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并购重组行政许可审核

Re: Q&A in connection with the requirements on private investment fund filing and establish of assets management plan in the process of approval and examination of administrative licensing for merger, acquisition and restructuring for listed companies

 

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上市公司并购重组行政许可审核中,对私募投资基金备案及资产管理计划设立有何要求?2015年9月18日

What are the requirements on private investment fund filing and establish of assets management plan in the process of approval and examination of administrative licensing for merger, acquisition and restructuring for listed companies? (September 18, 2015)

  

答复:(一)私募投资基金备案要求

Reply: (I) Requirements on private investment fund filing

 

1.资产重组行政许可申请中,独立财务顾问和律师事务所应当对本次重组是否涉及私募投资基金以及备案情况进行核查并发表明确意见。涉及私募投资基金的,应当在重组方案实施前完成备案程序。

In the process of application for assets restructuring administrative licensing, the independent financial advisor and law firm should check whether this restructuring involves private investment fund and its filing status, and also provide explicit advice. If private investment fund is involved in this restructuring, filing procedure should be completed before implementation of such restructuring plan.

  

如向我会提交申请材料时尚未完成私募投资基金备案,申请人应当在重组报告书中充分提示风险,并对备案事项作出专项说明,承诺在完成私募投资基金备案前,不能实施本次重组方案。

If an applicant has not yet completed the filing of private investment fund while it submits application documents to CSRC, the applicant should fully prompt the risks in the restructuring report and make a special explanation to matter of filing and promise that it will not implement this restructuring plan before accomplishing the filing of private investment fund.

  

在我会审核期间及完成批准程序后,完成私募投资基金备案的,申请人应当及时公告并向我会出具说明。独立财务顾问和律师事务所应当对备案完成情况进行核查并发表明确意见。之后,方可实施重组方案。

If an applicant has already completed the filing of private investment fund during the period of approval and examination by CSRC and after completion of approval procedure, the applicant should timely make public announcement and submit an explanation to CSRC. The independent financial advisor and law firm should check the completion status of the filing and also provide explicit advice, upon which, the restructuring plan can be implemented.

 

2.要约豁免义务申请中,申请人为私募投资基金的,应当在我会受理前完成备案程序。财务顾问(如有)、律师事务所应当在《财务顾问报告》、《法律意见书》中对本次申请涉及的私募投资基金以及备案完成情况进行核查并发表明确意见。

Where an applicant applying for offer exemption is a private investment fund, the filing procedure should be completed before acceptance by CSRC. The financial advisor (if any), law firm shall check the private investment fund and the completion status of the filing involved in this application in the Financial Advisor Report and the Legal Opinion and provide explicit advice.

  

(二)资产管理计划监管要求 (II) Supervision requirements on assets management plan

 

资产管理计划参与配套募集资金且尚未成立的,在重组方案提交上市公司股东大会审议时,应当已有明确的认购对象以及确定的认购份额。

Assets management plan which is involved in supporting arising funds but has not been set up yet shall have specific purchaser and certain subscription quota when the restructuring plan is submitted to the general meeting of listed companies for deliberation.

 

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