摘要
私募基金管理人是私募基金的运作核心,私募基金管理人的准入制度——注册制的完善极为关键。中国金融领域实行"分业经营、分业监管",私募基金管理人注册机构分置化、注册标准碎片化,导致私募基金管理人注册制度非常混乱,亟待统一。应当扩大私募基金管理人注册制度的外延;在具体制度的构建上,私募基金管理人应以实质审查的注册登记为原则,豁免注册为例外;对小型和从事创业投资的私募基金管理人应当豁免注册,但应实行"低度备案"。
Private equity firms play a significant role in raising private equity funds, therefore, more importance should be attached to the private equity firm qualification-registration system. Due to the separate operation mode and the separate supervision mode in Chinese financial industry, the compartmentalized registration authorities and scattered registration standards resulted in registration chaos. The first step of improving the private equity firm registration system is to extend the regulation of Securities Law of People＇s Republic of China and to confirm the exclusive regulatory power of China Securities Regulatory Commission, which can be completed by separation of the establishment and the registration of private equity firm, by substantive examination of abovementioned registration formalities except for legal exemption thereof and by those in small size or especially for venture
出处
《学术月刊》
CSSCI
北大核心
2015年第1期109-114,共6页
Academic Monthly
关键词
私募基金管理人
注册豁免
实质审查
低度备案
private equity firm registration system, legal exemption, substantive examination, simplified filing of exempted
