Compliance Center

Core of Suitability Management: Know Your Customer (KYC), product risk grading, investor classification management, and suitability matching.

Core Advertising Law Provisions: Prohibition of False Advertising, Prohibition of Absolute Language, Mandatory Risk Disclosure for Financial Ads, and No Guarantees of Principal or Returns

Core Provisions of the Personal Information Protection Law: Lawfulness, Legitimacy, and Necessity; Informed Consent; Data Minimization; Transparency in Automated Decision-Making

Core Provisions of the Cybersecurity Law: User Information Protection, Rules for Collection and Use of Personal Information, and Data Security Obligations

Core Provisions of the Fund Law: Fund Information Disclosure Requirements, Prohibition on Public Solicitation for Private Funds, and Qualified Investor Regime

Core Principles of Financial Marketing Compliance: Prohibit False Advertising, Prohibit Return Promises, Mandate Risk Disclosures, Implement Content Review Mechanisms

Strengthen self-regulatory management of private securities investment funds, standardize activities such as fundraising, investment, and operations, and clarify regulations on investment ratios, leverage requirements, and over-the-counter derivatives trading.

Regulatory regulations at the administrative law level for private funds, comprehensively governing the registration of private fund managers, fund filing, capital raising, investment operations, special provisions for venture capital funds, and legal liabilities.

Standardize the filing process for private securities investment funds by clarifying requirements for solicitation materials, investor suitability, fund contract terms, and performance fee calculations.

Standardize the filing process for private equity and venture capital funds, clarifying rules on investment scope, fund structure, fee management, and liquidation.

Standardize performance appraisal and compensation management practices for fund management companies, establish a performance evaluation system centered on fund investment returns, and strengthen long-cycle assessment and deferred payment mechanisms for performance-based compensation.

Strengthen self-discipline management for practitioners, standardize professional conduct, and specify requirements for qualification acquisition, registration, continuing education, and integrity information management.

Standardize the content and format of contracts for private securities investment funds of the contractual type, covering complete clauses on rights and obligations of parties, fund share registration, investment operations, and profit distribution.

Standardize information disclosure practices for private investment funds by clarifying the responsibilities of disclosing parties, required content, disclosure frequency, and self-regulatory requirements.

Standardize the process for changing managers of private investment funds, clarify procedures, requirements for new managers, and dispute resolution mechanisms to protect investors' legitimate rights and interests.

Standardize the essential clauses of partnership agreements for limited partnership private investment funds, including partners' rights and obligations, managing partner responsibilities, profit distribution, and other key matters.

Standardize information disclosure practices for listed companies' cooperative investments with private equity funds, clarifying requirements for disclosed content, risk warnings, and progress announcements.

Standardize private fund raising activities by clarifying the raising procedures (identification of specific investors, suitability matching, risk disclosure, cooling-off period, and follow-up confirmation). Public solicitation and non-compliant commitments are prohibited.

Mandatory provisions for the articles of association of a corporate private equity fund, including shareholders' rights and obligations, investment matters, management methods, profit distribution, and other key items.

Standardize the requirements for issuing legal opinion letters on private fund manager registration, and clarify the due diligence obligations and specific verification contents of the practicing lawyers and law firms.

Guidance on Private Fund Manager Registration and Key Post-Registration Requirements, covering general requirements, operational conditions, senior personnel qualifications, business name and scope, and investor eligibility.

Standardize private asset management business of securities and futures operating institutions, protect investors' rights, and clarify requirements for business entities, fundraising, investment operations, and information disclosure.

Strengthen internal compliance management at securities and fund operating institutions, clarifying requirements for compliance responsibilities, organizational structure, and supporting measures.

Standardize integrity practices for securities and futures operating institutions and their personnel, prohibit the transfer of improper benefits, and strengthen integrity risk prevention and control.

Standardize the appointment management and professional conduct of personnel at securities and fund operating institutions by clarifying requirements for eligibility, professional standards, and履职 restrictions.

Standardize the use of insurance funds, mitigate investment risks, and clarify requirements for investment forms, decision-making mechanisms, and risk management.

Standardize qualification requirements for legal representatives, senior executives, and other high-level personnel of private fund managers; clarify standards for recognizing relevant work experience and investment performance; prohibit挂靠 employment and frequent changes.

Strengthen private fund regulatory requirements by prohibiting public fundraising, guaranteed principal and returns promises, fund pooling operations, and benefit transfers; clarify investment scope restrictions and related-party transaction management standards.

Standardize the capital contribution structure and actual controller determination for private fund managers, clarify requirements for equity tracing verification, obligations for related party disclosure, and regulations on foreign shareholders.

Standardize the basic operating conditions for private fund managers, including requirements for name and business scope, capital adequacy, independence of business premises, full-time staff, and internal control system development.

Standardize private equity fund activities, protect investors' rights, and clarify requirements for registration and filing, qualified investors, capital raising, and investment operations.

Guide private fund managers to strengthen internal controls, establish and improve internal control mechanisms, clarify internal control objectives and principles, and enhance risk prevention capabilities.

Guide private equity funds toward professional valuation by establishing valuation principles and methods (market approach, income approach, cost approach) to protect fund holders' interests.

Standardize private equity fund naming practices: prohibit misleading terms; ensure names align with the fund's business category and investment scope to prevent confusion with public offerings.

Ensure private fund managers maintain accessible investor service channels, standardize procedures and measures for handling uncontactable investors, and safeguard investors' legitimate rights and interests.