私募投资基金合同常见条款之基金募集条款

1 人赞同了该文章

基金募集条款是私募基金合同的核心条款之一,对基金的募集机构、募集对象、募集方式、募集期限以及基金份额的认购等作出了规定。以下为某私募投资基金合同中的相关双语示例,供参考:

 

示例一:

 

五、基金的募集

V. Offering of the Fund

 

(一)基金的募集机构、募集对象、募集方式、募集期限

(I) Offering institution, Offerees, offering method, and Offering Period

 

1.募集机构

Offering institution

 

本基金的募集机构包括基金管理人和其委托的销售机构(如有);如有需要, 基金管理人可以聘请销售机构代为推介、销售本基金, 并可根据情况变更或增减基金销售机构。本基金委托销售机构进行募集的,基金管理人应当以书面形式与销售机构签订基金销售协议,并将协议中关于基金管理人与销售机构权利义务划分以及其他涉及基金投资人利益的部分作为基金合同的附件。基金销售协议与作为基金合同附件的关于基金销售的内容不一致的,以基金合同附件为准。

The offering institutions of this Fund include the Fund Manager and its commissioned sales agency (if any). If necessary, the Fund Manager may hire a sales agency to promote and sell this Fund, and may change or increase or decrease the sales agencies of the Fund as required. If this Fund commissions a sales agency to handle the offering, the Fund Manager shall sign a fund sales agreement with the sales agency in writing, and use the provisions about the rights and obligations relationships between the Fund Manager and the sales agency and other provisions pertaining to the interests of the Fund Investors in such agreement as an annex to the Fund Contract. If any discrepancy exists between the fund sales agreement and the provisions related to the fund sales and used as an annex to the Fund Contract, the annex to the Fund Contract shall prevail.

 

2.募集对象

Offerees

 

本基金仅向符合《私募办法》规定的“合格投资者”募集,且该等合格投资者需符合附录A列明的条件。

This Fund is only offered to the "Accredited Investors" in compliance with the PE Measures and as required in Appendix A for qualified investors.

 

合格投资者包括“普通合格投资者”和“特殊合格投资者”。

Accredited Investors include "Ordinary Accredited Investors" and "Special Accredited Investors".

 

“普通合格投资者”指具备相应风险识别能力和风险承担能力,投资于单只私募基金的金额不低于100万元且符合下列相关标准的机构和个人:(1)净资产不低于1000万元的机构;(2)金融资产不低于300万元或者最近三年个人年均收入不低于50万元的个人。前款所称金融资产包括银行存款、股票、债券、基金份额、资产管理计划、银行理财产品、信托计划、保险产品、期货权益等。

An "Ordinary Accredited Investor" means (1) an institution whose net asset value is not less than RMB 10 million, or (2) an individual whose financial assets worth is not less than RMB 3 million or whose personal annual average income is not less than RMB 500,000 in the recent three years, and, in each case, who has the corresponding risk cognition and risk tolerance and invest at least RMB 1 million in a single private equity fund, where the financial assets include bank deposits, stocks, bonds, fund shares, asset management plans, bank wealth management products, trust plans, insurance products, futures interests, and the like.

 

“特殊合格投资者”,按其定义所述,包括下列投资者:(1)社会保障基金、企业年金等养老基金,慈善基金等社会公益基金;(2)依法设立并在中国基金业协会备案的投资计划;(3)投资于本基金的私募基金管理人及其从业人员;(4)中国证监会规定的其他投资者。法律法规对特殊合格投资者的定义或标准有所变更的,以届时有效的法律法规规定为准。

An "Special Accredited Investor" , as defined, means (1) a pension fund such as a social security fund and an enterprise annuity, and a social welfare fund such as a charity fund; (2) an investment plan legally established and record-filed with the AMAC; (3) a private fund manager who invests in this Fund and the practitioners thereof; and (4) other investors specified by the CSRC. In case of any change in the definition or determination of Special Accredited Investors, then effective laws and regulations will prevail.

 

尽管有前述约定,基金管理人有权在法律法规规定的基础上对前述合格投资者的相关标准进行调整,具体由基金管理人确定的为准。在本基金成立之后, 若届时法律法规经修订或补充后对合格投资者标准另有要求的, 则适用修订或补充后的法律法规; 在此前提下, 基金管理人有权要求届时不再符合合格投资者要求的基金份额持有人强制赎回其持有的全部本基金份额。

Notwithstanding the foregoing, the Fund Manager is entitled to adjust standards applicable to the said Accredited Investors as per laws and regulations, as determined by the Fund Manager.After the establishment of this Fund, if any amendments or supplements to the laws and regulations impose other requirements on the qualifications of the Accredited Investors, amended or supplemented laws and regulations shall apply. Subject to the foregoing, the Fund Manager shall have the right to request the Fund Share Holders ceasing to have qualifications as Accredited Investors to compulsorily redeem all their shares of this Fund.

 

3.募集方式

Offering method

 

本基金的募集机构为:直销机构(基金管理人自行募集)和/或基金管理人委托的符合法律法规及监管机构规定的销售机构。基金管理人可根据情况变更或增减销售机构。

The offering institution of this Fund is: a direct sales agency (by the Fund Manager itself) and/or a sales agency commissioned by the Fund Manager and compliant with the laws, regulations and regulatory provisions. The Fund Manager may change or increase or decrease the sales agencies as required.

 

本基金以非公开方式发行和募集。基金投资人可以在募集机构的营业场所或者按照募集机构提供的其他方式办理基金的认购业务。为避免歧义, 基金行政管理人不是本基金的销售机构。

This Fund is issued and offered non-publicly. Fund Investors may subscribe for the Fund at the place of business of the offering institution or in other ways provided by the offering institution. For the avoidance of doubt, the Fund Administrator is not a sales agency of the Fund.

 

基金投资人认购本基金的, 必须签署基金合同, 按基金合同规定的方式足额缴纳认购款项。认购成功的最终确认结果及具体金额和份额以基金行政管理人的确认结果为准。

To subscribe for this Fund, a Fund Investor shall sign the Fund Contract and pay the subscription amount in full in the manner prescribed in the Fund Contract. The final confirmation result and the specific amount and share of successful subscription are subject to a confirmation result issued by the Fund Administrator.

 

4.募集期限

Offering Period

 

本基金的募集期限由基金管理人根据相关法律法规的规定以及本合同的约定确定。基金投资人可在募集期内的工作日认购本基金。募集期具体起止时间请见募集说明书或以基金管理人届时通知为准。

The Offering Period of this Fund shall be determined by the Fund Manager in accordance with the relevant laws and regulations and the provisions of this Contract. A Fund Investor may subscribe for this Fund on a Working Day in the Offering Period. The specific start time and end time of the Offering Period are specified in the prospectus or otherwise notified by the Fund Manager.

 

当募集金额达到本基金的最低募集金额(或届时适用法律法规另行规定的其他金额),基金管理人有权提前终止募集期。基金管理人也有权根据本基金初始销售的实际情况按照相关程序对募集期做出调整(包括延长及缩短)。基金管理人决定对募集期做出调整的, 将及时通知基金投资人。该通知即视为履行完毕延长或缩短募集期的程序。

The Fund Manager has the right to terminate the Offering Period prematurely when the offering amount reaches the Minimum Offering Amount of this Fund. The Fund Manager also has the right to make adjustments (including extensions and reductions) to the Offering Period in accordance with the relevant procedures and depending on actual conditions of the initial sales of this Fund. Upon deciding to make an adjustment to the Offering Period, the Fund Manager shall notify the Fund Investors in time. Service of this notice is deemed as a fulfillment of the procedure of extending or reducing the Offering Period.

 

示例二:

 

五、基金的募集 Chapter V Raising of the Fund

 

(一)基金的募集机构、募集对象、募集方式、募集期限

Fund-Raising Agencies, Targets, Methods and Period

 

(1)募集机构

Fund-Raising Agencies

 

本基金的募集机构包括基金管理人和其委托的销售机构(如有); 如有需要, 基金管理人可以聘请销售机构代为推介、销售本基金, 并可根据情况变更或增减基金销售机构。本基金委托销售机构进行募集的, 基金管理人应当以书面形式与销售机构签订基金销售协议, 并将协议中关于基金管理人与销售机构权利义务划分以及其他涉及基金投资者利益的部分作为基金合同的附件。基金销售协议与作为基金合同附件的关于基金销售的内容不一致的, 以基金合同附件为准。

The fund-raising agencies of the Fund include the Fund Manager and its entrusted sales agency (if any); if necessary, the Fund Manager may engage a sales agency to promote and sell the Fund, and may change or increase or decrease the sales agencies as the case may be. If the Fund entrusts a sales agency to raise the fund, the Fund Manager shall sign a fund sales agreement with the sales agency in writing and include in a schedule to the Fund Contract the division of rights and obligations between the Fund Manager and the sales agency and other parts in the agreement involving the interests of investors. In case of any discrepancy between the fund sales agreement and the contents of the fund sales in the schedule to the Fund Contract, the schedule to the Fund Contract shall prevail.

 

(2)募集对象

Fund-Raising Targets

 

本基金面向符合《私募办法》规定的“合格投资者”(合格投资者包括“普通合格投资者”和“特殊合格投资者”)募集。

The Fund will be offered to "the Qualified Investors" (including "Ordinary Qualified Investors" and "Special Qualified Investors") in accordance with the Measures for the Private Investment Funds.

 

“普通合格投资者”指具备相应风险识别能力和风险承担能力, 投资于单只私募基金的金额不低于100万元且符合下列相关标准的机构和个人: (1)净资产不低于1000万元的机构; (2)金融资产不低于300万元或者最近三年个人年均收入不低于50万元的个人。前款所称金融资产包括银行存款、股票、债券、基金份额、资产管理计划、银行理财产品、信托计划、保险产品、期货权益等。

"Ordinary Qualified Investors" refer to the institutions and individuals who have the corresponding risk identification ability and risk tolerance, invest in a single private fund with the amount of not less than RMB 1 million yuan and meet the following relevant standards: (1) the institutions with the net assets of not less than RMB 10 million yuan; and (2) the individuals whose financial assets are not less than RMB 3 million yuan or whose average annual income in the past three years was not less than RMB 500,000 yuan. The financial assets mentioned in the preceding paragraph include bank deposits, stocks, bonds, fund units, asset management plans, bank financial products, trust plans, insurance products and futures interests etc.

 

“特殊合格投资者”包括下列投资者: (1)社会保障基金、企业年金等养老基金, 慈善基金等社会公益基金; (2)依法设立并在基金业协会备案的投资计划; (3)投资于本基金的私募基金管理人及其从业人员; (4)中国证监会规定的其他投资者。

"Special Qualified Investors" include the following investors: (1) social security funds, enterprise annuities and other pension funds, charitable funds and other social welfare funds; (2) investment plans established according to law and filed with AMAC; (3) the private fund managers who invest in the Fund and its practitioners; and (4) other investors stipulated by CSRC.

 

在本基金成立之后, 若届时法律法规经修订或补充后对合格投资者标准另有要求的, 则适用修订或补充后的法律法规; 在此前提下, 基金管理人有权要求届时不再符合合格投资者要求的基金份额持有人强制赎回其持有的全部本基金份额。

After the establishment of the Fund, if there are other requirements in the standards for Qualified Investors by the Laws and Regulations amended or supplemented, such Laws and Regulations amended or supplemented shall be applicable; on this premise, the Fund Manager has the right to require the Fund Unit Holders that no longer meet the requirements of Qualified Investors to mandatorily redeem all Fund Units held by them.

 

(3)募集方式

Fund-Raising Methods

 

本基金通过直销机构(基金管理人)和/或基金管理人委托的符合法律法规及监管机构规定的销售机构进行募集。本基金以非公开方式发行和进行募集。

The Fund shall be raised through the direct selling agency (the Fund Manager) and/or the sales agency entrusted by the Fund Manager who complies with the Laws and Regulations and the provisions of the regulators. The Fund shall be issued and raised privately.

 

基金投资人认购本基金的, 必须签署基金合同及提供相关的信息作认购用途, 按基金合同规定的方式足额缴纳认购款项。认购成功的最终确认结果及具体金额和份额以基金行政管理人的确认结果为准。

The Fund Investor who subscribes for the Fund shall sign the Fund Contract, provide the relevant information for the purpose of Subscription, and pay the subscription amount in full in the manner specified in the Fund Contract. The successful Subscription and the specific amount and the Units thereof shall be subject to confirmation by the Fund Administrator.

 

若基金投资人未能及时提供认购所需的信息, 可能导致基金管理人无法或拒绝接受处理认购申请或无法遵守适用的法律法规, 基金管理人则不对由此而造成的损失负上任何责任。在适用的法律法规允许的前提下, 基金投资人的信息可能因申购而被使用及披露予相关机构。

If The Fund Investor fails to provide the information required for the Subscription in a timely manner, it may cause the Fund Manager to be unable to or refuse to accept the processing of the subscription application or to be unable to comply with the applicable Laws and Regulations, and the Fund Manager shall not be liable for any loss caused thereby. Subject to the applicable Laws and Regulations, the Fund Investor's information may be used and disclosed to the relevant institutions due to the Purchase.

 

(4)募集期限

Fund-Raising Period

 

本基金的募集期限由基金管理人根据相关法律法规的规定以及本合同的约定确定。基金投资人可在募集期内的境内工作日认购本基金。募集期具体起止时间请见募集说明书或以基金管理人届时通知为准。

The fund-raising period of the Fund shall be determined by the Fund Manager in accordance with relevant Laws and Regulations and the Contract. The Fund Investor can subscribe for the Fund on any Domestic Working Day within the fund-raising period. For the specific starting and ending time of the fund-raising period, please see the Prospectus or the notice sent by Fund Manager at that time.

 

基金管理人有权根据本基金初始销售的实际情况按照相关程序对募集期做出调整(包括延长及缩短, 延长后不得超过相关法律法规规定的募集期期限上限)。基金管理人决定对募集期做出调整的, 将及时通知基金投资人。该通知即视为履行完毕延长或缩短募集期的程序。

The Fund Manager has the right to make adjustments to the fund-raising period according to the actual conditions of the initial sales of the Fund in accordance with relevant procedures (including extension and shortening, while any extension shall not exceed the upper limit of the fund-raising period stipulated by relevant Laws and Regulations). If the Fund Manager decides to make adjustments to the fund-raising period, it shall notify the Fund Investors in a timely manner. The aforesaid notification is deemed to have completed the process of extending or shortening the fund-raising period.

 

(二)基金份额的认购

Subscription for Fund Units

 

(1)合格投资者人数上限

Maximum Number of Qualified Investors

 

本基金向合格投资者募集, 并按《私募办法》第十三条的规定合并计算投资者人数, 本基金的合格投资者不得超过200名。若法律法规将来另有规定的, 从其规定。

The Fund shall raise funds from Qualified Investors, and the number of investors shall be calculated according to Article 13 of the Measures for the Private Investment Funds. The number of the Qualified Investors of the Fund shall not exceed 200. If the Laws and Regulations provide for otherwise in the future, such provisions shall prevail.

 

(2)认购费用

Subscription Fees

 

本基金不收取任何认购费用。

The Fund does not charge any subscription fees.

 

(3)认购价格

Subscription Price

 

本基金认购采用金额申请的方式。认购价格(即, 本基金初始销售面值)为人民币1.000元/份。

The Subscription for the Fund takes the form of application by money amount. The Subscription price (that is, the initial sales face value of the Fund) is RMB 1.000 yuan/unit.

 

(4)认购申请的确认

Confirmation of Subscription Application

 

认购申请受理完成后, 不得撤销。基金行政管理人受理认购申请并不表示对该申请有效或申请成功的确认, 而仅代表基金行政管理人确实收到了认购申请。基金行政管理人对于募集期内认购申请采取“时间优先, 金额优先”原则进行确认, 任何将导致超出合格投资者人数上限的认购申请为无效申请。认购申请是否有效应以基金行政管理人的确认为准。

Once a subscription application has been accepted, it cannot be revoked. The fact that the Fund Administrator accepts a subscription application does not represent a confirmation that the application is valid or successful, but merely that the Fund Administrator has actually received the subscription application. The Fund Administrator adopts the principle of "time first, amount first" to confirm the subscription applications within the fund-raising period. Any subscription application that will result in the maximum number of Qualified Investors to be exceeded is invalid. Whether a subscription application is valid shall be determined by the Fund Administrator.

 

若认购不成功, 基金投资人已交付的款项将于确认认购不成功后5个境内工作日内, 将基金投资者的全部认购款项(但不包括所产生的利息(如有))退还至基金投资人的银行账户。

If the Subscription is unsuccessful, all amounts paid by the Fund Investor (excluding the interests incurred, if any) will be refunded to the Fund Investor's bank account within five Domestic Working Days after the confirmation of the unsuccessful Subscription.

 

(5)认购份额的计算方式

Method of Calculating Subscription Units

 

净认购金额=认购金额÷(1+认购费率)

Net Subscription Amount = Subscription Amount ÷ (1 + Subscription Fee Rate)

 

认购费用=认购金额-净认购金额

Subscription Fees = Subscription Amount – Net Subscription Amount

 

认购份额=净认购金额÷本基金初始销售面值

Subscription Units = Net Subscription Amount ÷ Initial Sales Face Value of the Fund

 

认购份额保留到小数点后2位, 小数点后第3位四舍五入, 由此产生的误差计入基金财产。

The Subscription Units shall be kept to two decimal places with the third decimal place rounded, and the resulting error shall be credited to the Fund Properties.

 

(6)募集期间基金投资人资金的管理

Management of the Fund Investor’s Funds within the Fund-Raising Period

 

基金募集期间, 基金投资人的认购资金应存入募集账户, 在本基金募集期结束之前, 任何人不得动用, 本基金亦不接受赎回申请。

During the fund-raising period of the Fund, the Fund Investor's subscription funds shall be deposited into the Collection Accounts. No one can use them and the Fund does not accept redemption applications until the end of the fund-raising Period.

 

基金投资人于本基金募集期内以人民币交付的认购资金, 将于本基金成立后兑换为美元并用于申购主基金, 在前述期间内人民币兑美元的汇率可能上下波动, 进而影响本基金实际投资于主基金的金额。

The subscription funds delivered by the Fund Investor in RMB during the fund-raising period will be converted into dollars after the establishment of the Fund and used for the purchase of the Primary Fund. The exchange rate between RMB and Dollar may fluctuate during the aforesaid period, thus affecting the actual amount of the Fund's investment in the Primary Fund.

 

(7)募集期间资金利息的处理方式

Treatment of the Funds Interests during the Fund-Raising Period

 

有效认购款项在基金募集期间形成的利息归入基金资产。利息金额按银行同期活期利率计算, 具体金额以募集账户实际到账利息数额为准。

The interests accrued by the valid Subscriptions during the fund-raising period shall be classified as the fund assets. The interest amount shall be calculated at the current interest rate of the bank for the same period. The specific amount shall be subject to the interest amount actually received by the Collection Accounts.

 

(三)基金的认购金额和认购款支付

Subscription Amount and Payment of Subscription Amount

 

(1)认购金额

Subscription Amount

 

基金投资人在募集期间内认购本基金的, 单个基金投资人的首笔认购金额不得低于人民币100万元, 并可在募集期内分多次追加认购或在基金成立后追加申购, 募集期间每次追加认购金额应不低于10万元人民币。追加金额应为10万元的整数倍。

If a Fund Investor subscribes for the Fund during the fund-raising period, the first subscription amount of such single Fund Investor shall not be less than RMB 1 million yuan, and additional Subscriptions can be made several times within the fund-raising period or additional Purchases can be made after the Fund is established, provided that during the fund-raising period, the amount of each additional Subscription shall not be less than RMB 100,000 yuan. The additional amount shall be an integral multiple of RMB 100,000 yuan.

 

(2)认购款付款期限

Payment Term of the Subscription Amount

 

基金投资人应当在募集期内支付认购款项, 即将其申请认购的金额足额汇入本基金的募集账户。为免歧义, 基金投资人应于募集机构指定的日期及方式支付认购款项。

The Fund Investor shall pay the subscription amount within the fund-raising period and remit the full amount in the subscription application to the Collection Accounts of the Fund. For the avoidance of doubt, the Fund Investor shall pay the subscription amount on the date and in the manner specified by the fund-raising agency.

 

(四)本基金募集账户及其监督机构

Collection Accounts of the Fund and Supervision Agency

 

(1)直销

Direct Selling

 

本基金募集账户的具体信息如下所示(或以基金管理人出具的公告为准):

 The specific information of the Fund’s Collection Account is as follows (or subject to the announcement issued by the Fund Manager):

账户中文名称: XXXX - XXXX证券投资私募基金(募集账户)

Account Name in Chinese: XXXX - XXXX证券投资私募基金(募集账户)

账户英文名称: (不适用)

Account Name in English: (N/A)

账号: XXX

Account No.: XXX

开户行: XXX

Opening Bank: XXX

开户行大额支付系统号: XXX

Opening Bank’s Large Amount Payment System No.: XXX

 

募集账户监督机构: 中国建设银行股份有限公司北京市分行XXX分行

Collection Account Supervision Agency: China Construction Bank Corporation Beijing Branch

 

在遵守相关法律法规的前提下, 本基金募集账户的账户信息如有变更的, 以基金管理人届时通知为准。

Subject to the relevant Laws and Regulations, if there is any change in the account information of the Fund’s Collection Account, the Fund Manager shall notify the change at that time.

 

(2)代销

Selling by Proxy

 

基金投资人通过基金管理人委托的第三方募集机构认购基金的, 应将认购款划入第三方募集机构指定的募集账户, 或由第三方募集机构根据基金投资人的认购指令从基金投资人的账户中进行扣划, 第三方募集机构应自行聘请监督机构对其指定的募集账户进行监督。募集账户的开户行、账户名称、账户号码及监督机构等信息以第三方募集机构的通知为准。

If a Fund Investor subscribes for the Fund through a third-party fund-raising agency entrusted by the Fund Manager, the Fund Investor shall transfer the subscription amount to the Collection Account designated by such third-party fund-raising agency, or such third-party fund-raising agency shall deduct the subscription amount from the Fund Investor’s account in accordance with the subscription instruction of the Fund Investor. The third-party fund-raising agency shall engage a supervision agency to supervise the Collection Account designated by it. The opening bank, account name, account number and supervision agency of the Collection Account shall be subject to the notice of the third-party fund-raising agency.

 

(3)基金募集

Raising of the Fund

 

在基金募集行为结束之前, 任何人不得动用募集资金。对募集账户的监控由账户监督机构负责。基金投资者将委托资金划入本基金募集账户的汇出账户为投资者收益账户, 基金管理人只能将募集账户中的资金定向划拨至本基金对应的托管账户(认购、申购时)、投资者收益账户(定期支付、赎回、清算时)及基金管理人的账户(划拨认购费、赎回费等在本基金合同中列明的费用时)等。Prior to the end of the fund raising, no one may use the funds raised. It is the responsibility of the account supervision agencies to supervise the Collection Accounts. The account from which the Fund Investor transfers the entrusted funds into the Fund’s Collection Account is the Investor's income account. The Fund Manager can only transfer the funds in the Collection Accounts to the Escrow Account of the Fund (upon Subscription or Purchase), the investor’s income account (upon Regular Payment, Redemption and liquidation) and the Fund Manager's account (upon transfer of the fees listed in the Fund Contract such as the Subscription fees and the Redemption fees, etc.).

 

发布于 2023-06-28 12:01:46
还没有评论
    旗渡客服