私募基金设立法律意见书(中英文翻译)

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私募基金管理人法律意见书专项委托合同3篇

私募基金管理人法律意见书专项委托合同3篇篇1甲方（委托人）：___________________乙方（受托人）：___________________律师事务所根据《中华人民共和国合同法》、《中华人民共和国证券投资基金法》及其他相关法律法规的规定，甲乙双方经友好协商，就甲方委托乙方提供私募基金管理人法律意见书一事，达成以下协议：一、委托事项甲方委托乙方就甲方设立私募基金管理人的相关事宜出具法律意见书。

乙方接受甲方委托，对甲方设立私募基金管理人的过程及相关事项进行核查、分析，并据此出具法律意见书。

二、委托法律服务内容1. 核查甲方设立私募基金管理人的主体资格及合法身份；2. 审查私募基金管理人的组织结构、内部控制机制和风险管理机制；3. 对拟设立的私募基金的性质、投资方向、投资策略等进行合规性分析；4. 对基金交易结构及相关交易安排进行法律合规性分析；5. 根据相关法律法规，出具私募基金管理人法律意见书，并对相关法律风险进行分析和提示。

三、双方权利义务（一）甲方权利义务：1. 甲方应提供与委托事项相关的真实、完整资料，并保证所提供资料的真实性、合法性；2. 甲方应按时足额支付法律服务费用；3. 甲方应尊重乙方律师的专业判断，不得要求乙方律师做出不合法或不合理承诺。

（二）乙方权利义务：1. 乙方应按照相关法律法规和本合同约定，履行法律服务义务；2. 乙方应对甲方提供的资料进行审核，发现不符合要求的，应及时通知甲方补充或修改；3. 乙方应按时出具法律意见书，并对法律意见书的真实性和合法性负责；4. 乙方应保守甲方的商业秘密，未经甲方同意，不得泄露与委托事项相关的信息。

四、费用及支付方式1. 法律服务费用：人民币________元（大写：_____________________元整）；2. 支付方式：甲方应于本合同签订后__日内支付法律服务费用的__%，即人民币________元（大写：_____________________元整）；法律服务完成后，甲方应在__日内支付剩余的法律服务费用。

私募基金管理人登记法律意见书

私募基金管理人登记法律意见书尊敬的委托人：首先，感谢您选择我们律师事务所提供法律咨询服务。

您委托我们就私募基金管理人登记一事提供法律意见书如下：私募基金管理人登记是指私募基金管理人按照相关法律法规的规定，在中国证券监督管理委员会（以下简称“证监会”）登记备案的过程。

根据《私募投资基金监督管理暂行办法》第六条第一款规定，私募基金管理人首先需要符合以下条件方可申请登记：1.具备独立法人资格的企业法人；2.注册资本不低于人民币5000万元；3.至少有1名具备不少于3年以上基金管理经验的高级管理人员；4.至少有2名具备不少于3年以上证券、期货、基金、金融、法律、会计等从业经历或者相关从业资格的从业人员；5.拥有本办法规定的其他条件。

在办理登记程序时，私募基金管理人需要提交以下材料：1.《私募基金管理人登记申请表》；2.法定代表人或者主要负责人等关键管理人的履历和证明；3.公司章程；4.组织机构及从业人员情况；5.内部控制制度和风险管理制度；6.合同范本、合同及产品说明书等信息披露文件。

除登记申请材料外，私募基金管理人还应满足以下法律要求：1.合规性要求：私募基金管理人在开展业务过程中，应符合证监会和相关法律法规对于私募基金管理的规定，并遵守投资者适当性管理制度、信息披露要求、风险警示与禁止行为等；2.业务能力要求：私募基金管理人应当具备相关的从业经验和专业能力，能够合理识别和评估投资风险，并制定科学的投资策略，确保私募基金的运作安全和效益。

3.内部控制要求：私募基金管理人应建立健全内部控制制度和风险管理制度, 并进行有效的监督和风险控制，确保私募基金的安全运作。

根据上述法律规定和要求，我们认为，您作为私募基金管理人，应首先满足相关的资格和条件要求，并按照规定向证监会申请登记备案。

在办理登记过程中，需要准备相应的申请材料，并制定合规性制度和风险管理制度。

另外，在运营过程中，需结合相关法律法规和监管要求，确保合规性和风险控制，并按照要求进行信息披露和适当性管理。

私募基金管理人登记法律意见书(参考)

北京市盈科（南京）律师事务所关于上海***投资管理有限公司在中国证券投资基金业协会办理私募基金管理人登记之法律意见书北京市盈科（南京）律师事务所地址：南京市中山陵四方城1号南京十朝文化园五栋四层电话：025-********传真：025-********邮编：210000目录第一部分声明事项 (1)释义 (3)第二部分法律意见书正文 (4)一、公司本次管理人登记的批准和授权 (4)二、公司的主体资格 (4)三、公司的经营范围 (5)四、公司专业化经营情况 (6)五、公司股权结构 (6)六、公司的控股股东和实际控制人 (9)七、公司的子公司、分支机构及其他关联方 (9)八、公司开展私募基金业务的基本设施和条件 (12)九、公司风险管理和内部控制制度 (12)十、公司基金外包服务协议签订及履行情况 (14)十一、公司高管人员资格及高管岗位设置情况 (14)十二、公司及高级管理人员被处罚、处分、不良记录情况 (16)十三、公司及高级管理人员最近三年诉讼、仲裁情况 (16)十四、公司提交的登记申请材料 (17)十五、其他需要说明的事项 (17)十六、结论意见 (17)北京市盈科（南京）律师事务所关于上海***投资管理有限公司在中国证券投资基金业协会办理私募基金管理人登记之法律意见书（2016）宁盈律非（证）字0015号致：上海***投资管理有限公司北京市盈科（南京）律师事务所（以下简称“本所”）根据与上海***投资管理有限公司签订的《非诉讼法律事务委托合同》，担任公司本次在中国证券投资基金业协会办理私募基金管理人登记（以下简称“管理人登记”）的专项法律顾问。

本所律师根据《中华人民共和国公司法》（以下简称“公司法”）、《中华人民共和国证券法》（以下简称“证券法”）、《中华人民共和国证券投资基金法》（以下简称“投资基金法”）、《私募投资基金监督管理暂行办法》（以下简称“暂行办法”）、《私募投资基金管理人登记和基金备案办法(试行)》（以下简称“备案办法”）、《关于进一步规范私募基金管理人登记若干事项的公告》（以下简称“规范登记公告”）及其他现行有效的法律法规及规范性文件的规定，按照律师行业公认的业务标准、道德规范和勤勉尽责精神，出具本法律意见书。

私募债发行法律意见书

私募债发行法律意见书尊敬的委托人：鉴于您公司计划通过私募债券发行融资，现就相关法律事项给予如下法律意见：1. 发行主体资格：您公司为依法设立并具有独立法人资格的企业，具备发行私募债券的主体资格。

2. 发行方式：根据相关法律规定，您公司可以选择以公开发行或者私募发行方式进行私募债券的发行。

鉴于您公司选择私募发行方式，您公司应当依据《公司法》、《证券法》等法律规定，制定相关发行方案，并按照相关要求履行发行登记、披露等程序。

3. 审计和评估要求：在私募债券发行前，您公司应当邀请独立的会计师事务所对前两个会计年度的经审计财务报告进行核查，并将最近一次审计报告作为私募债券募集说明书等相关文件的必备附件。

此外，您公司还需委托评估机构对财务状况、债务风险等进行评估。

4. 募集说明书：募集说明书是私募债券的重要信息披露文件，您公司在发行私募债券前需编制募集说明书并报送相关部门备案。

募集说明书应当包括公司基本情况、发行对象、募集用途、募集金额、利息计算方式、还本付息保障措施等内容，并且真实、准确地反映了债券发行人的财务、经营状况和债务风险。

5. 监管报备：根据相关规定，您公司发行私募债券需提前向证券监管机构进行报备，并提交报备材料。

监管机构将对报备材料进行审查，并作出批准或者不予批准的决定。

6. 监督披露：私募债券发行成功后，您公司应当按照《债券法》和相关规定，履行披露义务，向投资者和相关监管机构披露债券发行后的重大事项、财务状况、经营情况等信息，并且确保信息的准确、全面及时披露。

7. 法律风险提示：您公司应当充分了解私募债券发行过程中可能涉及的法律风险，妥善处理与债券发行相关的风险，遵守相关法律法规的规定，确保发行过程的合规性。

8. 法律风险承担：请您公司了解，私募债券发行过程中存在一定的法律风险，如发行资金用途与募集说明书约定不符、债券信用评级下调导致偿付能力不足等。

为减轻法律风险，您公司应当谨慎选择发行方式、编制募集说明书、履行披露义务等，并及时咨询专业律师的意见。

法律意见书英文版

Legal Opinion Letter English Version Introduction to the Legal OpinionScope of the Legal OpinionThe scope of this legal opinion is limited to the following areas:1. Legal Validity and Compliance2. Contractual Obligations3. Regulatory Requirements4. Intellectual Property Rights5. Litigation RisksLegal Validity and ComplianceThe formation of the agreements is in accordance with the local contract law.The parties involved have the legal capacity to enter into and perform their obligations under the agreements.The terms and conditions of the agreements do not violate any statutory provisions or public policy.Contractual ObligationsThe contractual obligations of the parties are clearly defined and enforceable. We note the following:The obligations of [Client's Name] are set out in clear and unambiguous terms.The agreements include appropriate remedies for breach, including but not limited to damages and specific performance.The agreements contain provisions for dispute resolution, which are in line with industry standards and legal requirements.Regulatory RequirementsLicensing and permits required for the operation are in place and valid.Reporting obligations to regulatory authorities arebeing met.Intellectual Property RightsWe have assessed the intellectual property aspects of [Client's Name]'s business and found the following:Litigation RisksConclusionLegal Opinion Letter English VersionPotential LiabilitiesUpon a thorough examination of the agreements and thelegal context in which [Client's Name] operates, we have identified several potential liabilities that warrant attention:1. ThirdParty Claims: There is a risk of thirdpartyclaims arising from the activities of [Client's Name], particularly in relation to product liability or intellectualproperty infringement. It is crucial to maintain adequate insurance coverage and to establish robust risk management protocols.2. Change in Legislation: The legal landscape is subject to change, and new laws or regulations could impact the operations of [Client's Name]. It is essential to stay informed about legislative developments and to adjust business practices accordingly.6. Legal Monitoring Services: Subscribe to legal monitoring services to stay informed about regulatory changes that could affect the business. This will allow [Client's Name] to proactively address new legal requirements.Conclusion and Final ThoughtsLegal Opinion Letter English VersionMonitoring Legal Developments and Future ProjectionsMonitoring Legal Developments1. Legal Updates: Subscribe to legal databases, newsletters, and alerts that specialize in the areas of law relevant to [Client's Name]. This will provide realtime updates on legislative changes and judicial decisions.2. Industry Associations: Engage with industry associations to stay informed about sectorspecific legal developments and best practices.3. Professional Networks: Maintain a strong professional network, including legal experts and peers, to exchange information and insights on emerging legal trends.Future Projections and Strategic PlanningAnticipating future legal challenges is crucial for longterm success. Here are some projections and strategic planning considerations:1. Technological Advancements: As technology evolves, [Client's Name] should anticipate how new technologies might impact its operations legally. This includes data privacy laws, cybersecurity regulations, and the legal implications of adopting artificial intelligence or blockchain.2. Market Expansion: If [Client's Name] plans to expand into new markets, it must consider the legal frameworks of those jurisdictions. This may involve obtaining new licenses, adapting to local laws, or facing different legal risks.4. International Trade Laws: In a globalized economy, changes in international trade laws can significantly impact business operations. [Client's Name] should stay informed about trade agreements, tariffs, and export/import regulations.5. Corporate Governance: Ensuring robust corporate governance practices is essential to prevent legal issuesrelated to corporate conduct, transparency, and accountability.Final Observations。

私募基金法律意见书模板

私募基金法律意见书模板私募基金法律书如何写?下面就是特地为大家整理收集的私募基金法律意见书模板，供大家阅读参考。

私募基金法律意见书模板***基金管理(北京)有限公司：根据《律师法)、《律师事务所从事证券法律业务管理》、《律师事务所证券法律业务执业规则(试行)》、《证券投资基金法》、《私募投资基金监督管理暂行办法》、《私募投资基金管理人登记和基金备案办法(试行)》、《关于进一步规范私募基金管理人登记事项若干问题的》之，本律师事务所受***基金管理(北京)有限公司(以下简称：公司)委托，在对公司及相关资料进行充分尽职调查的基础上，出具本《法律意见书》如下，并保证本《法律意见书》不存在虚假记载、误导性陈述及重大遗漏。

一、公司工商登记情况公司基本信息公司名称：***基金管理(北京)有限公司公司住所：北京市**区**路**号法定代表人：***注册资本：人民币5000万成立日期：20xx年1月2日营业期限：20xx年1月1日至2045年1月1日经营范围：投资管理、管理或受托管理非证券类股权投资及相关咨询服务。

公司存续沿革：20xx年1月2日，股东***、***共同出资设立***基金管理(北京)有限公司。

***会计师事务所有限公司于20xx年12月1日出具【20xx】第***号验资，审验股东***、***于20xx年11月30日实缴出资共计人民币5000万元。

公司设立时，各股东出资额及出资比例如下：序号股东名称出资额(万元)占注册资本比例(%) 1***300060.002***200040.00合计5000.0000100.00结论：***基金管理(北京)有限公司为在中国境内依法设立，并截止本《法律意见书》出具之日有效存续。

二、根据***基金管理(北京)有限公司工商登记文件显示，其经营范围是：投资管理、管理或受托管理非证券类股权投资及相关咨询服务。

结论：***基金管理(北京)有限公司的工商登记所记载经营范围符合国家相关法律法规规定，其名称和经营范围中含有基金管理、投资管理、股权投资文字和描述。

英文模板-私募基金管理人登记法律意见书

英⽂模板-私募基⾦管理⼈登记法律意见书Legal Opinion on Private Fund Manager Registration (Template)*** Fund Management (Beijing) Co., Ltd.:Pursuant to the Law on Lawyers, the Administrative Measures on Engaging in Securities Law Practice by Law Firms, the Rules for the Securities Law Practice of Law Firms (for Trial Implementation), the Law on Securities Investment Funds, the Interim Measures for the Supervision and Administration of Private Investment Funds, the Measures on the Registration of Private Investment Fund Managers and Funds (for Trial Implementation), the Announcement regarding Certain Matters of Further Regulating the Registration of Private Investment Fund Managers, this firm has been retained by*** Fund Management (Beijing) Co., Ltd. (hereinafter referred to as the "Company") to issue this legal opinion as below based on the thorough due diligence of the Company and relevant materials, and undertake that there is no fraudulent, misleading statement or material omission contained herein.A.Registration of the Company with the Administration for the Industry and CommerceBasic Information of the CompanyCompany Name: *** Fund Management (Beijing) Co., Ltd.Company Address: ** Road No. **, ** District, BeijingLegal Representative: ***Registered Capital: RMB 50 millionDate of Establishment: January 2, 2015Operational Period: January 1, 2015 to January 1, 2045Business Scope: Investment management, management or entrustment for management of non-securities equity investment, and related consulting services.Company History:On January 2, 2015, the shareholders *** and *** jointly funded *** Fund Management (Beijing) Co., Ltd. . On December 1, 2014, *** Accounting Firm Co., Ltd. issued the [2014] No. *** Capital Verification Report, inspecting and verifying that shareholders *** and *** paid a total investment of RMB 50 million on November 30, 2014.At the point of establishment of the Company, the amount and the ratio of capital contribution of each shareholder were as follows:No. Name of Shareholder Investment Amount (‘0000)Proportion of the Registered Capital (%)1 *** 3000 60.002 *** 2000 40.00Total 5000.0000 100.00Conclusion: *** Fund Management (Beijing) Co., Ltd. was duly established in China and is validly existing as of the date of issuance of this legal opinion.B.According to the filing documents of *** Fund Management (Beijing) Co., Ltd. from the Administration for the Industry and Commerce, the business scope of the Company is investment management, management or entrustment for management of non-securities equity investment, and related consulting services.Conclusion: The business scope described in the business registration of *** Fund Management (Beijing) Co., Ltd. complies with relevant national laws and regulations, whereby the name and the business scope contain texts and descriptions of "fund management", "investment management" and "equity investment".C.As shown on the foregoing business registration documents of *** Fund Management (Beijing) Co., Ltd., the business scope of the Company is investment management, management or entrustment for management of non-securities equity investment, and related consulting services. Along with the relevant business information provided by the Company, it shows that the Company's main business is management of private funds. In the business scope set forth in the foregoing businessregistration or the business actually operated by the Company, there exists no business operated concurrently in conflict with the private investment fund business; there exists no business operated concurrently in conflict with the buyer's business of "investment management"; there exists no non-financial business operated simultaneously.Conclusion: *** Fund Management (Beijing) Co., Ltd. follows the principle of professional management and the business engaged by the Company is private investment fund management. In the business scope set forth in the foregoing business registration or the business actually operated by the Company, there exists no business operated concurrently in conflict with the private investment fund business; there exists no business operated concurrently in conflict with the buyer's business of "investment management"; there exists no non-financial business operated simultaneously.D.Shareholding Structure of the CompanyAccording to the foregoing business registration of *** Fund Management (Beijing) Co., Ltd., the shareholders are *** and ***. The shareholder *** invested RMB 30 million, making up 60% of the equity interests of the Company; the shareholder *** invested RMB 20 million, making up 40% of the equity interests of the Company. In conjunction with other relevant information provided by the Company, it is shown that the Company does not have foreign direct or indirect controlling shareholders or foreign shareholders.Conclusion: *** Fund Management (Beijing) Co., Ltd.does not have foreign direct or indirect controlling shareholders or foreign shareholders.E.As indicated in the foregoing business registration of *** Fund Management (Beijing) Co., Ltd., in tandem with other relevant information provided by the Company, it is shown that the shareholders of the Company are *** and ***. It does not indicate that *** Fund Management (Beijing) Co., Ltd. has any other ultimate controlling owner.Conclusion: **Fund Management (Beijing) Co., Ltd. does not have any ultimate controlling owner.F.As indicated in the foregoing business registration of *** Fund Management (Beijing) Co., Ltd., in tandem with other relevant information provided by the Company, *** Fund Management (Beijing) Co., Ltd. is not found to have any subsidiary, affiliate or other related parties.Conclusion: *** Fund Management (Beijing) Co., Ltd. does not have any subsidiary, affiliate or other related parties.G.As indicated in the foregoing business registration and other relevant information of the Company: (i) the Company has 20 employees, 5 of whom have fund practitioner qualification. All of the executives of the Company have practice experience in, among others, banks, funds, securities, risk control, compliance in line with requirements. Further, none of the executives has major dishonesty record or has been excluded from the market by the China Securities Regulatory Commission in the preceding three years; (ii) the business address is ** Road No. **, ** District, Beijing. The office space is 500 square meters with independent departments such as the general manager's office, the finance department, the risk control department, the compliance department, the market department and conference rooms. The office is well equipped with computers, video facilities, fax machines, printers and other office equipment; and (iii) the Company's financial statements and the bank statements issued by ** Bank indicate that, as of [DA TE], 2015, the circulating capital of the Company in the book is ** and its net assets is **.Conclusion: *** Fund Management (Beijing) Co., Ltd. possesses the practitioners, business premises, capital and other basic corporate operation facilities and conditions as required by the law to engage in private fund management business.H.As shown in the information and documents provided by *** Fund Management (Beijing) Co., Ltd., it has established a sound risk management and internal control system. The Company has the Risk Management System and Procedure of Private Investment Funds, the Internal Control System of Private Fund Management, the Measures on the Evaluation of Investment in Private Investment Funds, the Measures on Investment V oting of the Investment Committee, the Administrative Measures on Information Disclosure, the Administrative Measures on Related Transactions, the Administrative Measures on Investment Transactions with Conflict of Interest, the Administrative Measures on In-house Transactions, the Administrative Measures on Prevention of Insider Trading, the Administrative Measures on Risk Disclosure of Qualified Investors, the Administrative Measures on Internal Audit Procedures of Qualified Investors, the Administrative Measures on Promotion and Fund-Raising of Private Investment Fund Products, as well as other relevant administrative measures in place. All of the management systems form effective allocation and constraint among each other.Conclusion: *** Fund Management (Beijing) Co., Ltd. has established a risk management and internal control system, and has developed relevant systems accordingly based on the type of the private fund management business in the proposed application.I.According to the information provided by *** Fund Management (Beijing) Co., Ltd., upon investigation and verification, the fund-raising of the private funds of the Company intends to be promoted, conducted and managed through the Company's own channels and capability. The Company has not executed any agreement of outsourcing services for funds with otherinstitutions.Conclusion: *** Fund Management (Beijing) Co., Ltd. has not executed any agreement of outsourcing services for funds with other institutions.J.Upon verification of the list of the executives of the Company and relevant qualification certificates provided by *** Fund Management (Beijing) Co., Ltd., it is shown that *** as the legal representative and the general manager, *** as the representative designated by the executive partner, *** as the deputy general manager, *** as the chief compliance manager, and *** as the chief risk control officer have fund practitioner qualification. The structure of the executive positions conforms to the requirements of the Asset Management Association of China (hereinafter referred to as the "AMAC").Conclusion: The executives of *** Fund Management (Beijing) Co., Ltd. have fund practitioner qualification and the structure of the executive positions conforms to the requirements of the AMAC.K.Upon verification of information in the enterprise credit records, the enterprise business registration and disclosure system, the AMAC registration disclosure system, the judicial information disclosure system and other systems, along with relevant information provided by the Company, *** Fund Management (Beijing) Co., Ltd. is not found to be subject to criminal punishment, administrative fines by the financial supervision department or administrative supervision measures; the Company and its executives are not disciplined by AMAC; the Company does not have negative record in the Capital Market Integrity Database; the Company is not included in the List of Dishonest Debtors; the Company is not included in the National List of Enterprises with Abnormal Business Operations or the List of Enterprises Committing Grave Illegalities; the Company does not have bad credit record on the "CreditChina" website.Conclusion: *** Fund Management (Beijing) Co., Ltd. is not subject to criminal punishment, administrative fines by the financial supervision department or administrative supervision measures; the Company and its executives are not disciplined by AMAC; the executives of the Company are not prohibited by the Company Law to serve their positions; the Company does not have negative record in the Capital Market Integrity Database; the Company is not included in the List of Dishonest Debtors; the Company is not included in the National List of Enterprises with Abnormal Business Operations or the List of Enterprises Committing Grave Illegalities; the Company does not have bad credit record on the "CreditChina" website.L.Upon enquiries to, and verification with, the court information disclosure system for litigation and enforcement as well as the information system of commercial and labor arbitral institutions for arbitrations, in conjunction with the information provided by *** Fund Management (Beijing) Co., Ltd., *** Fund Management (Beijing) Co., Ltd. is not found to be involved in litigation or arbitration in the preceding three years.Conclusion: *** Fund Management (Beijing) Co., Ltd. is not involved in litigation or arbitration in the preceding three years.M.Upon enquiry, verification and comparison of all of the materials and information provided by *** Fund Management (Beijing) Co., Ltd., it shows that the application materials submitted by the Company to the AMAC are true, accurate and complete and there is no fraudulent, misleading statement or material omission.Conclusion: The application materials submitted by *** Fund Management (Beijing) Co., Ltd. to the AMAC are true, accurate and complete and there is no fraudulent, misleading statement or material omission.N.Other items that the lawyers and the law firm consider necessary to be addressed. (omitted)Overall concluding observations: The application materials submitted by *** Fund Management (Beijing) Co., Ltd. to the AMAC are true, accurate and complete and there is no fraudulent, misleading statement or material omission. The application for the registration of the private fund manager meets the relevant requirements of the AMAC.*** Law Firm (Stamp)*** Lawyer (Signature)*** Lawyer (Signature)[DATE], 2016。

Template-PRC Legal Opinion(法律意见书英文版)

Attn: [Investors]Address：[Date]Re: Legal OpinionDear Sirs,1.We are qualified lawyers of the People’s Republic of China (“PRC”) and arequalified to issue an opinion on the laws and regulations of the PRC (this “Opinion”). For the purpose of this Opinion, PRC does not include the regions of Hong Kong, Macao and Taiwan.(1)We are acting as PRC counsel to [ ] (the “Company”), together with [ ](the“HK Company”), [ ](the “Domestic Company”), and [ ] (the “WFOE”) (collectively as the “Companies”), in connection with the series A private financing under the Series A Preferred Share Purchase Agreement (the “Share Purchase Agreement”) dated as of [Date], among the Companies, [Founder Name], a Chinese citizen with his ID number of [ ], [Founder Name], a Chinese citizen with her ID number of [ ], (collectively as the “Founders”and each a “Founder”);and [Investor A], [Investor B](collectively, the "Investors", and each an "Investor") (each a “Party” and collectively, the “Parties”). Capitalized terms not otherwise defined herein shall have the meanings set forth in the Share Purchase Agreement.(2)[ ], [ ], [ ] (together, the “Domestic Shareholders”) are the holders of allthe equity interests of the Domestic Company.2.As used herein, (A) “PRC Law” means all applicable laws, regulations, rules,statutes, orders, decrees, notices, circulars, guidelines, judicial interpretations and other legislation of the PRC in effect on the date of this Opinion; (B) “PRC Authorities” means any national, provincial or local governmental, regulatory or administrative authority, agency or commission in the PRC, or any court, tribunal or any other judicial body in the PRC; (C) “Approvals”means all approvals, consents, waivers, sanctions, certificates, authorizations, filings, disclosures, registrations, exemptions, permissions, endorsements, annual inspections, qualifications, permits and licenses required by any PRC Authorities pursuant to any PRC Law.In so acting, we have examined the originals or copies of documents provided to us by the Companies including: (i) the Share Purchase Agreement attached hereto as Exhibit A, dated [Date] by and among the Investors, the Founders, and the Companies, (ii) the Shareholders Agreement attached hereto as Exhibit B, dated [Date] in respect of the Company by and among the Investors, the Founders, and the Companies, (iii) all exhibits and schedules attached thereto (collectively referred to as the “Transaction Documents”); (iv) the controlling documents attached thereto as Exhibit C, including the exclusive service agreement, proxy agreement, pledge agreement, share transfer optionagreement to be prepared and executed in accordance with Section [ ] of Share Purchase Agreement (collectively, the “Controlling Documents”); and such other documents, agreements, corporate records, certificates, resolutions, Approvals and other instruments as we have deemed necessary or advisable for the purpose of rendering this Opinion, including, without limitation, original or copies of certificates issued by PRC Authorities and officers of the Companies.3.In examination of the documents and for the purpose of giving this Opinion,we have assumed without further inquiry:(a)the genuineness of all the signatures, seals and chops and the authenticity ofall documents submitted to us as originals, the conformity with the originals of all documents submitted to us as copies;(b)the documents as presented to us remain in full force and effect up to the dateof this Opinion and have not been revoked, amended, varied or supplemented;(c)the truthfulness, accuracy and completeness of all factual statements in thedocuments.4.Based on and subject to the foregoing and the qualifications hereof, we are ofthe opinion that:A. Corporate Organization(i)Organization and Valid Existence of the Domestic Company.TheDomestic Company is duly organized and validly existing under PRCLaws with limited liability. The Domestic Company was established on[Date] with its registered office at [Registered Address], and [FounderName] is its legal representative. The business license and articles ofassociation of the Domestic Company are in full force and effect under,and in compliance with the PRC Laws. [ ], [ ], and [ ] arerespectively the registered holders of [ ], [ ], and [ ]of the equityinterest in the Domestic Company. The registered capital of theDomestic Company is RMB [ ]. The registered capital of theDomestic Company has been duly authorized and fully paid up, free andclear of any security interest, mortgage, pledge, lien, charge, restrictionupon voting or transfer, or any other encumbrance, claim or other thirdparty right (an “Encumbrance”). All Approvals in the PRC requiredfor the establishment and the maintenance of the enterprise legal personstatus of the Domestic Company has been duly issued and obtained andall such Approvals are in full force and effect, have not been revoked,withdrawn, suspended or cancelled and are not subject to any materiallyburdensome condition, and the Domestic Company is in full compliancewith the provisions of such Approvals. As of the date hereof, except forthe share pledge and share option created under the Equity PledgeAgreement, Share Transfer Option Agreement and the Proxy Agreementdated [Date]by and among the Domestic Company, the WFOE, theDomestic Shareholders, there are no outstanding or authorizedsubscriptions, options, warrants, calls, rights, commitments, or any otheragreements of any character obligating the Domestic Company to issue(a) any additional equity interest or (b) any securities convertible into, orexchangeable for, or evidencing the right to subscribe for, any equityinterest and the Domestic Company has no obligation (contingent orother) to purchase, redeem or otherwise acquire any of its equitysecurities or any interest therein or to pay any dividend or make anyother distribution in respect thereof.(ii)Articles of Association. The Articles of Association of the Domestic Company and the Articles of Association the WFOE comply with therequirements of PRC Law, including the PRC Company Law, and are infull force and effect.(iii)Organization and Valid Existence of the WFOE. The WFOE has been duly incorporated and validly exists and in good standing as a whollyforeign owned enterprise, with legal person status and limited liabilityunder the PRC Law, and its approval certificate, business license andArticles of Association are in full force and effect under, and incompliance with, the PRC Law. The WFOE was established on [Date]with its registered office at [Address], and [Founder Name] is its legalrepresentative. The registered capital of the WFOE is USD [ ], none ofwhich has been fully paid. The entire equity interest of the WFOE isowned by the HK Company, and such equity interest is free and clear ofany Encumbrance. The WFOE is allowed to pay dividends to the HKCompany as its sole shareholder after withholding all of the taxes, leviesand charges and made statutorily required allocation to funds pursuant tothe PRC Law. The WFOE is allowed to convert the dividends fromRMB into foreign currencies and to remit the dividends to the HKCompany out of the PRC, as approved by relevant PRC Authorities. Asof the date hereof, there are no outstanding or authorized subscriptions,options, warrants, calls, rights, commitments, or any other agreements ofany character obligating the WFOE to issue (a) any additional equityinterest or (b) any securities convertible into, or exchangeable for, orevidencing the right to subscribe for, any equity interest and the WFOEhas no obligation (contingent or other) to purchase, redeem or otherwiseacquire any of its equity securities or any interest therein or to pay anydividend or make any other distribution in respect thereof.(iv)To our best knowledge after due inquiry, neither the Domestic Company nor the WFOE is being or threatened to be dissolved, liquidated, declaredbankrupt or insolvent, nor is it subject to any winding up, dissolution,bankruptcy or liquidation proceedings (commenced or threatened), norhave any shareholder or board resolutions been adopted or any step orother proceeding been taken to dissolve, liquidate, declare bankrupt orinsolvent the Domestic Company or the WFOE.B. Compliance(i) No Violation or Default. Unless otherwise disclosed in the DisclosureSchedule, neither the Domestic Company nor the WFOE is (A) inviolation of its Articles of Association, business or other license or anyother constitutive document; (B) in breach or default, and no event hasoccurred that with the giving of notice or lapse of time would constitutea breach or default, in the due performance or observance of any term,covenant or condition contained in any indenture, mortgage, deed of trust,loan agreement or other agreement or instrument which was madeknown to us in the course of our due diligence with each of the DomesticCompany and the WFOE and to which it is a party or by which it isbound or to which any of its property or assets is subject; or (C) inviolation of any PRC Law or, to the best of our knowledge following dueinquiry, any judgment, order or ruling of any PRC Authority.(ii) Licenses. The Domestic Company and the WFOE have all Approvals from all PRC Authorities required to conduct the business in the PRC ascontemplated in the Transaction Documents (the “Business”). Each ofthe Domestic Company and the WFOE has the full power and authorityand has duly obtained all valid and lawful Approvals necessary for it toown, lease, license, use and operate properties and assets, tangible orintangible, to the extent required by PRC Law. The above Approvals arein full force and effect.The business currently carried out by the Domestic Company and theWFOE and/or contemplated to be carried out by the Domestic Companyand the WFOE pursuant to the Transaction Documents is within thescope of business permitted under its business license.(iii) SAFE Registration.To our best knowledge, each of the Shareholders of the Company who is a PRC domestic resident as defined underCircular 37 (as defined below) has obtained preliminary overseasinvestment foreign exchange registrations in respect of their respectiveownerships in the Founder Entities, the Company and the HK Subsidiaryfor the round-trip investment in the PRC pursuant to the Circular of theState Administration of Foreign Exchange on Relevant Issues concerningForeign Exchange Administration for Domestic Residents to Engage inOverseas Investment or Financing and in Return Investment via SpecialPurpose Vehicles and all applicable laws and regulations promulgated inconnection with the foregoing (“Circular 37”) in connection with theirshareholding in the Company. Each of such Shareholders shall dulyupdate the registration filings with SAFE under Circular 37, if applicable,following the completion of the transaction contemplated in the SharePurchase Agreement.C. Business of the Company(i)No Guarantees. To the best of our knowledge after due inquiry, there areno outstanding guarantees or material contingent payment obligations ofthe Domestic Company and the WFOE in respect of the indebtedness ofa third party. To the best of our knowledge after due inquiry, theDomestic Company and the WFOE are not liable for any third-partyliabilities.(ii)Intellectual Property.The Domestic Company and the WFOE own or otherwise have the legal rights to use the trademarks, service marks,trade names, proprietary technology, copyrights, and other intellectualproperty currently employed by it in connection with the businesscurrently operated by it (the “Intellectual Property”). Neither theDomestic Company nor the WFOE has received any notice ofinfringement of or conflict with asserted rights of others with respect toany of the foregoing which, individually or in the aggregate, would havea material adverse effect on such Domestic Company or the WFOE.(iii)No Legal Proceedings. There are no legal, arbitration or governmental proceedings before any PRC Authorities pending, to the best of ourknowledge and following due inquiry, threatened or contemplatedagainst the Domestic Company or the WFOE involving the properties,assets or business of, the Domestic Company and/or the WFOE, which,if determined adversely to the Domestic Company or the WFOE, would,individually or in the aggregate, has a material adverse effect on theBusiness, assets, or equity interest in the Domestic Company or theWFOE.(iv)Title to Assets. Each of the Domestic Company and the WFOE has good and valid title to the assets owned by it, free from any liens, mortgages,charges, encumbrances or other third party rights. The DomesticCompany has terminated its Lease Agreement in relation to its currentRegistered Office. The Domestic Company will sign a new LeaseAgreement after it determines a new office within three months uponClosing, and then change its Registered Office with the localAdministration of Industry and Commerce accordingly. The WFOEhas valid and enforceable leasehold interest in the real properties rentedby the WFOE, such leasehold interest is free from liens and is fullyprotected by the terms of the relevant lease agreements, except for thosethat would not materially interfere with the use made and proposed to bemade of such properties by the WFOE.D. Controlling DocumentsNo Violation or Default.None of the Controlling Documents (A)violates the respective Articles of Association, business license or anyother constitutive document of the Domestic Company or the WFOE;or (B) violates any PRC Law or, any judgment, order or ruling of anyPRC Authority; and (2) upon the execution thereof, all of theControlling Documents will be valid and binding obligations on theDomestic Company and the WFOE, enforceable in accordance withtheir respective terms and conditions under PRC Laws and the datingof the Controlling Documents after the date hereof will not effect thatvalid and binding nature of such obligations.E. Transaction Documents(i)The Transaction Documents and any and all documents and instrumentsthereunder including the documents to be delivered at Closing by each of the Domestic Company and the WFOE have been duly executed and delivered and constitute lawful, valid and binding obligations of each of the Domestic Company and the WFOE, enforceable in accordance with their respective terms and conditions under PRC Laws. All necessary corporate actions to authorize the execution, delivery and performance of the Transaction Documents and the Controlling Documents have been duly taken in accordance with the PRC Laws as well as the Articles of Association of each of the Domestic Company and the WFOE.(ii)Each of the Domestic Company and the WFOE has the corporate power, authority and legal right to enter into, execute, deliver and perform its obligations under each of the Transaction Documents and the Controlling Documents; each of the Transaction Documents to which the Domestic Company or the WFOE is a party constitutes a valid and enforceable legal binding obligation on the Domestic Company or the WFOE, as the case may be; each of the Controlling Documents to which the Domestic Company or the WFOE is a party, upon the execution thereof, will constitute a valid and enforceable legal binding obligation on the Domestic Company or the WFOE, as the case may be.(iii)Each Founder has executed each of the Transaction Documents to which he or she is a party; each of the Transaction Documents to which he or she is a party constitutes a valid and enforceable legal binding obligation of such party. Each Founder will execute each of the Controlling Documents to which he or she is a party; each of the Controlling Documents to which he or she is a party, upon the execution thereof, will constitute a valid and enforceable legal binding obligation of such party. (iv)The execution and performance of the Transaction Documents and the Controlling Documents by the parties thereto are (1) valid and enforceable and do not and will not (i) result in any violation of the provisions of the Articles of Association, business license or Approvals of the Domestic Company or the WFOE, or (ii) result in any violation of any PRC Laws; and (2) are valid and binding obligations on the parties thereto, enforceable in accordance with their respective terms and conditions under PRC Laws.(v)The execution and performance by each Founder of his respective obligations under each of the Transaction Documents and the Controlling Documents to which he is a party and the consummation by such Founder of the transactions contemplated therein does and will not:(i) result in any violation of the provisions of the Articles of Association,business license or Approvals of the Domestic Company or the WFOE;(ii) result in any violation of any PRC Laws.(vi)No filings in respect of the Transaction Documents with any PRC Authorities are required under the PRC Laws to ensure the legality, validity, enforceability of the Transaction Documents in the PRC.(vii)Neither the Domestic Company nor the WFOE is entitled to any immunity from any legal proceedings or other legal process or fromenforcement, execution or attachment in respect of their obligations inthe transactions contemplated under any of the Transaction Documentsand the Controlling Documents.(viii)No governmental Approval is required for the execution or the performance by the Founders, the Domestic Company or the WFOE oftheir obligations under the transactions contemplated by the TransactionDocuments and the Controlling Documents.(ix)The choice of the State of New York law as the governing law of the Transaction Documents is a valid choice of law provision and would berecognized and given effect to in any action brought before a court ofcompetent jurisdiction in the PRC. The submission by the parties to theTransaction Documents to arbitration at the Hong Kong InternationalArbitration Centre in according with the UNCITRAL Arbitration Rules(the “UNCITRAL Rules”) does not contravene any laws or regulationsof the PRC, and is valid and binding upon the WFOE, the DomesticCompany and the Founders. The courts of the PRC would recognize andenforce a final and conclusive arbitral award obtained in accordancewith the Transaction Documents against the WFOE, the DomesticCompany and the Founders if such award conforms to the requirementsfor arbitral awards to be recognized and enforced as set forth in theArrangement on Mutual Recognition of Arbitration Awards betweenMainland and Hong Kong Special Administrative Region (最高人民法院关于内地与香港特别行政区相互执行仲裁裁决的安排) issued bythe Supreme Court of PRC.(x)No stamp duty or other taxes or official withholdings, fees, or other charges are payable in the PRC in connection with the execution,delivery or enforcement of the Transactions Documents.5. This Opinion is subject to the following qualifications:(i)This Opinion is subject to (A) applicable bankruptcy, insolvency,fraudulent transfer, reorganization, moratorium or similar laws in thePRC affecting creditors’ rights generally, (B) possible judicial oradministrative actions or any PRC Law affecting creditors’ rights and (C)certain equitable, legal or statutory principles in the PRC affecting theenforceability of contractual rights generally under concepts of publicinterest, interests of the State, national security, reasonableness, goodfaith and fair dealing, and applicable statutes of limitation.(ii)This Opinion relates only to PRC Law and we express no opinion as to any laws other than PRC Laws.PRC Law as used in this Opinion refers to PRC Law currently in force asof the date of this Opinion and there is no guarantee that any of suchPRC Law will not be changed, amended or revoked in the immediatefuture or in the longer term with or without retroactive effect.This Opinion is intended to be used in the context which is specifically referred to herein and each paragraph should be looked at as a whole and no part should be extracted and referred to independently.This Opinion is solely for the benefit of the persons to whom they are addressed. It may not be relied upon by anyone else or used for any other purpose, in each instance, without our prior written consent. In addition, without our prior written consent, this Opinion shall not be disclosed to any third parties who are not directly involved in the Transaction.Yours sincerely,[Lawyer Name][Firm Name]SHARE PURCHASE AGREEMENTSHAREHOLDERS AGREEMENTExhibit C CONTROLLING DOCUMENTS。

法律意见书英文

法律意见书英文【篇一：英文法律意见书】haoway investments limited uegisteredsenior secured debt securities关于豪威投资有限公司未登记优先担保债券的attorney’s opinions法律意见书chongqing, p. r. chinamarch 17, 2007二零零七年三月十七日re: haoway investments limited uegistered senior secured debt securities关于豪威投资有限公司未登记优先担保债券的attorney opinion letter法律意见书dated on march 17, 2007二oo七年三月十七日gentleman or madam,敬启者：investment limited (haoway) and chongqing gaoshan real estate development co. ltd. (gaoshan) (our clients), deliver our opinion as follows:according to (a) the european parliament?s purvis report; (b) the post-fsap report on asset management; (c) cesr?s mandate for the asset management experts group; (d) the iosco report on “issues arising from the participation of retail investors in hedge funds” (e) article 2 of directive 2001/108/ec (amending the ucits [undertakings for collective investment in transferable securities” or “ucits investment fund”] directive 85/611 oninvestments), we delivered these opinions based on the accepted professional standards and regulations and on the principles of due diligence:根据(a) 欧洲议会的《purvis报告》，(b) 《关于资产管理的后fsap报告》，(c) 欧洲证券管理委员会对于资产管理专家小组的强制要求，(d) 国际证监会组织关于“零散投资人参与对冲基金有关问题”的报告，(e) 欧盟第2001/108/ec号指令第2条（关于修订ucits [可转让证券集合投资事业，也称证券投资基金]投资的第85/611号指令等有关法律法规的规定，本所按照律师行业公认的业务标准、道德规范和勤勉尽责的精神出具本法律意见书。

《私募基金管理人登记法律意见书指引》

《私募基金管理人登记法律意见书指引》2016年2月5日，XXX发布《私募基金管理人登记法律意见书指引》，指引要求：私募基金管理人登记应当提交法律意见书。

一、法律意见书内容要求1、管理人登记需提交法律意见根据指引，法律意见书应当对下列内容逐项发表法律意见：（一）申请机构是否依法在中国境内设立并有效存续。

（二）申请机构的工商登记文件所记载的经营范围是否符合国家相关法律法规的规定。

申请机构的名称和经营范围中是否含有“基金管理”、“投资管理”、“资产管理”、“股权投资”、“创业投资”等与私募基金管理人业务属性密切相关字样；以及私募基金管理人名称中是否含有“私募”相关字样。

（三）申请机构是否符合《私募投资基金监督管理暂行办法》第22条专业化经营原则，说明申请机构主营业务是否为私募基金管理业务；申请机构的工商经营范围或实际经营业务中，是否兼营可能与私募投资基金业务存在冲突的业务、是否兼营与“投资管理”的买方业务存在冲突的业务、是否兼营其他非金融业务。

（四）申请机构股东的股权结构情况。

申请机构是否有直接或间接控股或参股的境外股东，若有，请说明穿透后其境外股东是否符合现行法律法规的要求和XXX的规定。

（五）申请机构是否具有实际控制人；若有，请说明实际控制人的身份或工商注册信息，以及实际控制人与申请机构的控制关系，并说明实际控制人能够对机构起到的实际支配作用。

（六）申请机构是否存在子公司（持股5%以上的金融企业、上市公司及持股20%以上的其他企业）、分支机构和其他关联方（受同一控股股东/实际控制人控制的金融企业、资产管理机构或相关服务机构）。

若有，请说明情况及其子公司、关联方是否已登记为私募基金管理人。

（七）申请机构是否按规定具有开展私募基金管理业务所需的从业人员、营业场所、资本金等企业运营基本设施和条件。

（八）申请机构是否已制定风险管理和内部控制制度。

是否已经根据其拟申请的私募基金管理业务类型建立了与之相适应的制度，包括（视具体业务类型而定）运营风险控制制度、信息披露制度、机构内部交易记录制度、防范内幕交易、利益冲突的投资交易制度、合格投资者风险揭示制度、合格投资者内部审核流程及相关制度、私募基金宣传推介、募集相关规范制度以及（适用于私募证券投资基金业务）的公平交易制度、从业人员买卖证券申报制度等配套管理制度。

私募基金专项法律意见书

私募基金专项法律意见书尊敬的客户：根据您的委托，我们拟就私募基金方面的法律问题给予如下意见：一、私募基金的法律地位和基本概念私募基金是指向特定有限数量的投资者募集资金，由基金管理人行使全面投资权益，对投资者进行单一或多元化投资，并按照约定的方式分配投资收益的基金形式。

在我国法律体系中，私募基金受到《中华人民共和国证券投资基金法》（以下简称《私募基金法》）的监管。

私募基金的合法发行和运作需符合相关法律法规的规定。

二、私募基金设立和发行1. 私募基金的设立应符合《私募基金法》的规定，并向中国证券监督管理机构（以下简称“证监会”）提交相关申报材料；2. 私募基金的发行应严格遵守《私募基金法》的规定，包括但不限于明确投资策略、风险提示、募集方式等，并由合法的证券机构或基金销售机构进行发行。

三、私募基金的投资管理1. 私募基金管理人应依法履行与投资有关的管理职责，并制定合理的投资决策程序和风险控制机制，对投资者进行充分的风险提示；2. 私募基金管理人在进行投资活动时，应遵守《私募基金法》的规定，尊重投资者的知情权、监督权等权益，并建立健全的内部合规制度。

四、私募基金的运作与退出1. 私募基金应按照其募集合同的约定进行投资运作，保证投资者的合法权益；2. 私募基金管理人应在基金期限届满或其他合法情况下按照法律规定的程序进行基金的清算和退出。

五、法律风险提示在私募基金投资过程中，我们向您提醒注意以下法律风险：1. 投资风险：私募基金投资存在市场风险和投资风险，可能存在投资损失的风险；2. 不可抗力风险：由于自然灾害、战争、经济政策变动等原因，私募基金的投资风险可能受到不可抗力因素的影响；3. 法律风险：私募基金的设立和运作需符合相关法律法规的规定，不合规操作可能面临行政处罚或民事责任等法律风险。

六、结语鉴于私募基金投资涉及较多的法律问题，我们建议您在进行相关投资之前，充分了解私募基金的运作规则和注意事项，选择合适的私募基金产品，并咨询专业法律意见。

私募基金管理人登记法律意见书

私募基⾦管理⼈登记法律意见书⾃公告发布之⽇起，以下情形需要提交《私募基⾦管理⼈登记法律意见书》：1、新申请私募基⾦管理⼈登记机构，需通过私募基⾦登记备案系统提交《私募基⾦管理⼈登记法律意见书》作为必备申请材料。

2、对于公告发布之⽇前已提交申请但尚未办结登记的私募基⾦管理⼈申请机构。

管理⼈登记法律意见书⼀、出具《法律意见书》的事务所及其经办律师应当注意事项2016年2⽉22⽇《中国基⾦业协会负责⼈就落实〈公告〉相关问题答记者问》已明确，凡在中国境内依法设⽴、可就中国法律事项发表专业意见的律师事务所及其中国执业律师，均可受聘按照《私募基⾦管理⼈登记法律意见书指引》的要求出具《法律意见书》。

中国基⾦业协会⿎励私募基⾦管理⼈选择具备下列条件的中国律师事务所出具法律意见书：1、内部管理规范，风险控制制度健全，执业⽔准⾼，社会信誉良好；2、有⼆⼗名以上执业律师, 其中五名以上曾从事过律业务；3、已经办理有效的执业责任保险；4、最近两年未因违法执业⾏为受到。

律师事务所及其经办律师在《法律意见书》上的签字签章须齐全，出具⽇期清晰明确。

《法律意见书》及私募基⾦登记备案系统中律师事务所就“私募基⾦管理⼈重要情况说明”出具的确认函，均需加盖律师事务所公章及骑缝章，列明经办律师的姓名及其执业证件号码并由经办律师签署。

中国基⾦业协会负责⼈指出，“律师事务所接受基⾦管理⼈、基⾦托管⼈的委托，为有关基⾦业务活动出具法律意见书，有虚假记载、误导性陈述或者重⼤遗漏，给他⼈财产造成损失的，还应当与委托⼈承担连带赔偿责任。

”这表明，律所及律师出具法律意见书要⼒戒虚假记载、误导性陈述或者重⼤遗漏，否则不仅⾯临律师协会、基⾦业协会的⾃律纪律处分和市场禁⼊，给他⼈造成财产损失的，还应当与委托⼈共同承担民事上的连带赔偿责任。

所以，律师事务所出具法律意见书的同时，伴随着严格的法律责任承担。

⼆、深刻理解申请机构专业化经营原则，规范其申请机构⼯商登记的经营范围应包含基⾦管理、投资管理、资产管理、、创业投资等与私募基⾦管理⼈业务属性密切相关字样。

私募基金管理人登记法律意见书

【】律师事务所关于【】管理有限公司向中国证券投资基金业协会申请私募基金管理人登记的法律意见书邮编：【】地址：【】电话（Tel）：【】传真(Fax)：【】二零一六年三月目录释义 (5)一、公司的主体资格 (6)二、公司的经营范围 (7)三、公司的专业化经营 (8)四、公司的股东 (8)五、公司的控股股东及实际控制人 (9)六、公司的关联方 (10)七、公司的运营 (11)八、公司的治理机制 (13)九、公司的基金外包服务 (14)十、公司董事、监事、高级管理人员 (14)一、公司的行政处罚 (16)二、公司的诉讼、仲裁 (17)三、公司的登记申请材料 (17)四、结论性意见 (17)【】律师事务所关于【】管理有限公司向中国证券投资基金业协会申请私募基金管理人登记的法律意见书【】律见字【2016】第【】号致：【】管理有限公司【】律师事务所系在中华人民共和国注册并执业的律师事务所。

本所接受【】管理有限公司（以下简称“公司”或“【】”）的委托，担任公司向中国证券投资基金业协会申请私募基金管理人登记的专项法律顾问。

根据《律师法）、《律师事务所从事证券法律业务管理办法》、《律师事务所证券法律业务执业规则（试行）》、《证券投资基金法》、《私募投资基金监督管理暂行办法》、《私募投资基金管理人登记和基金备案办法（试行）》、《关于进一步规范私募基金管理人登记事项若干问题的公告》等有关规范性文件的规定，按照律师行业公认的业务标准、道德规范和勤勉尽责精神，本所现就公司向中国证券投资基金业协会申请私募基金管理人登记的相关事宜出具本法律意见书。

为出具本法律意见书，本所律师特作如下声明：1、为出具本法律意见书之目的，本所律师审核了公司提供的与本次向中国证券投资基金业协会申请私募基金管理人登记事宜有关的决议及其他相关文件和材料，基于本法律意见书出具之日前已发生或存在的事实，依据《中华人民共和国律师法》、《中华人民共和国公司法》及中国证券投资基金业协会关于申请登记的相关规定和要求，对公司提供的相关法律文件、资料进行了审查和验证，并就有关事项向公司有关人员进行了必要的询问或讨论。

私募法律意见书模板

私募法律意见书模板尊敬的委托人：经您的委托，我们对您提出的有关私募的法律问题进行了调研与研究，并提供以下法律意见供您参考：一、法律背景：《中华人民共和国证券投资基金法》（以下简称“基金法”）于2004年在中国大陆颁布实施，对证券投资基金的设立、运作、监管等方面进行了规范。

根据《基金法》，私募基金是指以集中专户、不公开募集资金为特征的一类基金，其成立与管理受到一定的限制和监管。

二、关于私募基金设立的法律意见：1.私募基金的设立需要取得基金管理人的资格，并按照法律规定提交相关申请材料，经监管机构核准后方可设立。

2.私募基金的合同需要符合相关法律规定，包括但不限于合同格式、内容、条款等方面的要求。

3.私募基金的募集范围有限，只能向特定投资人进行非公开募集，不得与公众募集基金混淆。

4.私募基金需要设置合适的投资门槛，并对投资人的身份、资质进行审查，并与投资人签订投资合同。

5.私募基金管理人需要提供真实、准确、完整的信息披露，包括基金报告、基金账户等相关信息。

三、关于私募基金运作的法律意见：1.私募基金管理人需要遵守相关法律法规，包括但不限于证券投资基金法、证券法等。

2.私募基金管理人需要建立健全的风险管理体系和内部控制制度，确保基金的安全和稳定运作。

3.私募基金管理人需要对投资对象进行充分的尽职调查，确保投资的合法性和风险可控。

4.私募基金管理人需要根据基金合同的约定，合理配置和管理投资组合，确保投资收益的最大化。

5.私募基金管理人需要及时、真实、准确地向投资人披露基金运作情况，包括但不限于业绩报告、风险提示等。

四、关于私募基金的监管与合规的法律意见：1.私募基金管理人需要遵守各项监管规定，包括但不限于基金管理公司监督管理办法、私募基金管理人登记管理办法等。

2.私募基金需要按照监管机构的要求进行定期报告，提供真实、准确、完整的信息。

3.私募基金管理人需要进行合规性自查和内部审计，及时发现和解决存在的问题。

(完整版)《私募基金管理人登记法律意见书指引》

2016年2月5日，基金业协会发布《私募基金管理人登记法律意见书指引》，指引要求：私募基金管理人登记应当提交法律意见书。

（二）申请机构的工商登记文件所记载的经营范围是否符合国家相关法律法规的规定。

（四）申请机构股东的股权结构情况。

申请机构是否有直接或间接控股或参股的境外股东，若有，请说明穿透后其境外股东是否符合现行法律法规的要求和中国基金业协会的规定。

若有，请说明情况及其子公司、关联方是否已登记为私募基金管理人。

（七）申请机构是否按规定具有开展私募基金管理业务所需的从业人员、营业场所、资本金等企业运营基本设施和条件。

（八）申请机构是否已制定风险管理和内部控制制度。

法律意见书英文

法律意见书英文导语：律师以出具法律意见书的方式解答法律询问，应当注意为咨询者提出的法律问题作出准确、肯定、有法律依据的回答，为咨询者的决策提供具体、明确、可靠的参考意见。

以下是小编为大家搜集整理的，欢迎借鉴与阅读!法律意见书英文Beijing **** Law FirmAttorney Opinion on **** Letter of Guarantee To: **** CorporationEntrusted by ****, Beijing **** Law Firm (hereinafter referred to as the “Firm”) is appointed to be the exclusively specialized legal advisor of **** on events related to the Guarantee of ****to****. In accordance with the requirements of the principal, the Firm is here by issuing this Attorney Opinion on the Letter of Guarantee.The legal foundations of this Attorney Opinion issued by the Firm include but not limited to:1. Contract Law of People’s Republic of China2. Guaranty Law of the People's Republic of China3. Insurance Law of the People's Republic of China4. Company Law of the People's Republic of China5. Provisional Administrative Measures on Insurance Companies related Transactions6. General Principles of the Civil Law of the People s Republic of ChinaFor issuing this Attorney Opinion, relevant document and materials referred by the attorney include but not limited to:1. Corporate Business License of the Company2. Articles of Association of Company3. Board (or Shareholders') Resolution of the Company4. the Letter of GuaranteeFor issuing this Attorney Opinion, the attorney of the Firm hereby make the following statements:1. The Company has acknowledged and confirmedthat all documents and materials provided are complete, accurate and valid, the signatures and/or the seals hereto any relevant materials are genuine, duplicates and copies of any documents are consistent with the original and without any false records, misrepresentations.2. The Attorney Opinion issued by the Firm is subject to facts occurred or existing before the date of issue and observes requirements of existing laws and regulations of People's Republic of China. The Firm is not presenting opinions on any other matter of fact irrelevant to the **** Letter of Guarantee.3. This Attorney Opinion only assumes liability to the Principal and shall not assume any obligation and responsibility to any third party.4. With strict fulfillment to their statutory duties and observance to the principle of due diligence and good faith, the attorneys of the Firm has inspected and verified the authenticity and validity of Corporation's subject qualification and the legality and compliance of the **** Letter of Guarantee'sdecision process to ensue the Attorney Opinion doesn't contain any false records, misleading statements or major omissions.5. The attorneys of the Firm has reviewed and judged all documents, materials and testimony submitted by the principal, of which the Firm issued this Attorney Opinion on the basis; the Firm rely on documentary evidence issued or provided by governmental department and the principal in terms of facts of vital importance to this Opinion but without support of independent evidence.6. The Attorney Opinion issued by the Firm is subject to facts occurred or existing before the date of issue and on the basis of the Firm's understanding on relevant facts and laws.The Attorney Opinion shall only be used for the purpose of stipulating the legal effect of the Letter of Guarantee and shall not be used for any other purposes.According to the requirements of existing laws and regulation, in accordance with operation standards,code of ethics and due diligence of the practice of law, and based on inspection and verification of the documents and facts provided by Corporation, the Firm hereby represents its attorney opinion as follows: First, the subject qualification of the **** CorporationIt is verified that the Corporation is a enterprise registered by the State Administration for Industry and Commerce of the People's Republic of China, lawfully formed and validly existing with independent legal qualification according to laws and regulations of People's Republic of China; it is entitled to carry out business stipulated in the business scope and operation period of its business license and to engage in civil actions and assume civil liabilities (including the capability of suing or be sued).Second, decision procedures of **** Letter of GuaranteeIt is substantiated by the Firm:The Corporation held the board (or shareholder)meeting on, , and made resolutions to agree Corporation to provide guarantee on for and issue the **** Letter of Guarantee.The attorneys of the Firm agrees on the decision process of the Letter of Guarantee is in conformity with relevant rules and requirements of laws, regulations and Articles of Association of Corporation.Third, validity of the **** Letter of Guarantee The **** Corporation has the power, qualification and right to sign the **** Letter of Guarantee, and has taken all necessary company actions required to sign, deliver and perform the **** Letter of Guarantee. The Corporation's signing, delivering of the **** Letter of Guarantee and performing its obligations hereto does not violate the Article of Association of the Corporation or laws and regulations of PRC; the obligations of Corporation under the **** Letter of Guarantee is legal and valid; the **** Letter of Guarantee is binding enforceable to Corporation.Forth, selection of applicable law on the **** Letter of GuaranteeBased on statements of the principal and on consideration that the **** Letter of Guarantee is associated with rights and obligations of a property located in **** (which constitute a contract's “foreign element” under the Law of PRC), the Letter of Guarantee may select the law of **** as its governing law. Therefore, it is a valid legal selection if the Corporation selects law of **** as the governing law of the **** Letter of Guarantee.Fifth, conclusive opinionIn conclusion, the attorneys of the Firm believe that the Corporation has the legal subject qualification; the **** Letter of Guarantee has been legally reviewed with duly implementation of its decision process, and therefore the **** Letter of Guarantee is valid binding and enforceable to Corporation.Beijing Shangying Law FirmAugust 2*, 201*翻译于XX年8月Translated in August, XX。

法律意见书英文版范文

法律意见书英文版下文是关于法律意见书范本，结合意见书相关要求进行范本书写的，小编希望下文内容可以帮助到您。

法律意见书英文版sample attorney opinion letterdate(name of client)president*** co., ltdcity, state, zip codere：opinion letter re g g arding (na m m e of emplo y y ee, , fict i tious ** ***)dear (na m m e)：after o o ur initial meeting, i reviewed t h h e papers y o o u sent me r egarding t h h e ** **mat t er. as i u n n derstand t h h e situatio n n, ms.** si g g ned a writ t en employm e e nt agreeme n n t with you r company. t he agreeme n n t stated t h h at in the e e vent of te r mination o r resignati o o n from her job as you r sales ass o o ciate, ms.** would n o o t call upo n n or sell g o o ods to any of your cu s s tomers for a period o f one year.you have as k k ed me to a d d vise you a b b out your r i ghts, the c c hance of s u u ccess, the amount of d d amages tha t maybe re c c overable, t he costs i n n volved, an d d my abilit y y to repres e e nt you in t his matter.rights of*** agains t ms. **wh e e n ms. ** s i gned a wri t ten contra c c t with you r company, s s he agreed n n ot to call upon any o f your cust o o mers for a period of o o ne year. t h h is is call e e d a restri c c tive coven a a nt. to enf o o rce your c o o venant aga i nst ms.**,you must b r ing an act i on against her and pr o o ve your ca s s e. you hav e e a choice o o f forums i n n which to b b ring the a c c tion：fede r al distric t court or a a state cou r t. since i t is easier to obtain a a n injuncti o o n (an acti o o n to immed i ately stop her from s e e lling to y o o ur custome r s) in a st a a te court r a a ther than a a federal c o o urt, i wou l d suggest t he state c o o urt.i mus t advise yo u u that inju n n ctions are largely di s s cretionary with the c o o urt, and t h h ere are se v v eral facto r s here tha t might lea d d it not to grant one o o n your beh a a lf. since y y ou waited e e ight month s s before th r eatening t o o sue ms. ***, my guess is that yo u u have abou t a twenty p p ercent (20%%) chance o f obtaining an injunct i on.rights to and amo u u nt of dama g g esyour ch a a nces of ob t aining mon e e y damages a a gainst ms.**are much greater th a a n your cha n n ces for aninjunction. from our d d iscussion a a nd the fac t s and evid e e nce sugges t ed in your papers, it appears th a a t the amou n n t of recov e e rable dama g g es would b e e measured b b y the prof i ts you hav e e lost sinc e e the time m m s. ** bega n n selling c o o mpetitive p p roducts to your custo m m ers.it sh o o uld be und e e rstood tha t if we win our case, h h owever, ms.** may not voluntaril y y pay the j u u dgment. th u u s, it may b b e necessar y y to enforc e e the judgm e e nt by havi n n g a sherif f or marsha l l seize an d d sell asse t s not exem p p t from exe c c ution. how e e ver, if ms. ** does n o o t own asse t s, such as real estat e e, money in bank accou n n ts, stocks,etc., but owns only p p ersonal it e e ms exempt f rom execut i on under t h h e laws of o o ur state, t hen any ju d d gment you o o btain may n n ot be wort h h much.neg a a tives to l a a wsuitbesi d d es the fac t that you m m ay lose a l awsuit aga i nst ms. **or that an y y judgment o o btained ma y y be uncoll e e ctible, th e e re are oth e e r negative factors yo u u should co n n sider befo r e bringing a lawsuit.these incl u u de court c o o sts and at t orney fees. court cos t s are reco v v erable, bu t other cos t s, such as travel, th e e time lost when you a r e called t o o testify (o o r required to help us develop th e e case), an d dattorney f ees, are n o o t recovera b b le.my ser v v icesi am f amiliar wi t h the natu r e of your m m anufacturi n n g business and am qua l ified to r e e present yo u u in this m a a tter if yo u u choose to proceed. m y y fee would be based o n n my normal hourly cha r ge of $250for myself and $150 f o o r associat e e s. trial t i me is bill e e d at $1,0000 per day. t he initial services o f preparing a complain t and servi n n g same wou l d cost app r oximately $$300. prepa r ing a requ e e st for an i njunction a a nd attendi n n g a hearin g g on the in j unction wo u u ld cost ap p p roximately$2,500.it is quite p o o ssible tha t ms. ** wo u u ld not ret a a in her own counsel an d d not answe r the compl a a int. this m m eans that a a default j u u dgment cou l d be taken without th e e necessity of a trial. here atto r ney fees w o o uld probab l y amount t o o no more t h h an $1,000.i require a$1,000 ret a a iner to op e e n a file a n n d commence an action.if you wis h h to procee d d with this matter, i w w ill need t o o know the f ull names a a nd address e e s of your c c ustomers t o o whom ms. *** is prese n n tly sellin g g and the e s s timated sa l esvolume w w hich you h a a ve lost.i f you have a a ny questio n n s, please c c all me.ve r y truly yo u u rs,name o f attorney。