私募基金设立法律意见书(中英文翻译).doc

Legal Opinion on PrivateFund Manager Registration (Template)私募基金管理人注册法律意见书（模板）*Fund Management (Beijing) Co., Ltd.:*基金管理（北京）有限公司：Pursuant to the Law on Lawyers, the Administrative Measures on Engaging in Securities Law Practice by Law Firms, the Rules for the Securities Law Practice of Law Firms (for TrialImplementation), the Law on Securities Investment Funds, the InterimMeasures for the Supervision and Administration of Private Investment Funds,the Measures on the Registration of Private Investment Fund Managers and Funds (for Trial Implementation), the Announcement regarding Certain Matters of Further Regulating the Registration of Private Investment Fund Managers,this firm has been retained by* Fund Management (Beijing) Co., Ltd.(hereinafter referred to as the Company) to issue this legalopinion as below based on the thorough due diligence of the Company andrelevant materials, and undertake that there is no fraudulent, misleadingstatement or material omission contained herein. 根据律师法，律师事务所从事证券法律实务管理办法，律师事务所从事证券法律事务规则（试行），证券投资基金法，私募投资基金的监督管理暂行办法，私募投资基金经营者和基金的登记办法（试行），关于进一步规范私募投资基金管理者的注册特定事项的公告，我所被授权为*基金管理（北京）有限公司（以下简称“公司”）出具下述法律意见书，本法律意见书基于对公司的尽职调查和与公司相关材料，我所承诺，在本文中没有包含欺诈性，误导性陈述内容或者重大遗漏。A. Registration of the Company with the Administration for the Industry and Commerce本公司登记主管机关为工商部门BasicInformation of the Company公司基本信息CompanyName: * Fund Management (Beijing) Co., Ltd.公司名称：*基金管理（北京）有限公司（以下简称“公司”）CompanyAddress: * Road No. *, * District, Beijing公司地址：北京市* 区* 路 *号LegalRepresentative: *法定代表人：RegisteredCapital: RMB 50 million注册资本：5000万人民币Dateof Establishment: January 2, 2015成立日期：2015年1月2日OperationalPeriod: January 1, 2015 to January 1, 2045经营期限：2015年1月1日2045年1月1日Business Scope: Investment management, management or entrustment for management of non-securities equity investment, and relatedconsulting services. 经营范围：投资管理，经营或委托经营非证券股权投资管理，以及相关的咨询服务。Company History:公司历史：OnJanuary 2, 2015, the shareholders * and * jointly funded * FundManagement (Beijing) Co., Ltd. . On December 1, 2014, * Accounting Firm Co.,Ltd. issued the 2014 No. * Capital Verification Report, inspecting and verifying that shareholders * and * paid a total investment of RMB 50million on November 30, 2014. 2015年1月2日股东* 和 *共同成立了*基金管理（北京）有限公司。2014年12月1日*会计师事务所出具2014 *号验资报告，检查和证明股东*和*2014年11月30日支付了投资总金额5000万元。At the point of establishmentof the Company, the amount and the ratio of capital contribution of eachshareholder were as follows:公司成立时各股东出资总额及出资比例为：No.Name of Shareholder股东姓名Investment Amount (0000)投资总额： Proportion of the Registered Capital (%)占注册资本比例：1*60.002*200040.00Total5000.0000100.00Conclusion: * Fund Management (Beijing)Co., Ltd. was duly established in China and is validly existing as of the date of issuance of this legal opinion.结论：自本法律意见书发布之日起*基金管理（北京）有限公司已经在中国境内合法存在。B. According to the filing documents of * Fund Management(Beijing) Co., Ltd. from the Administration for the Industry and Commerce, thebusiness scope of the Company is investment management, management orentrustment for management of non-securities equity investment, and relatedconsulting services.根据来自工商管理部门*基金管理（北京）有限公司的成立文件，公司的经营范围为投资管理，经营或委托经营非证券股权投资管理，以及相关的咨询服务。Conclusion: The business scope described in the business registration of * Fund Management (Beijing) Co., Ltd. Complies with relevant national laws and regulations, whereby the name and the businessscope contain texts and descriptions of fund management, investmentmanagement and equity investment.结论：*基金管理（北京）有限公司成立时登记的营业范围符合目前的国家法律规定和规则，其公司名称和经营范围中包含“基金管理”、“投资管理”、“股权管理”的内容和描述。C. As shown on the foregoing business registration documents of *Fund Management (Beijing) Co., Ltd., the business scope of the Company isinvestment management, management or entrustment for management ofnon-securities equity investment, and related consulting services. Along with the relevant business information provided by the Company, it shows that theCompanys main business is management of private funds. In the business scope set forth in the foregoing business registration or the business actually operated by the Company, there exists no business operated concurrently inconflict with the private investment fund business; there exists no business operated concurrently in conflict with the buyers business of investmentmanagement; there exists no non-financial business operated simultaneously.根据前述*基金管理（北京）有限公司登记文件中显示，公司的经营范围是投资管理，经营或委托经营非证券股权投资管理，以及相关的咨询服务。根据公司提供的近期经营事项，显示公司的主要业务是私募资金管理。前述商业登记时所列的经营范围和公司目前的经营事项，显示没有业务和私募基金业务冲突；没有业务和“投资管理”种的买方业务冲突；显示没有同时开展非金融业务Conclusion: * Fund Management (Beijing)Co., Ltd. follows the principle of professional management and the business engaged by the Company is private investment fund management. In the business scope setforth in the foregoing business registration or the business actually operatedby the Company, there exists no business operated concurrently in conflict with the private investment fund business; there exists no business operatedconcurrently in conflict with the buyers business of investmentmanagement; there exists no non-financial business operated simultaneously.结论：*基金管理（北京）有限公司遵守了专业关了的原则并且公司从事的业务是私募投资基金管理。根据上文公司成立文件提到的营业范围或者公司目前的营业行为，显示现行的业务没有和私募基金经营业务冲突的地方；显示现行业务没有和“投资管理买方业务冲突的地方；显示没有非金融类业务。D. Shareholding Structure of the CompanyAccording to the foregoing business registration of * Fund Management (Beijing) Co., Ltd., theshareholders are * and *. The shareholder * invested RMB 30 million,making up 60% of the equity interests of the Company; the shareholder *invested RMB 20 million, making up 40% of the equity interests of the Company.In conjunction with other relevant information provided by the Company, it is shown that the Company does not have foreign direct or indirect controllingshareholders or foreign shareholders. D、公司股权结构根据前述*基金管理（北京）有限公司成立文件股东为* 和 *。股东*投资人民币3000万，占公司股权比例60%；股东*投资人民币2000万，占公司股权比例40%；根据公司提供的其他有关信息。公司没有直接或者间接的国外控股股东或者国外股东。Conclusion: * Fund Management (Beijing)Co., Ltd.does no thave foreign direct or indirect controlling shareholders or foreign shareholders.结论：*基金管理（北京）有限公司没有国外直接或者间接的控股股东或者国外股东。E. As indicated in the foregoing business registration of *Fund Management (Beijing) Co., Ltd., in tandem with other relevant information provided by the Company, it is shown that the shareholders of the Company are *and *. It does not indicate that * Fund Management (Beijing) Co., Ltd. has anyother ultimate controlling owner.根据前述*基金管理（北京）有限公司成立文件和其他公司提供的有关信息，显示公司股东是*和*。上述文件显示*基金管理（北京）有限公司没有任何其他实际控制人。Conclusion: *Fund Management (Beijing) Co., Ltd. does nothave anyultimatecontrolling owner.结论：*基金管理（北京）有限公司没有任何其它实际控制人。F. As indicated in the foregoing business registration of* Fund Management (Beijing) Co., Ltd., in tandem with other relevantinformation provided by the Company, * Fund Management (Beijing) Co., Ltd. is not found to have any subsidiary, affiliate or other related parties.根据前文*基金管理（北京）有限公司成立文件，以及其他*基金管理（北京）有限公司提供的其他有关信息，没有发现*基金管理（北京）有限公司有任何其他子公司、分支机构、或者其他关联方Conclusion: * Fund Management (Beijing)Co., Ltd. does not have any subsidiary, affiliate or other related parties.结论: *基金管理（北京）有限公司没有任何子公司、分支机构或者关联方G. As indicated in the foregoing business registration and other relevant information of the Company: (i) the Company has 20 employees, 5of whom have fund practitioner qualification. All of the executives of theCompany have practice experience in, among others, banks, funds, securities,risk control, compliance in line with requirements. Further, none of theexecutives has major dishonesty record or has been excluded from the market bythe China Securities Regulatory Commission in the preceding three years; (ii)the business address is * Road No. *, * District, Beijing. The office space is500 square meters with independent departments such as the general managersoffice, the finance department, the risk control department, the compliancedepartment, the market department and conference rooms. The office is wellequipped with computers, video facilities, fax machines, printers and otheroffice equipment; and (iii) the Companys financial statements and the bankstatements issued by * Bank indicate that, as of DATE, 2015, the circulatingcapital of the Company in the book is * and its net assets is *.根据前述公司设立文件和公司其它相关信息：1、公司有20名雇员，5名具备基金从业者几个。所有公司高管具有银行、基金、证券、风险控制等业务的从业经验，符合合规性要求。此外，没有高管在3年内具有不忠实记录或者曾经被中国证券监督管理委员会逐出市场的记录。2、营业地址为北京*区，*路*号。办公场所200平方米，具有独立的部门，如总经理办公室、财务部门、风险控制部门，合规部门、会议室。办公场所内配备了电脑、视频设备、传真机、打印机和其他办公设备；3、公司的财务报表和财务报表出具部门Conclusion: * Fund Management(Beijing) Co., Ltd. possesses the practitioners, business premises, capital andother basic corporate operation facilities and conditions as required by thelaw to engage in private fund management business. 结论：*基金管理（北京）有限公司具备法律关于私募基金管理所需的从业人员、营业场所、资金本和其他基本的运营设备和条件。H. As shown in the information and documents provided by *Fund Management (Beijing) Co., Ltd., it has established a sound risk managementand internal control system. The Company has the Risk Management System and Procedure of Private Investment Funds, the InternalControl System of Private Fund Management, the Measures on the Evaluation of Investment in Private Investment Funds,the Measures on Investment Voting of the Investment Committee, the AdministrativeMeasures on Information Disclosure, the AdministrativeMeasures on Related Transactions, theAdministrative Measures on Investment Transactions with Conflict of Interest,the Administrative Measures on In-houseTransactions, the AdministrativeMeasures on Prevention of Insider Trading, the Administrative Measures on Risk Disclosure of Qualified Investors,the Administrative Measures on Internal Audit Procedures of Qualified Investors, the Administrative Measures on Promotion and Fund-Raising of PrivateInvestment Fund Products, as well as other relevant administrative measures in place. All of the management systems form effective allocation and constraint among each other. 根据*基金管理（北京）有限公司提供的信息和文件，公司已经建立了有效的私募投资内部风险控制系统和程序、私募投资基金的评价办法，投资委员会投资投票办法，信息披露管理办法，关联交易管理办法、与利益冲突方交易管理办法和公司内部交易管理办法，防止内幕交易管理办法，合格投资者风险揭示管理办法，对合格投资者内部审核程序管理办法，促进私募投资基金产品筹资管理办法，以及在其他相关的行政措施。上述所有管理办法所有制度均互相制约。Conclusion: * Fund Management (Beijing)Co., Ltd. has established a risk management and internal control system, and has developed relevant systems accordingly based on the type of the private fund management business in the proposed application. 结论：*基金管理（北京）有限公司已经建立了一套管理和内控系统，并基于私募基金管理业务的建议制定相应制度。I. According to the information provided by * Fund Management(Beijing) Co., Ltd., upon investigation and verification, the fund-raising of the private funds of the Company intends to be promoted, conducted and managed through the Companys own channels and capability. The Company has not executed any agreement of out sourcing services for funds with other institutions. 根据*基金管理（北京）有限公司提供的信息，基于调查和证明，公司私募基金的资金将通过公司自有的渠道和能力运作和提升。公司不曾和其他主体签订任何有关基金的外包服务的合同。Conclusion: * Fund Management (Beijing)Co., Ltd. has not executed any agreement of outsourcing services for funds withother institutions.结论：*基金管理（北京）有限公司没有和其他机构签订任何外包服务协议。J. Upon verification of the list of the executives of the Company and relevant qualification certificates provided by * Fund Management(Beijing) Co., Ltd., it is shown that * as the legal representative and thegeneral manager, * as the representative designated by the executive partner,* as the deputy general manager, * as the chief compliance manager, and *as the chief risk control officer have fund practitioner qualification. The structure of the executive positions conforms to the requirements of the Asse tManagement Association of China (hereinafter referred to as the AMAC).经对*基金管理（北京）有限公司提供的对公司高管名单和相关资格证书的审查，显示*作为公司的法定代表人和总经理，*作为公司执行合作人指定的代表，*作为副总经理，*作为合规经营总负责人，*作为风险控制负责人已经具备从业资格。公司的行政管理机构符合中国的资产管理协会的要求（下文所称的AMAC）Conclusion: The executives of * Fund Management (Beijing) Co., Ltd. have fund practitioner qualification and the structure of the executive positions conformsto the requirements of the AMAC.结论：*基金管理（北京）有限公司高管具备基金从业资格，公司行政机构设置符合AMAC的要求.K. Upon verification of information in the enterprise creditrecords, the enterprise business registration and disclosure system, the AMAC registration disclosure system, the judicial information disclosure system and other systems, along with relevant information provided by the Company, * FundManagement (Beijing) Co., Ltd. is not found to be subject to criminal punishment,administrative fines by the financial supervision department or administrativesupervision measures; the Company and its executives are not disciplined byAMAC; the Company does not have negative record in the Capital Market Integrity Database; the Company is not included in the List of Dishonest Debtors; the Company is not included in the National List of Enterprises with Abnormal Business Operations or the List of Enterprises Committing Grave Illegalities; theCompany does not have bad credit record on the CreditChina website.根据公司信用记录信息证明，公司业务登记和披露制度，AMAC注册披露制度，司法信息披露制度和其他制度，以及公司提供的相关信息，*基金管理（北京）有限公司没有受到财政监管部门或行政管理部门的刑事制裁、行政管理措施；公司和其分支机构没有被AMAC惩戒；公司在资本市场诚信数据库中没有负面记录；公司不在失信债务人名录中；公司不在经营异常名录或企业实施严重违法行为名单中；公司在中国信用网上没有失信记录。Conclusion: * Fund Management(Beijing) Co., Ltd. is not subject to criminal punishment, administrative finesby the financial supervision department or administrative supervision measures;the Company and its executives are not disciplined by AMAC; the executives ofthe Company are not prohibited by the CompanyLaw to serve their positions; the Company does not have negative record inthe Capital Market Integrity Database; the Company is not included in the Listof Dishonest Debtors; the Company is not included in the National List ofEnterprises with Abnormal Business Operations or the List of EnterprisesCommitting Grave Illegalities; the Company does not have bad credit record onthe CreditChina website.结论: *基金管理（北京）有限公司没有受到财政监管部门或行政监管部门的刑事制裁，行政处罚措施，公司和其分支机构没收到AMAC的监管，公司高管没有被公司法禁止从业；公司在资本市场诚信数据库中没有负面记录；公司不在失信债务人名单中；公司不在国家企业经营异常名录或企业从事严重违法名为名单中，公司在中国信用网站中没有负面记录。L. Upon enquiries to, and verification with, the court information disclosure system for litigation and enforcement as well as the information system of commercial and labor arbitral institutions for arbitrations, in conjunction with the information provided by * FundManagement (Beijing) Co., Ltd., * Fund Management (Beijing)