Private Fund Manager Senior Executive Obtains Fund Practitioner Qualification through Recognition of Work Experience
Jiao Liang's team was instructed by a private equity fund manager to issue a special legal opinion for its proposed senior executive to obtain fund practitioner qualification through recognition of work experience, and to assist with the qualification registration and the manager's major change registration.
Jiao Liang’s team was recently instructed by a private equity fund manager to issue a special legal opinion for its proposed senior executive to obtain fund practitioner qualification through “recognition of work experience”, and to assist with the qualification registration and the manager’s major change registration.
The project was approved by the Asset Management Association of China (AMAC) and completed on the AMAC public disclosure platform, with the senior executive obtaining fund practitioner qualification by way of “qualification recognition”.
Under the Rules for the Management of Fund Practitioners and the Provisions on Matters Concerning the Implementation of the Rules for the Management of Fund Practitioners, a proposed senior executive of a private fund manager who meets the prescribed conditions may obtain fund practitioner qualification without examination through recognition of work experience, provided that a special legal opinion is issued by a law firm filed with the CSRC. This project fell within that path.
Jiao Liang’s team handled the verification and issuance of the legal opinion, the preparation of undertaking documents and other filing materials, the submission of the registration application and sealing, and support for the institution’s major change registration for “change of information on directors, supervisors, senior managers and investment personnel”. From instruction to publication on the AMAC platform the project took about four weeks.
原文为中文业绩报道，由焦梁律师团队微信公众号「焦梁商事金融律师团队」发布。 The original article was published in Chinese by the Jiao Liang Commercial & Financial Lawyers Team WeChat account.
中文原文 / Chinese Original
近日，焦梁律师团队接受某私募股权投资基金管理人（以下简称"管理人"）委托，就其拟任高级管理人员以"从业经历认定"方式取得基金从业资格事宜出具专项法律意见书，并协助办理资格注册与机构重大事项变更登记。
该项目已通过中国证券投资基金业协会审核，在中基协信息公示平台办理通过，该高级管理人员以"资格认定"方式取得基金从业资格。
按照《基金从业人员管理规则》及《关于实施〈基金从业人员管理规则〉有关事项的规定》，私募基金管理人的拟任高级管理人员符合规定条件的，可以"从业经历认定"方式免试取得基金从业资格，但须由经中国证监会备案的律师事务所出具专项法律意见书。本项目即属该路径下的专项法律服务。
在本项目中，焦梁律师团队提供法律意见书的核查与出具、承诺文件等申报材料的制作、注册申请提交与用印协助，以及机构端"董监高及投资人员信息变更"重大事项变更登记的办理支持。自接受委托至中基协公示通过，历时约四周，项目顺利落地。
