私募合规再升级！多地下发通知自查自纠

Core Viewpoint - Recent regulatory scrutiny has intensified across multiple regions in China, focusing on self-assessment and compliance within private equity firms, with specific deadlines set for completion of these evaluations [1][4][5]. Group 1: Self-Assessment Requirements - The self-assessment process includes three main areas: company basic conditions, fund operation conditions, and the status of unregistered partnership enterprises [1][2]. - For company basic conditions, firms must verify their office space, employee count, and compliance with registration requirements for changes in key personnel [1]. - Fund operation conditions cover compliance in areas such as promotional activities, risk assessment, and investment operations, with specific requirements for different types of funds [1][2]. Group 2: Regulatory Notifications - Various regions, including Guangdong and Zhejiang, have issued notifications requiring private equity firms to complete self-assessments by specific dates, focusing on compliance in fundraising, investment operations, and internal controls [4][5]. - The notifications emphasize the importance of accurate information disclosure and the need for firms to address any potential compliance issues [4][5]. Group 3: Compliance and Enforcement - The regulatory bodies plan to conduct random checks on the self-assessment results, with a focus on ensuring that firms adhere to legal and regulatory standards [6][7]. - There is an expectation that firms will maintain thorough documentation of their compliance efforts, as failure to do so may result in stricter penalties [7]. Group 4: Industry Trends - The tightening of regulations is seen as a move to eliminate non-compliant small and micro private equity firms, with a significant number of firms already having been deregistered this year [7][8]. - The revised regulations from the Asset Management Association of China have increased the minimum fundraising requirements for single funds, further constraining the operational space for smaller firms [8].