Qualification of the person in charge of compliance risk control of private equity funds

Legal analysis: 1, bachelor degree or above in finance, law, finance and other related majors, with fund qualification;

At least 2.3 years working experience in legal compliance, risk control or full-time lawyer in financial industry. Have worked in a large financial institution, participated in the operation of IPO or New Third Board listing projects, or have a lawyer qualification certificate is preferred;

3. Proficient in the work flow of equity investment in the fund industry, familiar with the relevant policies of "one line, three meetings", and familiar with the legal theory and practice in the fields of trust law, company law, contract law, guarantee law, property law, bankruptcy law and partnership enterprise law;

4. Honesty and trustworthiness, integrity, strong communication and coordination ability, execution ability and teamwork ability;

5. Strong analytical and writing skills, able to prepare business risk monitoring reports and legal due diligence reports.

Legal basis: Measures for the Registration of Private Investment Fund Managers and Fund Filing (Trial).

Article 16 Professionals engaged in private equity fund business shall have the qualifications for private equity fund practice. Meet one of the following conditions, can be identified as having the qualification of private equity fund:

(1) Having passed the private equity fund qualification examination organized by the fund industry association;

(2) Engaged in investment management-related business in the last three years;

(three) other circumstances identified by the fund industry association.

Article 17 The senior managers of private fund managers shall be honest and trustworthy, have no record of serious dishonesty in the last three years, and have not been banned from the market by the China Securities Regulatory Commission. The senior management mentioned in the preceding paragraph refers to the chairman, general manager, deputy general manager, executive partner (designated representative), compliance risk controller and other personnel who actually perform the above duties.

Article 18 Private fund practitioners shall regularly participate in the practice training organized by fund industry associations or their authorized institutions.