海南QDLP基金企业全流程服务方案中英对照版

为了支持海南高效落实开展合格境内有限合伙人（QDLP）试点工作，进一步满足境内投资者全球资产配置的需求，海南自由贸港金融发展中心（以下简称“海金中心”）率先推出面向QDLP基金企业的全流程服务方案，提供一对一专人 “一站式”服务，旨在更好地提升QDLP基金企业的落地效率，优化海南营商环境，助力QDLP基金企业合理、高效的开展境外投资业务。

In order to support the implementation of the Qualified Domestic Limited Partner (QDLP) pilot program in Hainan and meet the needs of domestic investors for global asset allocation, Hainan Free Trade Port Financial Development Center (hereinafter the "HFDC") has taken the lead and prepared the QDLP service solution covering the full application procedure. The “one-stop” one-to-one service solution will improve the efficiency of application procedure, optimize the business environment of Hainan and help QDLP fund enterprises investing overseas in more rational and efficiency ways.

一、 QDLP基金管理人 QDLP fund managers

（一）拟设企业资质诊断

相关股东发起设立QDLP试点管理企业，海金中心为其提供资质诊断，出具背景调查报告，协助金融局进行资质审核，确保申请QDLP资质的试点管理企业的主要股东、关联实体以及从业人员未出现重大风险、不符合海南QDLP暂行办法及其它相关法律法规的情况。

1. Qualification diagnosis of the proposed enterprise

When the fund shareholders initiate the establishment of the pilot fund management enterprise, HFDC will provide qualification diagnosis for the proposed pilot fund management enterprise, issue background investigation report, and assist theHainan Financial Supervision Bureau in qualification check. Ensure there is no significant risk with the major shareholders, associated entities and practitioners of the QDLP application enterprise, comply with relevant laws and regulations with the interim measures for Hainan QDLP.

（二）沟通申请计划

海金中心将根据试点管理企业的实际情况，提供全流程落地服务，包括前期政策咨询、工商开户咨询等，协助企业理清思路，搭建投资框架，对拟投资规模、拟投方向等需参考政策文件的内容提出合理建议。

2.  Consultation of application plan

According to the status quo of the pilot fund management enterprise, HFDC will provide full range consultation, including government policies interpretation, business registration consulting, etc. Assist the enterprises clarify investment framework, provide reasonable suggestions for the proposed investment scale and direction based on the financial policies.

(三）准备申请材料

在试点管理企业准备申请材料阶段，协助企业梳理、修改、排版、装订申请材料，检查企业材料内容是否齐全、完整和无重大遗漏。

3. Preparation of application materials

Assist the preparation of application materials for pilot fund management enterprise, including sorting, modifying, typesetting and binding. Checking the contents of the application materials and ensure the completeness without major omissions.

（四）将材料递交至金融局

海金中心协助试点管理企业将材料递交至金融局，为试点管理企业提高申请效率，节约人力成本和时间成本。

4. Submitting the materials to the Hainan Financial Supervision Bureau

The HFDC assists the pilot management enterprises to submit the materials to Hainan Financial Supervision Bureau, improve the efficiency of the application and save labor cost and time cost for the pilot fund management enterprise.

（五）省金融局补充材料（如需）

根据反馈意见，协助试点管理企业修改和补充材料。进一步节约企业的人力成本和时间成本。

5. Supplementary materials for internal audit required by the Hainan Financial Supervision Bureau (if needed)

Assist pilot management enterprises in revising and supplementing materials based on internal audit comments. Save the labor and time cost for the pilot fund management enterprise.

（六）省直部门联审

省金融局组织省直部门共同审核企业材料。对其专业程度、私募投资履历、海外投资策略和拟投资项目的实际情况等进行综合评估，提出试点企业名单及试点额度建议。

6. Joint review of provincial departments

Hainan Financial Supervision Bureau organizes provincial departments to jointly review and comprehensively evaluate the application based on the expertise, private investment experience,overseas investment strategies, the actual needs of the proposed investments, etc. of the applicant, and put forward the proposed list of the pilot fund enterprises and the suggestions on their initial pilot quota.

（七）企业获得试点额度

由省金融局向申请人出具同意开展试点、给予试点额度的书面意见。

7. Pilot Quota of Enterprises

The written opinion issued by the provincial administration for financial regulation on granting the pilot qualification and pilot quota (The first batch of pilot enterprises and quota proposals need to be reported to the provincial government for approval).

（八）工商注册

试点管理企业取得获准书面意见后，可直接凭获准试点书面意见到拟注册地市监局办理登记注册，海金中心可指导企业进行工商注册。

8. Business registration

After obtaining the written opinion on granting the pilot qualification and quota, the pilot fund management enterprise and pilot fund shall conduct registration with the provincial administration for market regulation and conduct the registration.HFDC can guide the enterprises for business registration.

（九）银行开户

试点管理企业在完成工商注册后，可凭借工商注册材料和金融局的书面批复文件到银行办理银行开户。海金中心对接和提供相关银行资源，助力企业高效办理相关业务。

9. Opening bank accounts

Registered pilot management enterprises can open bank accounts upon business registration materials and written approval documents of theprovincial administration for financial regulation. HFDC cooperates with banks and provides relevant banking resources to help enterprises handle relevant business efficiently.

（十）中基协登记

试点管理企业股东实缴资金到位后，需依据中基协相关要求进行登记。海金中心助力企业登记，推荐专业律师事务所，协助与中基协沟通。

10. Register with AMAC

After the pilot management enterprises registered capital was paid in full, the pilot fund management enterprise shall conduct the registration procedure with the AMAC. HFDC can coordinate with AMAC.

（十一）定期监管审查

试点基金管理企业应按期向省金融监管部门提供季度、年度报告。季度报告包括但不限于认缴规模、实缴规模、投资者情况、投资情况、退出情况、基金净值以及购汇、结汇、账户资金变动等；年度报告包括但不限于上年度试点基金的资金变动、结售汇情况、境外投资情况报告、重大事项变更、审计报告等情况。海金中心将协助企业和金融局做好信息披露沟通。

11. Periodic Regulatory Scrutiny

The pilot fund management enterprises shall submit quarterly and annual reports to the provincial administration for financial regulation on time. The quarterly report shall include, without limitation to, subscription scale, scale of paid-in capital, investor information, investment, exit, net asset value of the funds, purchase and settlement of foreign exchange, change of funds in the account, etc.; the annual report shall include, without limitation to, change of funds, settlement and sale of foreign exchange, overseas investment, major changes, audit report, etc. of the pilot funds for the last year.HFDC will assist communication between enterprises and theprovincial administration for financial regulation.

二、 QDLP基金产品 QDLP Fund Products

（一）基金企业批文获取

设立形式为公司型、合伙型的试点基金，则需要向海南市场监督管理局提交金融局等相关部门出具的试点书面意见办理登记注册。海金中心将协助企业在管理人申请时一并获得产品的试点书面意见。

1. Approval of Fund Enterprises

Official registration requires pilot funds in the form of corporation and partnership to submit pilot written opinion draw by theprovincial administration for financial regulation and other related authorities to theprovincial administration for market regulation. HFDC will assist enterprises' managers in applying and obtaining pilot written opinions.   

（二）工商注册

金融局等相关部门为试点基金出具试点书面意见后，将对接市监局（这一步无需企业参与），试点基金企业可直接到拟注册地市监局办理登记注册，海金中心可指导企业进行工商注册。

2. Business Registration

Theprovincial administration for financial regulation and other related authorities will contact with the provincial administration for market regulation after issuing written opinions for pilot funds (without enterprise involvement). HFDC can guide pilot fund enterprises to conduct business registration in the proposed provincial administration for market regulation.

（三）银行开户

试点基金可到银行开立募集户向境内合格投资者募资，同时开立托管户对所募集资金进行托管。海金中心对接和提供相关银行资源，助力企业高效办理相关业务。

3. Opening bank accounts

Pilot fund managers can open accounts for pilot fundraising from qualified domestic investors and custody of funds. HFDC can connect the pilot fund enterprises with banking resources to execute the business efficiently.

（四）中基协备案

试点基金募集的资金到位后，需依据中基协相关要求进行备案。海金中心助力试点基金备案，协助与中基协沟通。

4. Filing with the AMAC

After the pilot management enterprises registered capital was paid in full, the pilot fund management enterprise shall conduct the filing procedure with the AMAC.

（五）外汇登记

试点基金需要携带申请书、同意开展试点和给予试点额度的书面意见、中基协登记和备案证明、对境外投资（流出）规模进行合理性说明等相关材料到外汇管理局海南分局办理外汇登记。海金中心协助企业准备齐全的材料到外汇管理局海南分局办理外汇登记。

5. Foreign Exchange Registration

Pilot fund needs to bring the application letter, written opinions on granting the pilot qualification and pilot quota, the registration and filing certificate of the AMAC, and the rationality explanation of the scale of overseas investment (outflow) to the Hainan Branch of the SAFE for foreign exchange registration. HFDC can assist enterprises to prepare complete materials for foreign exchange registration at Hainan Branch of SAFE.

（六）开展实际投资业务

试点基金在银行完成结汇后，开展境外投资业务。

6. Conduct investment business

Pilot funds will conduct oversea investment business after bank settlement.

（七）定期监管审查

所做事项与试点管理企业相同，海金中心将协助企业和金融局做好信息披露沟通。

7. Periodic Regulatory Scrutiny

HFDC will promote communication between enterprises and theprovincial administration of financial regulation, as pilot management enterprises do.