中英对照2023私募投资基金监督管理条例.docx

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1、RegulationontheSupervisionandAdministrationofPrivateInvestmentFundsDocumentNumber：OrderNo.762oftheStateCouncilofthePeoplesRepublicofChinaAreaofLau:FundsOptimizationofDoingBusiness1.evelofAuthority：AdministrativeRegulationsIssuingAuthority:StateCouncilDateIssued:07-03-2023EffectiveDale09-01-2023Statu

2、s:EffectiveOrderoftheStateCouncilofthePeoplesRepublicofChina(No.762)TheRegulationontheSupen,isionandAdministrationofPrivateInvestmentFunds,asadoptedatthe8thexecutivemeetingoftheStateCouncilonJune16,2023,isherebyissuedandshallcomeintoforceonSeptember1,2023.Premier:LiQiangJuly3,2023RegulationontheSupe

3、n,isionandAdministrationofPrivateInvestmentFundsChapterIGeneralProvisions中华人民共和国国务院令（第762号）私募投资基金监督管理条例已经2023年6月16日国务院第8次常务会议通过，现予公布，自2023年9月1日起施行。总理李强2023年7月3日私募投资基金监督管理条例第一章总则Article1ThisRegulationisdevelopedinaccordancewith第一条为了规范私募投资基金（以下简称私募基金）业务活动，保护投资者以及相关当事人的合法权益， 促进私募基金行业规范健康发展，根据中华人民共和国 证券

4、投资基金法（以下简称证券投资基金法）、中华人民共和国信托法、中华人民共和国公司 法、中华人民共和国合伙企业法等法律，制定本条 例。第二条在中华人民共和国境内，以非公开方式募集资金，设立投资基金或者以进行投资活动为目的依法设 立公司、合伙企业，由私募基金管理人或者普通合伙人管 理，为投资者的利益进行投资活动，适用本条例。第三条国家鼓励私募基金行业规范健康发展，发挥服务实体经济、促进科技创新等功能作用。从事私募基金业务活动，应当遵循自愿、公平、诚信原 则，保护投资者合法权益，不得违反法律、行政法规和国 家政策，不得违背公序良俗，不得损害国家利益、社会公 共利益和他人合法权益。theSecuriti

5、esInvestmentFundLawofthePeoplesRepublicofChina(hereinafterreferredtoastheSecuritiesInvestmentFundLaw,),theTrustLawofthePeoplesRepublicofChina,theCompanyLawofthePeoplesRepublicofChina,thePartnershipLawofthePeoplesRepublicofChina,andotherapplicablelawsinordertoregulatethebusinessactivitiesofprivateinv

6、estmentfunds(hereinafterreferredtoasprivatefunds,),protectthelawfulrightsandinterestsofinvestorsandrelevantparties,andpromotethestandardizedandsounddevelopmentoftheprivatefundindustry.Article2ThisRegulationshallapplytotheinvestmentactivitiesforthebenefitofinvestorsconductedbyaninvestmentfundoracompa

7、nyorpartnershipformedthroughnon-publicfundraisingIbrthepurposeofengagingininvestmentactivitieswithintheterritoryofthePeoplesRepublicofChina,whichismanagedbyaprivatefundmanagerorgeneralpartners.Article3Thestateshallencouragetheregulatedandsounddevelopmentoftheprivatefundindustryandmaximizeitsfunction

8、sinSerVingtherealeconomyandpromotingscientificandtechnologicalinnovation,amongothers.Thoseengagedintheprivatefundbusinessshallfollowtheprinciplesoffreewill,fairness,andgoodfaith,protectIhelawfulrightsandinterestsofinvestors,andshallnotviolatelaws,administrativeregulations,andnationalpolicies,goagain

9、stthepublicorderandgoodmorals,orinfringeuponthenationalinterest,publicinterest,orotherslawfulrightsandinterests.Privatefundmanagersthatmanageanduseprivatefundassets,privatefundcustodiansthattakecustodyofprivatefundassets,andprivatefundserviceinstitutionsthatprovideprivatefundservicesshallcomplywitht

10、heprovisionsoflawsandadministrativeregulations,devotethemselvestotheirduties,andfulfilltheirobligationsofhonesty,trustworthiness,prudence,anddiligence.Privatefundpractitionersshallcomplywiththeprovisionsoflawsandadministrativeregulations,professionalethics,andthecodeofconductandreceivecomplianceandp

11、rofessionalcompetencetrainingasrequired.Article4Privatefundassetsshallbeindependentoftheassetsofaprivatefundmanagerorprivatefundcustodian.Thedebtsincurredbyprivatefundassetsshallberepaidwithprivatefundassetsonly,exceptasotherwiseprescribedbyanylaw.Investorsshalldistributeincomeandbearrisksasagreedin

12、thefundcontract,companybylaws,orapartnershipagreement(hereinaftercollectivelyreferredtoastheitfindcontract,).Article5Thesupervisionandadministrationofprivatefundbusinessactivitiesshallcomplywiththeguidelines,policies,decisions,andarrangementsoftheCPCandthestate.ThesecuritiesregulatoryagencyoftheStat

13、eCouncilshallsuperviseandadministerprivatefundbusinessactivitiesinaccordancewithlawsandthisRegulation,anditslocalofficesshallperformdutiesasauthorized.私募基金管理人管理、运用私募基金财产，私募基金托管人托管私募基金财产，私募基金服务机构从事私募基金服务业务，应当遵守法律、行政法规规定，恪尽职守，履行诚实守信、谨慎勤勉的义务。私募基金从业人员应当遵守法律、行政法规规定，恪守职业道德和行为规范，按照规定接受合规和专业能力培训。第四条私募基金财产独立

14、于私募基金管理人、私募基金托管人的固有财产。私募基金财产的债务由私募基金财产本身承担，但法律另有规定的除外。投资者按照基金合同、公司章程、合伙协议（以下统称基金合同）约定分配收益和承担风险。第五条私募基金业务活动的监督管理，应当贯彻党和国家路线方针政策、决策部署。国务院证券监督管理机构依照法律和本条例规定对私募基金业务活动实施监督管理，其派出机构依照授权履行职责。Ifthestateotherwiseprovidesforthesupervisionandadministrationofaprivatefundinitiatedorinvestedwithacertainproportiono

15、fgovernmentfunds,suchprovisionsshallprevail.Article6ThesecuritiesregulatoryagencyoftheStateCouncilshallcarryoutdifferentiatedsupervisionandadministrationofprivatefundmanagersaccordingtotheirbusinesstypes,sizeofmanagedassets,continuouscompliance,riskcontrolstatus,andinvestorservicecapabilities,amongo

16、thers,andcarryoutclassifiedsupervisionandadministrationofdifferenttypesofprivatefunds,suchasventurecapitalinvestmentandotherequityinvestmentandsecuritiesinvestment.ChapterIIPrivateFundManagersandPrivateFundCustodiansArticle 7 Aprivatefundmanagershallbealegallyformedcompanyorpartnership.Iftheassetsofaprivatefundestablishedintheformofapartnershiparemanagedbygene