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私募监管顶层设计呼之欲出

2017-09-01 08:16:52   中国经济网

星石投资总经理杨玲进一步分析,《暂行条例》意义重大,不仅填补了私募行业法律体系上的空白,而且将部分自律规则和部门规章的内容上升到了行政法规的级别,行业监管实现“装备升级”。《暂行条例》出台之后,私募行业的规范和进化将因此再度“提速”,其中合规、诚信、专注投资的私募在监管中实现“良币驱逐劣币”,私募行业作为一个有担当的、强大的资管品种指日可待。对于投资人而言,强有力的监管意味着对他们的保护加强,私募行业更值得放心投资。

明确私募基金管理人和托管人职责

《暂行条例》与《证券投资基金法》的有关规定相衔接,针对私募基金的性质和特点,明确了私募基金管理人和托管人的职责等相关问题。

私募基金管理人应由依法设立的公司或者合伙企业担任,同时具备满足业务运营需要的营业场所、从业人员等条件。《暂行条例》还列出了五种不得担任私募基金管理人、主要股东或者合伙人的情形,以及六种不得担任私募基金管理人的董监高、执行事务合伙人及其委派代表的情形。

记者注意到,除了“依法募集资金,办理基金备案手续”、“按照基金合同管理基金,进行投资”等八种职责外,私募基金管理人还须履行“编制定期基金报告”等职责。

按照要求,私募基金管理人在初次开展资金募集、基金管理等业务前向基金行业协会提交“股东、实际控制人、董事或者合伙人名单”等七类文件。未经登记,任何单位或者个人不得使用“基金”、“基金管理”等字样或者近似名称进行本条例规定的投资活动。具有“登记后6个月内未备案首只私募基金的”等七种情形之一的将会被注销基金管理人登记。

就私募基金托管人而言,其需履行“安全保管基金财产,对所托管的不同基金财产分别设置账户,确保基金财产的完整与独立”等四种职责。私募基金托管人应当按照法律、行政法规和国务院证券监督管理机构的规定,建立托管业务和其他业务的隔离机制,有效防范利益冲突,保证基金财产的独立和安全。

清和泉资本副总经理钱卫东表示,参考已有的相关政策和指引,本次《暂行条例》没有过多新增要求,更多的在于对某些定义和范围的明确。不得担任私募基金管理人以及股东、合伙人的五种情形为新增规定,首次提出了私募基金管理人以及股东、合伙人的“黑名单”,进一步提高了私募基金的准入门槛,特别是限制负债较高的企业设立私募基金。目的在于保持私募基金管理人经营的持续性和稳定性,防止高负债经营或者现金流断裂导致破产的风险。

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