legal submissions for ten, and securities issued the "shell" is no bottom line, even 100 million products can be set up, the intermediary Association called for law firms, accounting firms, securities companies, adhering to fair competition, the principle of reasonable fees, service charges to develop their own reasonable the fair, the overall planning of private service business development mode of the mechanism. The first private will encourage submissions lawyers standard for handling private legal opinions, there were many doubts, such as whether there is a need for their own self-examination, opinions have no template, should look out for the firm. The society also answered them one by one. From the view of current association answers, registration, registered but not hair products for private and private matters, part of change, must apply for legal opinions; and before the registration and carry out the business of Private Equity Association, depending on the circumstances of the case to make mention of legal opinions. At the same time, there is no official legal opinion issued by a lawyer after the same template, the association will implement the supervision and verification of opinions, but also depends on the private equity fund managers registration feedback or matters of changes in further inquiries. About the qualifications of lawyers, the Association says there is not much limitation

空壳私募要哭瞎:协会明确顾问产品不能首只备案!   证券时报记者 吴君   “空壳”私募保壳大战正酣,基金业协会忙泼冷水。通过第三方渠道发行的顾问管理型基金暂不能作为私募机构的首只私募产品备案,这就意味着,“空壳”私募要想保壳成功,必须自主发行产品才行。   昨日晚间,中国基金业协会就私募监管新规实行以来出现的问题做出若干答复。协会明确表示,目前私募备案工作仍在继续,而私募、券商等参与“保壳”需谨慎合规,避免一拥而上,收费要公允;法律意见书是首发产品的私募必需的重要内容,对律师、律所没有太多限制,但有鼓励标准。协会明确暂不办理投顾类产品作为私募首发产品,但以后可补充备案。   “保壳”需谨慎 收费要公允   新规实行一周以来,私募、券商、律所等纷纷打响“保壳”大战,协会对此密切关注。协会明确了中介机构的地位,私募托管人和服务机构都是私募基金行业生态系统和产业链的重要组成部分。在开展服务业务时,需要对私募行业的法律法规和《公告》内涵有充分理解和正确认识。   针对最近低门槛成立私募产品、律师竞价法律意见书等现象,协会提出要避免一哄而上盲目发展业务,不能对面临的法律风险、道德风险、合规风险视而不见;希望私募、券商、律所和会计事务所都能珍视自身商誉和信用记录。后续协会将密切关注,并且适时开展自律检查和核查工作;如有违法违规行为,相关券商、律所等也要承担责任。   针对私募保壳心切的心理,一些律所对法律意见书要价十几万,而券商发行“保壳”产品则无底线,甚至100万即可成立产品,协会呼吁律师事务所、会计师事务所、证券公司等中介机构,秉承公平竞争、合理收费原则,制定各自合理公允的服务收费标准,统筹规划本机构私募服务业务发展模式。   首发私募必有意见书 律师有鼓励标准   上周以来,私募办理法律意见书,出现了不少疑惑,比如自查自己是否需要办理,意见书有没有模板,该找哪些律所办理。协会也一一作了解答。   从协会的解答来看,目前申请登记、已经登记但还没发产品的私募,以及部分重大事项变更的私募,必须要办理法律意见书;而之前登记且开展业务的私募,协会会视具体情形个案再要求其补提法律意见书。同时,法律意见书没有官方统一模板,律师出具以后协会将落实监管,对意见书进行核查,还会视情况在私募基金管理人登记或重大事项变更的反馈意见中提出进一步的询问。   关于律师的资质,协会表示并没有太多限制,但是鼓励私募物色规范的律所、律师办理。何谓规范?协会对律师定义为:1、内部管理规范,风险控制制度健全,执业水准高,社会信誉良好;2、有20名以上执业律师,其中5名以上曾从事过证券法律业务;3、已经办理有效的执业责任保险;4、最近两年未因违法执业行为受到行政处罚。   此外,对律师则要求最近两年没有因违法执业行为受到行政处罚,另有3条:1、最近三年从事过证券法律业务;2、最近三年连续执业,且拟与其共同承办业务的律师最近3年从事过证券法律业务;3、最近三年连续从事证券法律领域的教学、研究工作,或者接受过证券法律业务的行业培训。   暂不办理投顾类产品 有证高管只需培训   投顾类产品能不能作为“空壳”私募的首发产品,是最近业界关注的焦点。有券商、期货资管人士认为,按照私募基金备案公示来看,投顾类产品似乎是可以作为首发产品,并且纷纷打出广告,招揽私募做投顾。   为此,协会给出明确答复,暂不办理新登记和未展业的私募将“顾问管理型基金”作为其管理的首只私募产品的备案申请。但等到协会正式发布私募基金管理人从事投资顾问服务的相关业务管理办法后,私募可以将投顾类产品进行补充备案。   近期私募高管还在争相报考3、4月的基金从业资格考试,很多地区面临考位爆满问题。协会对此也做出了指导,明确已经取得基金从业资格的私募高管,不必再参加《基金法律法规、职业道德与业务规范》考试,只需要每年完成15学时的面授或者远程学习形式的后续培训,并接受协会的从业资格管理。 进入【新浪财经股吧】讨论相关的主题文章: