| Private Investment Funds Risk Disclosure Statement Content and Format Guidelines |
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| Date：2016-06-14 View：3897 |
Private Investment Funds Risk Disclosure Statement Content and Format Guidelines
[Format example below, the risk disclosure statement shall include, but not limited to, the following]
Dear Investor:
Investment risk. When you / your organization's subscription or purchase private equity funds, may obtain investment income, but also faces the risk of investment. You / your organization before making an investment decision, please read this risk disclosure statement and the fund contract, articles of association or partnership agreement (hereinafter referred to as the fund contract), fully aware of the risk-return characteristics and product characteristics of the Fund, the Fund carefully consider the presence of various risk factors, and fully consider their own risk tolerance, rational judgment and prudent investment decisions.
According to relevant laws and regulations, fund managers [specific organization name] and investors make the following commitments and risk disclosure statement:
First, the fund managers are committed
(A) private equity fund managers to ensure that before the funds raised in China Securities Investment Fund Association (hereinafter referred to as China's fund industry association) registered as a private equity fund managers, and managers to obtain the registration code.
(B) private equity fund managers statement to investors, China fund industry association for the private fund managers and private equity fund manager registration does not constitute an investment capacity of private equity fund managers, continued compliance approval; not as a property fund guarantee.
(Iii) private equity fund managers to ensure that contracts signed before the fund investors (or has commissioned the fund sales institutions) to investors reveals the risks associated with; private equity investors already know about risk appetite, risk perception ability and affordability; private equity investor has a description of the laws and regulations that investment cooling-off period, the rights of investors and institutional arrangements for a return visit to confirm.
(Iv) private equity fund managers fulfill their duties in accordance with the commitment, honesty, prudence and diligence principles of management of the use of fund assets, the fund does not guarantee the profitability of the property, nor guarantee a minimum income.
Second, the risk of revealing
(A) specific risk disclosure
[Specific risk manager should be clarified in accordance with the particularity of private equity]
If the following matters should be particularly revealing risks:
1, the fund contract and contract guidelines China Fund Industry Association inconsistent risks involved;
2, private equity has not hosted the risks involved;
3, commissioned by private equity funds raise risk involved
4, the risks involved in outsourcing private equity matters;
5, private equity funds to hire an investment adviser of the risks involved;
6, the risks associated with private equity funds did not perform registration procedures in China's fund industry association.
(B) General Risk Disclosure
1, the risk of financial losses
Fund managers in accordance with dedication, honesty, prudence and diligence principles of management and use of fund assets, but does not guarantee the fund assets in the subscribed capital principal from loss, does not guarantee the profitability and minimum income.
This fund belongs to [corresponding rating level] risk investment products, for risk identification, assessment, affordability [corresponding rating level] qualified investors.
2, the fund operational risk
Fund managers based on a risk fund contract management and use of funds generated from property, the property shall be borne by the Fund and investors. Investors should be fully aware of the risks associated with investment operations, the risk should investors from fear.
3, liquidity risk
The Fund is expected existing period is the date of the establishment of the Fund [] until [the existence period] (including the extension period (if any)) and the end of the liquidation is completed. In the duration of the Fund, investors may face funding can not exit brings liquidity risk.
According to the actual operation of the investment, the Fund may have ended prematurely end or extension, investors could face entrusted funds can not withdraw on schedule and other risks.
4, raising the risk of failure
The establishment of the Fund subject to the provisions of relevant laws and regulations, the Fund may not meet the conditions for the establishment of risk and thus can not be established.
Fund managers bear responsibility for the way:
(A) the assumption of debt and expenses generated by the fund raising with its own property;
(B) the expiration of the fund raising period (the fund was unable to confirm the establishment of) 30 days after the return of investor money has been paid, plus the interest on deposits and the bank earlier.
5, the risk of investment targets (for equity-type)
The value of the underlying investments of the Fund's investments depends on the operating conditions, the former shareholders of the investment company's management and operations, changes in the relevant market macro-control policies, fiscal and tax policy, industrial policy, laws and regulations, economic cycles and regional market competition changes and so may affect the investment business conditions, thereby affecting the value of the fund's investment targets.
6, tax risk
Contractual Fund applicable tax collection laws may be due to the relevant national tax policy adjustments and changes, investors may also be due income tax policies related adjustment affected.
7, other risks
Including but not limited to legal and policy risk, risk, technology risk and operational risk and other force majeure events.
Third, investors declaration
As a private equity investor in the fund, I / agencies have been fully understood and carefully assess their risk tolerance, voluntary own risk investment in the private equity fund faces. I / institution made the following statements and declarations, and confirm (natural person investors in each end of the paragraph "[________]" within the signature, institutional investors on this page, last page, stamped, stamped Jifeng) and truth of its contents correct:
1, I / agencies have carefully read the private equity fund legal documents and other documents, to fully understand the rights and obligations of the private equity fund operation and risk-return characteristics, are willing to bear all the consequences caused by the risk. [________]
2, I / agencies know, fund managers, fund sales institutions, fund custodians and related agencies should not fund property of earnings to make any commitment or guarantee. [________]
3, I / agencies have the basic information queries by Chinese private equity fund manager fund industry association's official website (www.amac.org.cn), and will be completed after the filing of the private fund raising verified its settlement funds in the special account consistency with related information play money account information. [________]
4, before the purchase of the private equity funds, I / institutions have been met "private investment fund supervision Interim Measures" related to the conformity requirements of investors and has provided the relevant documents in accordance with the requirements of recruitment agencies. [________]
5, I / agencies have carefully read and fully understood all the contents of the contract funds, purchase and are willing to bear the legal responsibility of private equity funds. [________]
6, I / agencies have carefully read and fully understood all the contents of the fund contract Chapter Chapter ×× ×× Day "rights and obligations of the parties" and are willing to bear the legal responsibility for the purchase of private equity funds. [________]
7, I / agencies alerted, investment and institutional arrangements of calm returning, and the rights recognized in this period. [________]
8, I / agencies have carefully read and fully understand the fund contract Chapter Chapter ×× ×× Day "private investment fund" of all content and is willing to bear the legal responsibility for the purchase of private equity funds. [________]
9, I / agencies have carefully read and fully understand the fund contract Chapter Chapter ×× ×× Day "private fund fees and taxes" all of the content. [________]
10, I / agencies have carefully read and fully understand the fund contract Chapter Chapter ×× ×× Day "Settlement of Disputes" all content. [________]
11, I / agencies alerted, China Association for the private equity fund managers and private equity fund manager registration does not constitute an investment capacity of private equity fund managers, co-accredited continuing compliance situation; not as a property fund guarantee. [________]
12, I / institutional commitment this investment behavior is to buy private investment fund as my / institutions. [________]
13, I / institutional commitment not to split the illegal transfer of funds for the purpose of buying private and will not break the standard qualified investors, private equity funds will share split or illegal transfer of usufruct. [________]
Fund investors (natural persons or bodies signature stamp):
date:
Managers who (signature):
date:
Recruitment agencies (stamp):
date:
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