CIMA投资基金常见问题：中英专业摘要
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本页保留CIMA官方FAQ的17个分类和230个问题位置，并复刻分类筛选、重置及可多项展开的折叠阅读体验；本站另增加中英关键词检索与单语／对照视图。问题和答案均为本站根据官方页面独立编写的非官方专业摘要，并非CIMA原文或官方译文。
费用、表格、门户步骤、时限及监管口径可能变动；处理具体事项前，请通过每条问答中的官方入口核对CIMA当前页面。
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是。基金应由运营人宣誓书证明已满足80,000开曼元（100,000美元）的最低投资额；低于门槛的投资者须在转换前追加投资或赎回退出，但其当前持仓价值已经达到门槛的除外。
Yes. The fund should evidence by operator affidavit that the CI$80,000 (US$100,000) minimum is met; an investor below the threshold must top up or be redeemed before conversion unless the investor's current holding already reaches it.
材料通常包括申请函、适用时交回原证书、相应MF表格、发售文件、新任审计师或管理人同意函、尚未备案时的MLO-154-99，以及已结清的年费、FAR费用和审计要求，并缴纳300开曼元申请费及125开曼元发售文件修订费。还须按目标类别补充第4(3)条最低投资额宣誓书、MF2A主要办事处确认、有限投资者证明或持牌基金适当人选材料等；提交前应核对现行表格和收费表。
The package generally includes a request letter, the original certificate where applicable, the relevant MF form, offering document, any new auditor or administrator consent, MLO-154-99 if not already filed, current annual/FAR/audit obligations, the CI$300 application fee and the CI$125 offering-document amendment fee. Category-specific evidence—such as the section 4(3) minimum-investment affidavit, MF2A principal-office confirmation, limited-investor evidence or licensed-fund fitness materials—must also be supplied; confirm current forms and fees before filing.
CIMA将该转换视为先按原法例注销，再按另一法例重新注册；同一年度已缴年费通常不能结转。基金须通过REEFS完成相应注销并提交新注册申请；由开放式转为封闭式时，还应提供更新后的投资者或组织文件及运营人证明，而审计师和管理人未变更的，一般无须重新出具同意函。
CIMA treats the switch as cancellation under the original Act followed by a fresh registration under the other Act, and annual fees already paid generally do not transfer within the same year. The fund must complete the applicable cancellation through REEFS, lodge the new application, and for an open-ended-to-closed-ended change provide updated investor/constitutional evidence and operator attestations; unchanged auditors and administrators need not issue new consents.
CIMA通常要求提交注册处以新SPC名称签发的证明、修订后的发售文件、适用时交回原CIMA证书，以及同时列明SPC及相关独立投资组合的审计师和管理人同意函。现公布收费包括发售文件修订费125开曼元和更名费625开曼元；新增投资组合应使用REEFS表格ADD-125-99，并同步通知注册团队。
CIMA expects the Registrar's certificate in the new SPC name, a revised offering document, the original CIMA certificate where applicable, and revised auditor and administrator consents naming the SPC and relevant portfolios. The published charges include CI$125 for the revised offering document and CI$625 for the name change; additions of portfolios use REEFS form ADD-125-99 and should also be notified to the Registrations team.
概括而言，私募基金是通过公司、单位信托或合伙架构汇集投资权益，使投资者分享投资回报；投资者不参与日常控制，资产由运营人或其代表统一管理并收取报酬。法定定义排除了若干持牌或注册金融机构以及规定的非基金安排。
Broadly, it is a company, unit trust or partnership that pools investment interests so investors share returns, while investors lack day-to-day control and investments are managed as a whole by or for the operator for reward. The statutory definition excludes specified licensed or registered financial institutions and prescribed non-fund arrangements.
CIMA网站提供现行法例的在线参考链接，正式纸本可通过开曼群岛立法出版渠道购买。实务中应核对最新官方汇编版本，不宜仅依赖本地留存副本。
CIMA links to the current Act online for reference, while an official hard copy may be purchased through the Cayman Islands legislative publishing channel. Use the latest official consolidation rather than relying on a saved copy.
否。《私募基金法》并未对私募基金设定该最低投资额门槛。
No. The PFA does not impose that minimum investment threshold on private funds.
可以，但组织文件或其他具有法律约束力的安排必须明确规定该载体目前且始终只会有一名登记投资者。该限制应具有法律效力，而不能只是对当前持有人数的事实描述或预期。
Yes, where constitutive documents or another legally binding arrangement expressly provide that the vehicle has, and will always have, only one investor of record. The restriction should be legally effective rather than merely an expectation about current ownership.
是。CIMA期望基金至少每年进行资产估值，并持续向投资者提供业绩信息；具体方式应符合《私募基金法》及基金自身估值制度。
Yes. CIMA expects at least annual asset valuation and ongoing performance information for investors, using one of the methods permitted by the PFA and the fund's valuation framework.
即使相关资产缺乏经常性市场报价，也应按照基金书面估值政策至少每年估值一次。估值流程还须符合CIMA适用于私募基金的估值规则和程序。
The assets should be valued under the fund's documented valuation policy at least annually, even if market quotations are infrequent. The process must also comply with CIMA's applicable private-fund valuation rule and procedures.
基金应根据投资策略及资产类型设计相称的流程，CIMA则评估该流程是否充分。相关安排还必须符合CIMA现行的现金监控规则和程序。
The fund designs a process suited to its strategy and asset profile, while CIMA assesses whether that process is sufficient. The arrangement must also meet any applicable CIMA cash-monitoring rules and procedures.
不禁止。按照公认行业惯例，主经纪或托管安排可由托管人或次托管人通过客户综合账户集中持有多名客户的资产，但仍须保持恰当的客户资产识别和控制。
No. Established prime-brokerage or custody arrangements may place multiple clients' assets in a commingled client omnibus account at a custodian or sub-custodian, provided the arrangement follows accepted industry practice and preserves proper client-asset identification and controls.
是。以公司形式申请注册的私募基金应至少配备两名董事。
Yes. A company applying as a private fund is expected to have at least two directors.
CIMA要求就该公司董事或普通合伙人至少列明两名自然人；仅列示公司实体本身不足以满足该项要求。
CIMA expects at least two natural persons to be identified in relation to the corporate director or general partner. Naming only the corporate entity is not sufficient for this purpose.
可以。现金监控可由投资管理人等内部执行，也可外包；如由内部执行，运营人应安排审计师在签署年度财务报表时确认该职能在全年持续运行。
Yes. The function may be performed internally, including by the investment manager, or outsourced; if internal, the operator should arrange for the auditor, when signing the annual financial statements, to confirm that cash monitoring operated throughout the year.
核心材料包括REEFS表格APP-101-77-05、设立及组织文件、发售备忘录／条款摘要／营销材料、审计师同意函、适用时的管理人同意函、必要的豁免说明函及完整架构图。CIMA页面列示300开曼元申请费、不可退还的4,125开曼元注册费及适用的子基金费用；付款前应核对最新收费表。
The core package includes REEFS form APP-101-77-05, formation and constitutive records, the offering memorandum/summary/marketing material, auditor consent, administrator consent where relevant, an explanatory exemption letter where needed, and a complete structure chart. CIMA's page lists a CI$300 application fee plus a non-refundable CI$4,125 registration fee and any sub-fund charges; verify the current fee schedule before payment.
申请由获授权用户通过CIMA的监管增强型电子表格提交系统（REEFS）在线提交。
It is filed electronically through CIMA's secure Regulatory Enhanced Electronic Forms Submission portal, REEFS, by an authorised user.
CIMA需要审阅向投资者提出的投资条款。若没有独立的发售备忘录、条款书或营销材料完整载明这些内容，组织文件及其后续修订即构成相关披露依据。
CIMA must be able to review the terms offered to investors. Where no separate offering memorandum, term sheet or marketing material contains those terms, the constitutive documents—and later amendments—serve as the operative disclosure record.
注册日期为CIMA收到完整申请之日，即所有规定的信息、文件和费用均已提交之日，而非首次提交不完整申请之日。
The registration date is the date CIMA receives a complete application, meaning all required information, documents and fees have been submitted—not merely the date of the first incomplete filing.
通常无须，可改为提交内容完整的发售备忘录、条款摘要或营销文件。但若披露不足，或CIMA履行监管及法定职责需要，仍可要求提供组织文件。
Not ordinarily. A complete offering memorandum, summary of terms or marketing document may be filed instead, but CIMA may still request the constitutive documents if the disclosure is incomplete or they are needed for supervisory or statutory purposes.
文件应说明投资策略及地域、权益或类别和适用的最低投资额、初始禁止赎回期、运营人及主要服务商、NAV与估值职责、年结日和报告基础、基金期限、重大风险与利益冲突、PFA监管地位及反洗钱安排。自行管理的架构还应明确各项管理职能由何方执行。
It should explain the investment strategy and geography, interests/classes and any minimum investment, the initial no-redemption period, operators and key service providers, NAV/valuation responsibilities, year-end and reporting basis, term, material risks and conflicts, PFA regulation and AML arrangements. Self-administered structures should identify which party performs each administration function.
常见原因包括REEFS未列全运营人、投资管理人缺少所需SIBA授权、未附缴费证明、附件错误或不完整，以及不同文件中的法定名称不一致。技术上不完整的申请可能被直接退回，而不会进入处理流程。
Common grounds include missing operators on REEFS, an investment manager lacking required SIBA authorisation, absent fee evidence, incorrect or incomplete attachments, and inconsistent legal names across documents. A technically incomplete package may be rejected rather than held open for processing.
只有在全部规定文件和信息均已提交、所有适用款项均已到账后，申请才进入处理。
Processing begins only after all required documents and information have been submitted and all applicable payments have been received.
常见延误原因包括适当人选审查不利或正在调查、名称与付款不匹配、设立证明超过六个月却未附说明函、附件格式或内容不完整、策略及架构披露不足、遗漏SP补充文件、自行管理职责不清，以及反洗钱职员履历缺失或姓名不一致。材料完整且内部一致的申请通常按CIMA公布时限处理。
Delays commonly arise from adverse fitness findings or investigations, name and payment mismatches, a formation certificate older than six months without an explanation, non-PDF or incomplete attachments, thin strategy/structure disclosures, omitted SP supplements, unclear self-administration duties, or missing and inconsistent AML-officer biographies. A clean, internally consistent package is ordinarily processed within CIMA's stated timeline.
该安排通常不以一般商业或工业经营为目的，而是汇集投资者资本以取得共同回报，且投资者整体不拥有日常控制权。即使个别而非全部投资者获授有限的日常控制权，也不当然排除其集合投资性质。
The undertaking generally lacks a commercial or industrial operating purpose, pools investor capital to generate a pooled return, and leaves investors as a group without day-to-day control. Limited control rights granted to some—but not all—investors do not by themselves prevent the arrangement from being collective investment.
没有不利发现的完整申请应在公布时限内处理。若基金、集团实体或相关人员存在适当人选疑虑，或涉及监管／刑事调查，审查时间可能延长。
Complete applications without adverse findings should be handled within the published timeframe. Fitness-and-propriety concerns or regulatory/criminal investigations involving the fund, its group or relevant individuals can extend the review.
应依PFA完整定义逐一评估SPC及各投资组合；某一要素看似不存在，例如组合层面仅有一名投资者或未见明显汇集，并非决定性结论。若投资分部本身为独立法律实体且单独符合私募基金定义，通常应另行注册。
Each SPC or portfolio must be assessed on the full PFA definition; the absence of one feature, such as multiple investors or obvious pooling at portfolio level, is not conclusive. A compartment that is a separate legal entity and independently meets the private-fund definition is expected to register separately.
是。如该开曼AIV本身符合PFA对私募基金的定义，即须作为独立私募基金注册。
Yes, if the Cayman AIV itself satisfies the PFA definition of a private fund, it must register as a stand-alone private fund.
AIV通常为主私募基金或特定投资者收购目标投资而设，常见目的包括监管或架构安排。独立投资组合则是SPC内资产负债相互隔离的分部，通常承载不同投资策略。
An AIV is commonly established to acquire a target investment for the main private fund or selected investors, often for regulatory or structuring reasons. A segregated portfolio is a ring-fenced component of an SPC and is often used for a distinct strategy.
概括而言，共同基金是于开曼设立的公司、信托或合伙，或由开曼管理的境外载体，通过发行可由投资者选择赎回的权益来汇集资本、分散投资风险并取得回报。受监管类别包括MFA相应条款下的注册基金、主基金、有限投资者基金、管理型基金和持牌基金。
It is generally a Cayman-established company, trust or partnership—or an overseas vehicle managed from Cayman—that issues investor-redeemable equity interests to pool capital, spread investment risk and generate investment returns. The regulated categories are registered, master, limited-investor, administered and licensed funds under the relevant MFA provisions.
CIMA网站提供现行法例的在线参考链接，正式纸本可通过开曼群岛立法出版渠道取得。使用工作副本时，应确认已纳入最新修订。
CIMA provides an online link to the current Act for reference, and an official hard copy can be obtained through the Cayman Islands legislative publishing channel. Confirm that any working copy includes the latest revisions.
CIMA FAQ列示：注册基金、管理型基金、持牌基金及有限投资者基金为4,125开曼元，另加300开曼元行政费；主基金为3,075开曼元，另加300开曼元。适用时每个子基金另收750开曼元；申报前应按最新收费表核对金额及美元等值。
CIMA's FAQ lists CI$4,125 plus a CI$300 administration fee for registered, administered, licensed and limited-investor funds, while a master fund is listed at CI$3,075 plus CI$300. Each applicable sub-fund is listed at CI$750; all amounts and US-dollar equivalents should be checked against the live fee schedule before filing.
受监管主基金持有投资并开展交易，且有一个或多个受监管联接基金向其投资。受监管联接基金则直接或通过中间实体将超过51%的投资投入某一主基金。
A regulated master fund holds investments and conducts trading while receiving investment from one or more regulated feeder funds. A regulated feeder fund invests more than 51% of its assets in a master fund, directly or through an intermediary.
申请通过REEFS电子提交。该系统仅向获授权服务提供商开放，因此基金应与具备权限的申报人协调材料和付款流程。
The application is filed electronically through REEFS. The portal is restricted to authorised service providers, so the fund should coordinate the filing and payment workflow with an approved user.
只有在相应REEFS表格要求的全部文件均已提交且所有款项均已到账后，CIMA才开始处理。
CIMA begins processing only after every document required by the applicable REEFS form has been submitted and all payments have been received.
常见原因包括遗漏运营人、董事不符合DRLA要求、投资管理人缺少所需SIBA授权、未附付款证明、附件不完整或法定名称不一致。提交前应核对REEFS、设立文件及发售材料中的信息完全一致。
Typical causes are omitted operators, directors who are not compliant under the DRLA, an investment manager lacking required SIBA authorisation, missing payment evidence, incomplete attachments or inconsistent legal names. The filing should be reconciled across REEFS, formation records and offering materials before submission.
材料包括APP-101-22、电子记录宣誓书、审计师及管理人同意函、设立证明、发售文件、适用费用和MLO-154-99。董事还须提交完整个人问卷、无犯罪记录证明、身份证明、履历、资格证明及三封推荐信（一封财务、两封品格），发售文件未披露的服务商背景亦须补充。
The package includes APP-101-22, the electronic-record affidavit, auditor and administrator consents, formation certificate, offering document, applicable fees and MLO-154-99. Directors also provide completed personal questionnaires, police clearances, identification, CVs, qualifications and three references (one financial and two character), with service-provider background details where not already disclosed.
CIMA列示的材料包括APP-101-22、电子记录宣誓书、审计师及管理人同意函、设立证明、发售文件、适用费用和MLO-154-99。基金的主要办事处须由具备适当许可的共同基金管理人提供。
CIMA lists APP-101-22, the electronic-record affidavit, auditor and administrator consents, the formation certificate, offering document, applicable fees and MLO-154-99. The appointed principal office must be provided through a properly licensed mutual fund administrator.
不是。CIMA说明，第4(1)(b)条管理型基金不受该最低投资额限制，其他共同基金类别则须适用。
No. CIMA states that administered funds under section 4(1)(b) are not subject to that minimum, while the other mutual-fund categories are.
核心申报使用APP-101-22及APP-101-53，并附电子记录宣誓书、审计师及管理人同意函、设立证明、发售文件、适用的注册基金或主基金费用和MLO-154-99。应按现行REEFS表格及收费表核对是否有新增附件或金额调整。
The core filing uses APP-101-22 and APP-101-53 and includes the electronic-record affidavit, auditor and administrator consents, formation certificate, offering document, applicable registered- or master-fund fees and MLO-154-99. Check the current REEFS form and fee schedule for any updated attachments or amounts.
申报使用APP-101-78和APP-101-79，并附适用费用、设立文件、发售备忘录／条款摘要／营销材料，以及多数投资者有权任免运营人的证明。根据现行FAQ，审计师同意函在可取得时提交，管理人同意函为可选材料。
The filing uses APP-101-78 and APP-101-79 and includes applicable fees, formation records, an offering memorandum/terms summary/marketing material, and evidence that a majority of investors can appoint or remove the operators. Auditor consent should be supplied when available; administrator consent is optional under the published FAQ.
不禁止。在符合公认惯例的主经纪或托管架构中，托管人或次托管人可使用客户综合账户，但须保持适当账簿、控制及客户资产识别。
No. A custodian or sub-custodian may use a commingled client omnibus account in an accepted prime-brokerage or custody structure, provided appropriate books, controls and client-asset identification are maintained.
不能。法定“主基金”被明确排除在第4(4)(a)条路径之外，须适用相应主基金制度。
No. A statutory Master Fund is expressly excluded from the section 4(4)(a) route and must use the applicable master-fund regime.
可以，但该载体仍须属于共同基金并满足第4(4)(a)条条件。CIMA要求提交APP-101-79、披露及设立文件、多数投资者可任免运营人的证明、审计师同意函及适用时的管理人同意函。
Potentially yes, if it is still a mutual fund and meets the section 4(4)(a) criteria. CIMA expects APP-101-79, disclosure and formation documents, majority-investor operator-removal evidence, auditor consent and administrator consent where applicable.
常见原因包括基金名称与设立证明不一致、缺少缴费证明、附件错误或不完整、设立证明超过六个月却未附说明函、遗漏AMLCO／MLRO履历及MLO-154-99填写不完整。提交前统一核对名称、表格及附件可显著减少延误。
Frequent causes include a fund name that does not match its formation certificate, missing payment evidence, incorrect or incomplete attachments, a formation certificate older than six months without an explanation, missing AMLCO/MLRO biographies, and an incomplete MLO-154-99. Pre-filing reconciliation of names, forms and attachments materially reduces delay.
CIMA说明，首次注册或许可时无须提交这些MF表格。获批后发生两项或以上重大变更时，应将更新表格电邮至[email protected]，并按页面所列缴纳300开曼元（365.85美元）行政费；提交前应核实现行渠道和收费。
CIMA states that these MF forms are not required for the initial registration or licence. An updated form should be emailed to [email protected] when two or more material changes occur after approval, together with the published CI$300 (US$365.85) administration fee; verify current routing and fees.
是。基金须按适用情况依据第4(3)(b)(i)条或第4(4)(a)(ii)条提交发售文件或条款摘要。
Yes. It must file an offering document or summary of terms under section 4(3)(b)(i) or section 4(4)(a)(ii), as applicable.
在CIMA完成注册前，基金应向[email protected]发送通知，并提交运营人经公证的正式函件或宣誓书。文件应说明撤回原因，以及适用时预计何时重新申请。
Before CIMA acts on the registration, the fund should email [email protected] and provide a notarised formal letter or affidavit from its operators. The document should explain why the application is being withdrawn and, if applicable, when the fund expects to reapply.
应查阅CIMA的投资基金统计页面，该页面是核对当前数量及历史序列的适当动态来源。
Use CIMA's Investment Funds Statistics, which is the appropriate live source for current counts and historical series.
服务提供商应直接向拟任董事确认其符合DRLA要求。董事有责任披露任何不合规状态，并在基金申请提交前完成整改。
The service provider should obtain confirmation directly from the proposed director that the director is DRLA-compliant. The director is responsible for disclosing and regularising any non-compliance before the fund application is submitted.
主要评估维度为诚实、诚信与声誉，胜任能力，以及财务稳健性。证明材料应按照CIMA现行适当人选指引准备。
The principal limbs are honesty, integrity and reputation; competence and capability; and financial soundness. The evidence should be prepared consistently with CIMA's current fitness-and-propriety guidance.
该函说明基金此前为何无须注册，例如当时尚不符合共同基金定义。若设立证明早于拟申请注册日期六个月以上，通常应随申请一并提交。
It is a letter explaining why the fund was not required to register earlier—for example, because it did not previously meet the mutual-fund definition. It should accompany an application when the formation certificate predates the requested registration date by more than six months.
提交前，服务提供商应确认投资管理人已取得SIBA要求的相应授权。投资管理人须披露其监管状态，并在申请中被列名前纠正任何缺失。
Before filing, the service provider should confirm that the investment manager holds any authorisation required under SIBA. The manager must disclose its status and cure any deficiency before it is named in the application.
该术语包括SPC的独立投资组合、伞形或主单位信托下的子信托，以及作为独立报告实体核算、分别列示资产负债及损益的股份、单位或权益类别。CIMA期望由同一审计师审计全部底层子实体，以形成完整审计视角。
The term includes an SPC segregated portfolio, a sub-trust under an umbrella or master trust, and a class of shares, units or interests that is accounted for as a stand-alone reporting entity with separate assets, liabilities, income and expenses. CIMA expects one auditor to cover all underlying sub-entities so the audit view is complete.
证书或许可证采用重新提交的申请达到完整状态之日，即MFA或PFA要求的全部文件、信息及费用均已收到之日。
The certificate or licence uses the date on which the resubmitted application becomes complete, with all MFA or PFA documents, information and fees received.
SPC及其全部底层投资组合必须由同一审计师审计。不同投资组合可以聘用不同管理人，但各管理人同意函应明确相关投资组合名称及所提供服务。
A single auditor must audit the SPC and all underlying portfolios. Different administrators may be appointed to different portfolios, but CIMA expects each administrator's consent letter to identify the relevant portfolio and services.
该术语同时涵盖经修订《共同基金法》所称的共同基金及经修订《私募基金法》所称的私募基金。
It covers both a mutual fund within the Mutual Funds Act and a private fund within the Private Funds Act, each as revised.
CIMA援引现行《共同基金（年度申报）规例》及《私募基金（年度申报）规例》中的定义。办理注销前，应按相应规例判断具体架构是否属于子基金。
CIMA refers to the definition in the current Mutual Funds (Annual Returns) Regulations and Private Funds (Annual Returns) Regulations. The applicable structure should be mapped to those regulations before a de-registration filing.
根据CIMA注销程序第5.1节，基金须完成全部审计要求、缴清所有适用费用及罚款，并结清所有未决监管问询或义务，方属状态良好。
Under section 5.1 of CIMA's cancellation procedures, the fund must have met all audit requirements, paid every applicable fee and penalty, and cleared all outstanding regulatory queries or obligations.
基金首先必须处于状态良好，并已完整履行全部法定和监管义务。随后应按照具体注销依据，通过规定渠道提交指定申请及证明材料，并遵循CIMA现行基金注销程序及适用的审计豁免政策。
The fund must first be in good standing and have completed all statutory and regulatory obligations. It should then file the prescribed application and supporting evidence for its cancellation basis through the required channel, following CIMA's current fund-cancellation procedures and any applicable audit-waiver policy.
每个子基金均应满足相应注销要求并处于状态良好。共同基金的子基金目前通过REEFS申报，私募基金的子基金则提交至[email protected]，CIMA另有指示的除外。
Each sub-fund should meet the applicable cancellation requirements and be in good standing. Mutual-fund sub-funds are filed through REEFS, while private-fund sub-funds are currently submitted to [email protected], unless CIMA directs otherwise.
SPC、伞形信托或类似架构只有在底层子基金已经注销，或符合同时注销条件且各自要求均已完整满足后，才宜申请主体注销。
An SPC, umbrella trust or similar structure should apply only after its underlying sub-funds have been de-registered or are eligible to be de-registered at the same time, with each sub-fund's requirements fully satisfied.
应缴金额以CIMA现行收费表所列交回申请费为准，可通过REEFS托管账户或其他认可方式支付。CIMA说明，单独终止子基金不另收交回费用。
The amount is the surrender application fee shown in CIMA's current fee schedule and may be paid through REEFS escrow or another accepted method. CIMA states that no separate surrender fee is charged solely for terminating a sub-fund.
注销代理应与运营人及相关服务商确认基金状态，核对审计、FAR、费用和监管问询，并在申报前审阅全部证明文件的完整性及一致性。
The de-registration agent should confirm good standing with the operators and relevant service providers, reconcile audits, FARs, fees and regulatory queries, and review every supporting document for completeness and consistency before filing.
共同基金及其子基金目前通过REEFS提交；私募基金及其子基金目前将材料电邮至[email protected]。
Mutual funds and their sub-funds currently use REEFS. Private funds and their sub-funds currently submit the package by email to [email protected].
共同基金使用TMF-147-22，相关子基金使用TRS-142-99。按现行流程，私募基金及其子基金申请则发送至[email protected]。
A mutual fund uses TMF-147-22, while a related sub-fund uses TRS-142-99. Private-fund and private sub-fund applications are instead sent to [email protected] under the current process.
原则上不能。所有到期或逾期的审计及FAR义务须先完成，除非CIMA已批准适用的审计豁免。
Generally no. All due or overdue audit and FAR obligations must be completed first, unless CIMA has approved an applicable audit exemption.
不能。基金或子基金应在申请注销前全额结清所有未缴费用及罚款。
No. The fund or sub-fund should settle all outstanding fees and penalties in full before applying.
不能。自2022年8月17日起，新申请注销的基金不再获授LUT或LUL状态及相关年费优惠，在符合注销条件前仍显示为“活跃”。
No. Since 17 August 2022, new de-registering funds are not given LUT or LUL status or related annual-fee concessions; they remain shown as active until eligible for de-registration.
CIMA说明，在2022年8月17日前已经符合LUT或LUL状态的基金，不受新注销程序影响。
CIMA states that funds which qualified for LUT or LUL before 17 August 2022 are not affected by the newer cancellation procedures.
CIMA可退回错误或不完整的申请，例如基金并非状态良好、适用的交回费用未缴、证明文件缺失，或材料不符合注销程序。若子基金本身不需另缴交回费用，则该项原因不适用。
CIMA may return an incorrect or incomplete filing, including where the fund is not in good standing, the applicable surrender fee is unpaid, required evidence is missing, or documents do not satisfy the cancellation procedure. The surrender-fee point does not apply to a sub-fund where no separate fee is due.
就本项FAQ所述终止流程，CIMA表示审计豁免申请应发送至[email protected]，并在提交注销申请前取得批准。由于CIMA其他豁免指引可能区分不同程序情形，提交前应向终止团队及电子报告团队确认现行先后顺序。
For the termination workflow described in this FAQ, CIMA says the exemption request should go to [email protected] and approval should be obtained before the de-registration application is filed. Because CIMA's separate waiver guidance may distinguish procedural scenarios, confirm the current sequencing with both Terminations and E-Reporting before submission.
会。若尚未取得豁免批准，基金或子基金可能被视为并非状态良好，注销申请因而可能被退回。
Yes. Without an approved exemption, the fund or sub-fund may be treated as not in good standing and the de-registration filing may be returned.
在CIMA完成注销前，应通知[email protected]，并提交恢复注册请求、说明改变决定及投资者处理情况的运营人宣誓书、撤销终止决定的经认证决议，以及更新后的发售文件和适用费用。宣誓书还应确认基金合规运营，并说明投资者已全部赎回，或已获知基金继续运作的监管状态及后续义务。
Before CIMA de-registers the fund, notify [email protected] and provide a reactivation request, an operator affidavit explaining the reversal and investor treatment, a certified resolution rescinding the termination decision, and an updated offering document with the applicable fee. The affidavit should also confirm compliant operation and that investors were either fully redeemed or informed of the fund's continuing status and obligations.
视具体情形，可由符合DRLA要求的基金运营人、获授权签字人或获委任清算人签署。
Depending on the case, it may be signed by DRLA-compliant fund operators, authorised signatories or appointed liquidators.
宣誓书须涵盖与该基金具体注销依据相对应的规定证明事项，并应说明在CIMA注销后，实体将清算或从注册处除名，还是继续作为法律实体存在。
It must address the attestations prescribed for the fund's particular cancellation basis. It should also state whether, after CIMA de-registration, the entity will be liquidated or struck off, or will continue to exist legally.
通常必须公证，并显示公证人的印章及可核验执业信息。CIMA可酌情接受由有权且独立的专业人士（如宣誓专员、律师或特许会计师）适当见证的替代文件及其权限证明，但仍可要求正式公证或补充证据。
Ordinarily yes, with the notary's seal and verifiable commission details. CIMA may accept properly witnessed alternatives from an authorised independent professional—such as a commissioner for oaths, lawyer or chartered accountant—with supporting authority evidence, but it retains discretion to insist on notarisation or further proof.
不能。公证后的任何修改或修订都会使宣誓书失效，纠正后的文件应重新签署并公证。
No. A post-notarisation amendment or revision invalidates the affidavit, so a corrected document should be re-executed and notarised.
接受，但须附DocuSign完成证书。若未附该证书，CIMA要求以湿签或盖章方式认证该决议为真实副本。
Yes, provided a DocuSign Certificate of Completion is attached. Without that certificate, CIMA expects wet-ink or stamp certification that the resolution is a true copy.
CIMA将注销函发送给提交该申请的获委任注销代理。
CIMA sends it to the appointed de-registration agent that submitted the application.
应向CIMA首席财务官出具正式函件并发送至[email protected]，列明退款金额、理由、交易详情及首选汇款方式。CIMA提示处理可能需八周或更久。
Send a formal letter addressed to CIMA's Chief Financial Officer to [email protected], stating the amount, reasons, transaction details and preferred remittance method. CIMA notes that processing may take eight weeks or longer.
获授权服务提供商应通知[email protected]，并附运营人或董事批准更名的决议。重大变更发生后21日内，还应提交更新后的补充文件及页面所列125开曼元费用，并以CIMA现行收费表为准。
An authorised service provider should notify [email protected] and attach operator or director resolutions approving the name change. Within 21 days of the material change, file the updated supplement and the published CI$125 fee, subject to confirmation against CIMA's current schedule.
《受监管实体公司治理规则》对共同基金和私募基金设定具有约束力的义务；基金专项《公司治理指引》则就如何遵守相关规则和法例提出建议，并作为CIMA监管评估的参考尺度。
The Rule on Corporate Governance for Regulated Entities creates binding obligations for mutual and private funds. The fund-specific Statement of Guidance recommends how those entities can meet applicable rules and laws and serves as a supervisory benchmark for CIMA's assessment.
若电子平台无法实现实体双签，受监管实体应通过内部控制及人工监督建立等效保障。CIMA认为付款前实行双重审批，是实现该规则授权控制目标的适当方式。
Where an electronic platform cannot provide physical dual signatures, the regulated entity should implement equivalent safeguards through internal controls and manual oversight. CIMA identifies dual prior approval of payments as an appropriate way to preserve the Rule's authorisation objective.
应通过适当账户、分户账、记录、对账及保障措施，使客户资产和资金可识别，并与其他客户及受监管实体自身资产相分离。有限例外是仅为代表客户向CIMA或其他开曼政府机构支付应付款而短暂持有客户资金。
Client assets and money must remain identifiable and separate from other clients and from the regulated entity through suitable accounts, sub-ledgers, records, reconciliations and safeguards. A limited exception applies where client funds are held only to pay liabilities to CIMA or another Cayman government body as intermediary paying agent.
应提交申请函、适用时交回纸质原证书（遗失则提交宣誓书）、更新后的MF2A及适用的MF2、新管理人／主要办事处同意函，并缴纳页面所列300开曼元申报费。新的主要办事处提供方须持有相应的完整共同基金管理人牌照。
Submit a cover letter, the original certificate if issued (or a lost-certificate affidavit), updated MF2A and MF2 where applicable, the new administrator/principal office consent, and the published CI$300 filing fee. The replacement principal-office provider must hold the appropriate full mutual fund administrator licence.
若审计师不变，应提交正式理由函及批准决议；若同时更换审计师，还须由新审计师以正式抬头纸出具无条件同意函，列明基金、新年结日、会计准则及其MFA第35条或PFA第29条义务。变更应在下一次发售文件申报中反映，且不得形成超过18个月的审计期间。
If the auditor stays, provide a formal reason letter and the approving resolution; if the auditor changes, also provide an unconditional consent on letterhead stating the fund, new year-end, accounting principles and the auditor's section 35 MFA or section 29 PFA obligations. Reflect the change in the next offering-document filing, and do not create an audit period longer than 18 months.
该术语包括SPC的独立投资组合、伞形或主单位信托下的子信托，以及构成独立报告实体、单独列示资产负债及损益的股份、单位或权益类别。
It includes an SPC segregated portfolio, a sub-trust within an umbrella or master trust, and a class of shares, units or interests that constitutes a separate reporting entity with its own assets, liabilities, income and expenses.
当其超过51%的投资直接或通过中间实体投入某一主基金时，即属于联接基金。
It is a feeder fund when more than 51% of its investing is in a master fund, either directly or through an intermediary entity.
CIMA列示的方式包括REEFS托管账户、支票、银行汇票、电汇及境内电子转账；境外实体通常使用银行汇票或电汇。付款时应计入汇出行费用及CIMA收款行费用（FAQ列示7.50美元），并向[email protected]发送付款确认、实体名称、牌照／注册编号及款项分配明细。
CIMA lists REEFS escrow, cheque, bank draft, wire transfer and domestic electronic transfer; overseas entities generally use bank draft or wire. Allow for sending-bank charges and CIMA's receiving-bank charge (the FAQ lists US$7.50), and send payment confirmation with the entity name, licence/registration number and allocation details to [email protected].
CIMA以开曼元列示费用，并说明付款换算率为1.00美元兑0.82开曼元。汇款前应核对最新付款指引。
CIMA quotes fees in Cayman dollars and states a payment conversion of US$1.00 = CI$0.82. Confirm the live payment instructions before remitting.
规定年费应于每年1月15日或之前缴纳。CIMA说明，逾期期间每月按年费的十二分之一计收罚款。
The prescribed annual fee is due on or before 15 January each year. CIMA states that an overdue amount attracts a monthly penalty equal to one-twelfth of the annual fee for each month outstanding.
获认可服务提供商应通过REEFS提交CNM-109-99，并附适用时的CIMA纸质原证书、经认证的公司注册处更名证明及页面所列625开曼元（762.20美元）费用证明。材料不全会被退回，提交前应核对现行表格和收费。
An approved service provider files REEFS form CNM-109-99 with the original paper CIMA certificate if one was issued, a certified Registrar of Companies name-change certificate and proof of the published CI$625 (US$762.20) fee. Incomplete applications are rejected, so confirm the current form and fee before filing.
应从CIMA网站的“基金表格”栏目下载，并在准备申报时使用最新版本。
Use the Fund Forms section of CIMA's website and download the live version immediately before preparing a filing.
投资策略、风险、运营人、服务商、办事处、管理人、名称或新增投资组合等对披露有重大影响的变更，应根据MFA第4(8)条或PFA第11(1)条在21日内提交至[email protected]。CIMA FAQ对修订发售备忘录或附录列示125开曼元（152.44美元）费用；应附付款证明并核对最新金额。
A change materially affecting the disclosure—such as strategy, risks, operators, service providers, offices, administrator, name or creation of a portfolio—must be filed to [email protected] within 21 days under MFA section 4(8) or PFA section 11(1). CIMA's FAQ lists CI$125 (US$152.44) for an amended offering memorandum or addendum; attach payment evidence and verify the live fee.
应通过REEFS提交LGS-116-99，并附页面所列1,000开曼元（1,219.51美元）申请费证明。CIMA按申请日审查实体的监管及申报状态并出具状态良好或其他状态函；每次新请求均须重新申请并缴费。
File REEFS form LGS-116-99 with proof of the published CI$1,000 (US$1,219.51) application fee. CIMA reviews the entity's status as at the filing date and issues a good-standing or other status letter; each new request requires a new application and fee.
根据《零售共同基金（日本）规例》，基金应在每个财政年度结束后六个月期间届满之日起20日内向CIMA报告。内容包括现名及曾用名、各证券NAV及变动、净资产总额、申购、赎回和期末流通证券数量。
Under the Retail Mutual Funds (Japan) Regulations, the fund reports to CIMA within 20 days after the six-month period following each financial year-end. The report covers current and former names, NAV and changes by security, total net assets, subscriptions, redemptions and securities outstanding.
应通知[email protected]，确认新审计师获CIMA认可，并确保伞形架构全部子实体由同一审计师覆盖。新审计师须以正式抬头纸出具无条件同意函，列明基金、年结日、会计准则及接受MFA第35条或PFA第29条义务；若同时变更年结日，还须提交批准决议并在后续发售文件中更新。
Notify [email protected], confirm the new firm is CIMA-approved, and ensure one auditor covers every sub-entity in an umbrella structure. The new auditor must give an unconditional letter on letterhead stating the fund, year-end, accounting principles and acceptance of section 35 MFA or section 29 PFA duties; a simultaneous year-end change also needs the approving resolution and later offering-document update.
应通知[email protected]；如新管理人在开曼，应核实其具备所需CIMA牌照。每名新管理人须以正式抬头纸出具同意函，接受委任并说明服务范围；若估值计算与登记／过户职能分由两家机构承担，两方均须出具同意函。
Notify [email protected] and, for a Cayman administrator, verify the required CIMA licence. Each new administrator must provide a consent letter on letterhead accepting the appointment and describing its services; if calculation and registrar/transfer functions are split, obtain a consent from each provider.
应将批准新注册办事处的运营人决议副本发送至[email protected]。
Email [email protected] a copy of the operator resolutions approving the new registered office.
应向[email protected]提交批准该变更的运营人决议及更新后的审计师同意函，并在下一次发售文件申报中反映新的财务报告框架。
Email [email protected] the operator resolution approving the change and an updated auditor consent. The new reporting framework should also be reflected in the fund's next offering-document filing.
应通知[email protected]，并附离任人员辞任函、批准变更的决议或经公司注册处盖章的更新董事名册等证明。委任前还应确认新任董事符合适用的DRLA要求。
Notify [email protected] and attach evidence such as the outgoing person's resignation, the resolution approving the change, or an updated Register of Directors stamped by the Registrar of Companies. Confirm that incoming directors satisfy any DRLA requirements before appointment.
CIMA列示无犯罪记录证明或无定罪宣誓书、一封财务推荐信、两封个人推荐信、完整个人问卷及1,250开曼元（1,524.39美元）申请费。提交前应核对现行个人问卷、认证标准及收费表。
CIMA lists a police clearance or no-convictions affidavit, one financial reference, two personal references, a completed Personal Questionnaire and a CI$1,250 (US$1,524.39) application fee. Confirm the current personal-questionnaire form, certification standards and fee schedule before filing.
应提交新增或修订后的发售文件、条款摘要或补充文件，载明设立日期的董事决议或信托契据，页面所列125开曼元修订费证明及规定申请。共同基金使用REEFS表格ADD-125-99；私募基金目前将材料发送至[email protected]。
Provide the new or revised offering document, terms summary or supplement, the director resolution or trust deed showing the creation date, proof of the published CI$125 amendment fee, and the prescribed application. Mutual funds use REEFS form ADD-125-99; private funds currently send the package to [email protected].
注册办事处应提出正式请求并说明理由；如原证书遗失，应附遗失注册证书或许可证宣誓书。CIMA FAQ列示费用为375开曼元（457.32美元），应以现行收费表核对。
The registered office should make a formal request explaining the reason; if the original was lost, include a lost-certificate or lost-licence affidavit. CIMA's FAQ lists a CI$375 (US$457.32) fee, which should be checked against the current schedule.
CIMA可要求下一份财务报表回顾自注册日或上次已申报审计期末至豁免日之间的重大活动，但不要求对整个豁免期间进行完整审计。若基金尚未启动，报表应披露该事实或列示与豁免事实一致的零期初余额。
CIMA may require the next financial statements to review significant activity from registration or the last filed audit through the waiver date, without requiring a full audit of the waived period. If the fund had not launched, the statements should disclose that fact or show a nil opening balance consistent with the approved waiver facts.
应报告归属于该报告期的运营人会议；若会议在期末后、FAR完成前举行，且会议记录明确其针对上一报告期，也可计入。每次会议只能计算一次，并应逐年一致采用同一口径。
Report meetings attributable to the reporting period, including a meeting held after period-end but before FAR completion if its minutes clearly identify that earlier period. A meeting may be counted only once, and the methodology should be applied consistently from year to year.
年度审计须依MFA或PFA由CIMA认可审计师执行。CIMA政策还要求受监管基金及本地设立的持牌共同基金管理人的年度审计报告由本地审计师签署。
The annual audit must be performed under the MFA or PFA by an auditor approved by CIMA. CIMA policy also requires local auditor sign-off for regulated funds and locally established licensed mutual fund administrators.
应查阅CIMA发布的“认可本地审计师”名单，并在聘任或申报前即时核实事务所状态。
Use CIMA's Approved Local Auditors list and verify the firm's status immediately before appointment or filing.
事务所应依CIMA《受监管机构审计师认可监管政策》准备并提交申请材料。FAQ列示申请费为18,750开曼元（22,865.85美元）；应核对现行政策及收费表。
The firm should follow CIMA's Regulatory Policy on Approval of an Auditor for a Regulated Institution and submit the required application evidence. The FAQ lists an application fee of CI$18,750 (US$22,865.85); verify the current policy and fee schedule.
应提供不再向CIIPA注册的确认、不再为本地受监管共同基金、私募基金及管理人提供审计服务的确认，以及法律实体已经解散的证明。CIMA审阅后仍可要求进一步说明或补充材料。
Provide confirmation that the firm is no longer registered with CIIPA, that it will cease auditing locally regulated mutual funds, private funds and administrators, and evidence that the legal entity has dissolved. CIMA may request clarification or additional documents after reviewing the package.
应向[email protected]发送邮件，在主题中明确事项并列明基金完整法定名称及问题说明。常见原因包括审计师变更尚未备案、新子基金尚未通知，或相关变更仍在处理中。
Email [email protected] with the fund's full legal name, a clear subject and an explanation. Common causes include an unrecorded auditor change, unnotified new sub-funds, or a pending update concerning the auditor or sub-fund.
运营人、认可审计师或指定申报人应向[email protected]发邮件，明确基金及申报事项并说明退回原因。CIMA将审查该请求；FAQ说明该请求不收费，纠正后重新提交也不另收FAR费用。
The operators, approved auditor or designated submitter should email [email protected], identify the fund and filing clearly, and explain why rejection is needed. CIMA considers the request; the FAQ states there is no request fee and no additional FAR fee when the corrected filing is resubmitted.
如这些审计行早于基金注册且显然不适用，CIMA表示可暂不理会，等待监管局移除。
If the rows predate the fund's registration and plainly do not apply, CIMA says they may be disregarded until the Authority removes them.
不会。即使审计期短于12个月，或超过12个月但不超过允许的18个月上限，也应在相应财政年度的审计行中申报。
No. File the audit in the row for the relevant financial year even when the period is shorter than 12 months or longer than 12 months up to the permitted 18-month maximum.
同意函应明确接受委任，列明基金名称、首份经审计财务报表年结日及会计准则，并确认知悉及接受MFA第35条或PFA第29条义务。
It should expressly accept the appointment, identify the fund, state the year-end of the first audited financial statements and the accounting principles, and confirm awareness and acceptance of section 35 MFA or section 29 PFA obligations.
新审计师须获CIMA认可；对伞形架构，还应审计全部底层子基金。其正式抬头纸同意函须无条件接受委任，并列明基金、年结日、会计基础及法定义务；若同时变更年结日，还须提交批准决议并更新发售文件。
The replacement must be CIMA-approved and, for an umbrella structure, should audit all underlying sub-funds. Its unconditional consent on letterhead must identify the fund, year-end, accounting basis and statutory duties; a concurrent year-end change also requires the approving resolution and an offering-document update.
CIMA可允许首个审计期自注册日起最长18个月；如有管理人函证明较晚启动，也可自启动日起计算；最后审计期可自上次已申报年结日起最长18个月。FAQ未列申请费；在册核心服务商应向[email protected]发送经签署的理由函，若注册阶段同意函已明确首期延长，可能无须另交启动确认函。
CIMA may allow a first audit period up to 18 months from registration, or from a later launch date supported by an administrator letter, and a final period up to 18 months from the last filed year-end. No application fee is listed; a current core service provider should send a signed reasoned request to [email protected], and a registration-stage consent already specifying the extended first period may remove the need for a separate launch letter.
除非适用审计豁免，报表应覆盖自上次已申报审计年结日至向投资者完成最终分配之日。另一做法是截至最终NAV计算日，但期后事项附注须确认最终分配已经完成。
Unless an audit waiver applies, the statements should run from the last audited year-end to final investor distributions. Alternatively, they may end at the final NAV calculation if the subsequent-events note confirms that final distributions were made.
共同基金由在册核心服务商在截止日前通过REEFS表格FXT-162-22申请；延期按月批准，最长三个月，第二或第三次申请须附审计师详细说明函。分别审计的子基金通常按子基金及月份缴费，提交一份合并审计的架构一般只需一项申请；应在REEFS核对现行付款方式及收费。
Mutual funds use REEFS form FXT-162-22, filed by a current core service provider before the deadline; extensions are monthly for no more than three months, and second or third requests require a detailed auditor letter. Fees apply per separately audited sub-fund and month, while a structure filing one consolidated audit generally submits one request; verify current payment methods and charges in REEFS.
可用理由以CIMA现行共同基金或私募基金审计豁免政策第5.4节为准。每项申请只能基于一个理由，CIMA不接受多个理由合并提出。
The available grounds are those in section 5.4 of CIMA's current mutual-fund or private-fund audit-exemption policy. CIMA will consider only one basis for each request, not a combination of grounds.
在册核心服务商应以正式抬头纸提交经签署函件，说明唯一政策依据，并附相应豁免政策第6节要求的情形特定证明。CIMA FAQ列示每项申请500开曼元（609.76美元），分别审计的子基金通常各自申请，合并审计的伞形架构可只申请一次；涉及注销时应先向CIMA确认申报顺序。
A current core service provider should submit a signed letter on official letterhead stating the single policy basis, plus the scenario-specific evidence required by section 6 of the applicable waiver policy. CIMA's FAQ lists CI$500 (US$609.76) per request and generally a separate request per individually audited sub-fund, while a consolidated umbrella audit may use one; termination-related timing should be checked with CIMA before filing.
本项FAQ未规定简单的自动截止年限。基金连续两年申请豁免时，CIMA可要求运营人或管理人进一步说明无法编制经审计账目的原因。
The policy does not state a simple automatic cut-off in this FAQ. If a fund seeks exemptions for two consecutive years, CIMA may require additional explanations from the operators or administrator about why audited accounts cannot be produced.
PFA第13(1)条要求每年由CIMA认可审计师审计。经审计账目、私募基金FAR及运营人声明应在每个财政年度结束后六个月内提交CIMA。
Section 13(1) PFA requires an annual audit by a CIMA-approved auditor. The audited accounts, private-fund FAR and operator declaration are due to CIMA within six months after each financial year-end.
在2020年2月7日处于活跃状态或其后于2020年注册的私募基金，须就该年度提交经审计账目、FAR及运营人声明，并满足本地审计师签署要求。该项属于历史过渡安排，2020年截止日及当时单独RFE机制不应视为当前持续期限。
Private funds active on 7 February 2020 or registered later in 2020 were required to file audited accounts, a FAR and operator declaration for that year, subject to local auditor sign-off. This is a historical transitional item; the 2020 deadline and separate RFE mechanics should not be treated as current recurring deadlines.
截至2021年11月30日的年结日须另行提交RFE表格。自2021年12月31日及其后年结日起，更新后的PFR-049-77-02合并了原私募基金FAR和RFE信息，不再单独提交RFE。
A separate RFE form applied to year-ends through 30 November 2021. For 31 December 2021 and later year-ends, updated form PFR-049-77-02 combines the former private-fund FAR and RFE information, so a separate RFE is no longer required.
该AIV仍受PFA第13(1)条约束，须提交FAR及由CIMA认可审计师签署的年度财务报表。视架构而定，可提交单体报表、非开曼主基金的合并／组合报表，或多个开曼AIV的认可审计师组别审计，但须清楚覆盖每个已注册私募基金，且各基金分别提交FAR。
It remains subject to section 13(1) PFA and must file a FAR plus annual financial statements signed by a CIMA-approved auditor. Depending on the structure, it may file stand-alone statements, the non-Cayman main fund's consolidated/combined statements, or an approved-auditor group audit of multiple Cayman AIVs, provided each registered private fund is clearly covered and files its own FAR.
应报告规例所指与该受监管私募基金直接相关的全部AIV及子基金，而不限于开曼注册者。若某AIV本身已单独注册为私募基金，则因其自行提交FAR，可不在主基金FAR中重复报告运营及财务信息。
Report every AIV and sub-fund associated with the regulated private fund under the Regulations, not only Cayman-domiciled ones. An AIV that is itself separately registered as a private fund is excluded from duplicate operating and financial reporting in the parent fund's FAR because it files its own FAR.
本地第三方可以取得REEFS权限代为提交私募基金FAR，但基金运营人或注册办事处须向CIMA出具签署授权函。该安排专门适用于私募基金FAR申报。
A local third party may obtain REEFS access to submit a private-fund FAR if the fund's operators or registered office provide a signed authorisation letter to CIMA. This facility is described specifically for private-fund FAR filings.
通常不适用：在收到投资者用于投资的资本投入前，PFA第三部分的审计义务尚未生效，基金改为提交《私募基金规例》第3(2)条声明。由于豁免政策适用于已受第13(1)条约束的基金，此时无须申请豁免；但CIMA仍保留要求资料乃至审计的剩余权力。
Ordinarily no: before investor capital is received for investment, PFA Part 3 audit duties do not yet apply, and the fund instead files the declaration required by Private Funds Regulations 3(2). Because the waiver policy applies to funds already subject to section 13(1), no waiver is needed in that situation, although CIMA retains residual powers to demand information, including an audit.
该概念包括管理或控制基金全部或绝大部分资产、执行基金行政管理、在开曼提供主要办事处，或向基金提供运营人。判断时应以服务实质为准，而不能只看合同名称。
The concept includes managing or controlling all or substantially all fund assets, administering the fund, providing its Cayman principal office, or providing an operator to the fund. A service model should be assessed by substance, not only by its contract label.
主要办事处是由持牌共同基金管理人为基金维持的办事机构。典型职能包括NAV计算、申购赎回、公司及财务记录维护、投资者沟通，以及与CIMA联络。
It is the fund office maintained by a licensed mutual fund administrator. Typical functions include NAV calculation, subscriptions and redemptions, corporate and financial records, investor communications, and liaison with CIMA.
需要。未经CIMA许可，公司不得发行股份，股东亦不得转让、处置或以其他方式处理其股份或权益。
Yes. The company may not issue shares, and a shareholder may not transfer, dispose of or otherwise deal with shares or interests, without CIMA's permission.
同意函应列明基金名称，明确接受基金管理人委任，并概述其将提供的服务。
It should identify the fund, expressly accept appointment as administrator, and summarise the services the administrator will provide.
应查阅CIMA的基金统计及受监管实体页面。CIMA说明名单按季度更新，因此应在聘任日期临近时再次核实状态。
Use CIMA's Funds Statistics and Regulated Entities pages. CIMA states that the published list is updated quarterly, so status should be checked close to the appointment date.
所需资料载于《2001年共同基金管理人牌照（申请）规例》。申请由获授权服务提供商通过REEFS提交，并应遵循CIMA现行许可要求和系统指引。
The required particulars are set out in the Mutual Fund Administrators Licence (Applications) Regulations 2001. The application is submitted through REEFS by an authorised service provider, using CIMA's current licensing requirements and portal guidance.
CIMA考察诚实、诚信与声誉，胜任能力，以及财务稳健性。申请人应按监管局现行适当人选指引逐项准备证明。
CIMA considers honesty, integrity and reputation; competence and capability; and financial soundness. Applicants should map their evidence to the Authority's current fitness-and-propriety guidance.
FAQ说明通常约为六至八周。该时间仅为估计而非保证期限，并以申请完整且不存在重大疑虑为前提。
The FAQ indicates approximately six to eight weeks. This is an estimate rather than a guaranteed deadline and assumes a complete application without material concerns.
具体要求以《2001年共同基金管理人牌照（申请）规例》为准。应结合现行规例及REEFS清单，确定每名相关人员须提交的身份、所有权及适当人选证明。
The controlling particulars are those in the Mutual Fund Administrators Licence (Applications) Regulations 2001. Use the current regulations and REEFS checklist to determine the exact personal, ownership and fitness evidence for each individual.
CIMA列示无犯罪记录证明或无定罪宣誓书、一封财务推荐信、两封个人推荐信、完整个人问卷及1,250开曼元（1,524.39美元）申请费。提交前应核对现行问卷、认证标准及费用。
CIMA lists a police clearance or no-convictions affidavit, one financial reference, two personal references, a completed Personal Questionnaire and a CI$1,250 (US$1,524.39) application fee. Verify the current questionnaire, certification standards and charge before submission.
CIMA FAQ指示将报表发送至[email protected]。发送前应核对现行文件格式、邮件主题规范及截止日期。
CIMA's FAQ directs the statements to [email protected]. Confirm the current file format, subject convention and deadline before sending.
管理人须处于状态良好，并提交原牌照或遗失牌照宣誓书、页面所列600开曼元交回费、经认证的撤销决议，以及董事就停止业务、合规运营和债权人保护作出的证明。CIMA还要求提供基金转移或终止证明、截至停止服务日的最终经审计报表、适用的公司注册处清算表格，以及清算人报告或审计师无未偿负债确认；监管局仍可要求补充材料。
The administrator must be in good standing and submit the original licence or lost-licence affidavit, the published CI$600 surrender fee, a certified cancellation resolution, and director attestations covering cessation, compliant operation and creditor protection. CIMA also expects evidence of fund transfers or terminations, final audited statements through cessation, applicable Companies Registry liquidation forms, and a liquidator report or auditor confirmation of no outstanding liabilities; further evidence may be requested.
应进入gateway.cimaconnect.com董事门户并选择“Initial Registration”。CIMA处理初始请求后，会向申请人登记邮箱发送唯一董事编号及后续指引，申请人再登录门户完成注册并缴纳适用年费。
Use the Directors Gateway at gateway.cimaconnect.com and select Initial Registration. After CIMA processes the request, it sends a unique director ID and instructions to the applicant's registered email so the applicant can finish the portal registration and pay the applicable annual fee.
自收到编号及指引之日起，申请人有14个日历日登录董事门户、完成注册并缴纳规定年费。
The applicant has 14 calendar days from receipt of the ID and instructions to log into the Directors Gateway, complete registration and pay the required annual fee.
CIMA会退回初始申请。申请人如仍拟注册，须重新提交一份新请求供CIMA审理。
CIMA returns the initial application. A person who still wishes to register must submit a fresh request for CIMA's consideration.
原申请人资料会被停用，已签发编号也将失效。申请人须通过董事门户重新提出初始请求，CIMA随后会签发新编号供其完成注册及付款。
The original profile is deactivated and the issued ID stops working. A new initial request through the Directors Gateway is required, after which CIMA issues a new ID for completion and payment.
新请求须重新填写核心身份及任职资料，包括姓名（含完整西式姓名）、性别、邮箱、出生日期及国家、关联基金、注册办事处或法律顾问，以及拟生效日期。应在现行门户中填写最新且相互一致的信息。
The new request repeats the core identity and appointment data: names (including full Western name), gender, email, birth date and country, associated fund, registered office or legal counsel, and requested active date. Applicants should use current, internally consistent details in the live portal.
不能。CIMA仅接受通过董事门户提交的申请，其他渠道送交的材料不会处理。
No. CIMA accepts these applications only through the Directors Gateway; submissions by other channels are not processed.
CIMA依据《金融管理局法》第50条保密规定维护底层数据库。公众以姓名查询时，可能仅看到董事姓名、注册或许可类别及编号、获批日期，其余档案不会公开披露。
CIMA maintains the underlying database under section 50 confidentiality of the Monetary Authority Act. A public name search may show only the director's name, registration or licence type and number, and the date granted; the remaining file is not publicly disclosed.
应在获委任为涵盖实体（例如注册共同基金或相关证券制度下的注册人士）的董事之前申请。董事任职生效前应取得相应注册或许可状态。
Apply before appointment to a covered entity, such as a registered mutual fund or a Registered Person under the relevant securities regime. Registration or licensing status should be in place before the directorship becomes effective.
可电邮[email protected]，由CIMA投资监管部门处理注册咨询。
Email [email protected]; CIMA's Investments Supervision Division handles registration queries.
可以，但CIMA在向第三方披露受保护资料或接受其代办变更前，须收到董事签署并注明日期的同意函。授权函应发送至[email protected]，并明确代表权限范围。
Yes, but CIMA needs a signed and dated consent letter from the director before it can share protected information or accept amendments from that third party. Send the authorisation to [email protected] and define the representative's scope clearly.
登录董事门户并进入“Personal Details”页面，即可查看专属于该董事的七位编号。
Log into the Directors Gateway and open the Personal Details page, where the director-specific seven-digit ID is displayed.
应联系[email protected]，由CIMA确认正确编号；未经指示不要同时创建或使用多个门户资料。
Contact [email protected] so CIMA can identify the correct number. Do not create or operate parallel portal profiles without direction.
应尽快联系[email protected]，并按CIMA投资监管部门的回复处理。同时宜由开曼法律顾问审阅该通知及任何正式回应权利。
Contact [email protected] promptly and follow the response from CIMA's Investments Supervision Division. The notice and any formal response rights should also be reviewed with Cayman legal counsel.
应直接联系[email protected]。CIMA相关部门核实身份后可查找并提供正确编号。
Contact [email protected] directly. CIMA's responsible division can locate and provide the correct identification number after verification.
如可能需要额外审查，应尽早申请，尤其是涵盖实体本身尚在注册时。CIMA提及48小时注册处理时限，但需补充资料的个案可能更久，任职前应先确保取得合适状态。
Apply as early as practicable where extra review may be needed, particularly if the covered entity's own registration is pending. CIMA refers to a 48-hour registration processing timeline, but additional-information cases can take longer and the status should be secured before appointment.
不能。每名董事应提供由本人控制的邮箱，而不是第三方或服务提供商的邮箱。
No. Each director should provide an email address controlled by that director, not a third party's or service provider's address.
可以，但CIMA建议使用个人邮箱，以便董事离开相关机构后，只要CIMA董事记录仍有效，仍能持续接收监管通信。
Yes, but CIMA recommends a personal address so regulatory communications remain accessible if the director later leaves the relevant organisation while the CIMA directorship record is still active.
在门户首页选择“Forgot Password”，系统会向董事资料中的登记邮箱发送临时密码。
Select Forgot Password on the portal home page. A temporary password is sent to the email registered on the director's profile.
登录董事门户，在“Personal Details”页面的邮箱栏更新。应保持地址有效，以确保监管通知及密码恢复功能正常。
Log into the Directors Gateway and amend the email field on the Personal Details page. Keep the address current so notices and password recovery continue to work.
应联系[email protected]，取得投资监管部门指示，并可就通知内容及整改步骤咨询开曼法律意见。
Contact [email protected] for direction from the Investments Supervision Division. Consider obtaining Cayman legal advice on the notice and any corrective steps.
不会。退出董事会与根据DRLA交回注册或牌照是两个独立程序；在门户交回流程完成前，董事仍属活跃并须继续履行DRLA义务及缴费责任。
No. Board resignation and surrender under the DRLA are separate processes; until the portal surrender is completed, the director remains active and must continue meeting DRLA obligations and fees.
无须。CIMA说明，无论法律形式如何，私募基金并非DRLA所称涵盖实体，因此仅担任该职务不会触发董事注册。
No. CIMA states that a private fund is not a covered entity for DRLA purposes, regardless of its legal form, so that role alone does not trigger director registration.
该人士须申请专业董事牌照。注册董事类别适用于为少于20家涵盖实体任职的自然人，但仍须考虑法定例外及CIMA现行指引。
The person must apply for a professional-director licence. Registration is the category for a natural person serving fewer than 20 covered entities, subject to any statutory exception and current CIMA guidance.
不需要。个人应按适用类别选择注册或许可其中之一；持牌专业董事无需另行注册，保持低于门槛的注册董事也无须另持专业牌照。
No. A person is either registered or licensed according to the applicable category; a licensed professional director does not also register, and a registered director staying below the threshold does not also hold a professional licence.
应向开曼律师取得独立法律意见以判断法定例外。即使例外适用，CIMA仍要求该人士根据DRLA第二部分办理注册。
Obtain independent advice from Cayman counsel on the statutory exception. Even where the exception applies, CIMA states that the person must still register under Part II of the DRLA.
应要求每家涵盖实体确认已向CIMA通知辞任，并在董事门户同步管理相关记录。每项门户辞任请求均应附适当证明文件。
Ask each covered entity to confirm it notified CIMA of the resignation, then manage the same change in the Directors Gateway. Each portal resignation request should include the appropriate supporting document.
应提交将已故董事从董事会移除的董事决议及经认证死亡证明。若组织文件规定董事去世即自动离任，CIMA可接受该条款代替决议，但须同时附更新后的董事名册。
Submit a director resolution removing the deceased director and a certified death certificate. If the entity's constitutional documents automatically vacate office on death, CIMA may accept those provisions instead of the resolution when accompanied by an updated Register of Directors.
应在门户选择“Change Category or Surrender”，缴纳页面所列600开曼元交回费，并完成专业董事许可申请及其申请费和年费。CIMA还要求提交函件，确认已通知所有相关涵盖实体；申报前应核对最新费用及门户步骤。
Use Change Category or Surrender in the portal, pay the published CI$600 surrender fee, and complete the professional-licence application with its application and annual fees. CIMA also asks for a letter confirming that every covered entity has been notified of the licence application; verify live fees and portal steps before filing.
应在门户选择“Change Category or Surrender”，缴纳页面所列800开曼元交回费，并完成注册董事申请及其申请费和年费。还须提交已通知所有涵盖实体的确认函，并在转换前确保任职数量符合注册董事门槛。
Use Change Category or Surrender, pay the published CI$800 surrender fee, and complete the registered-director application with its application and annual fees. Submit a letter confirming notice to every covered entity, and ensure the person's appointments fit the registered-director threshold before conversion.
该法适用于根据《共同基金法》注册为受监管共同基金的公司董事，以及符合《证券投资业务法》第5(4)条及第四附表第1和第4段的公司董事。具体实体是否属于范围，应按现行法例核实。
The Act applies to directors of companies registered as regulated mutual funds under the Mutual Funds Act and to companies falling within section 5(4) and paragraphs 1 and 4 of the Fourth Schedule to the Securities Investment Business Act. Classification of a particular entity should be checked against the current legislation.
应向开曼群岛律师取得独立法律意见。CIMA FAQ不能替代针对具体实体及事实的法例分析。
Seek independent legal advice from Cayman Islands counsel. CIMA's FAQ does not replace an entity- and facts-specific statutory analysis.
CIMA可将事项移交检察长或总检察长办公室，由其决定后续处理。任何可能涉及罪行的人士均应尽快取得法律意见。
CIMA may refer the matter to the Director of Public Prosecutions or the Attorney General's Chambers, which then determines the appropriate course. Anyone facing a potential offence should obtain legal advice promptly.
CIMA将根据该法提供的全部信息视为重大信息。任何变更应在21日内更新；如无变更，董事在缴纳年费时重新确认现有资料。
CIMA treats all information supplied under the Act as material. Changes should be updated within 21 days, and where nothing has changed the director reconfirms the existing information when paying the annual fee.
CIMA利用法院诉讼及纪律处分资料评估申请是否适合批准，因此完整、准确披露是监管适当性审查的重要组成部分。
CIMA uses court and disciplinary information to assess whether the application is suitable for approval. Complete and accurate disclosure is therefore material to the regulator's fitness review.
CIMA FAQ列示首次费用为700开曼元（853.65美元），在提交注册请求时缴纳，不因申请月份而按比例减少。付款前应核对现行门户及收费表。
CIMA's FAQ lists CI$700 (US$853.65), payable when the registration request is submitted regardless of the month of application. Check the live portal and fee schedule before payment.
CIMA列示年费为700开曼元（853.65美元）；如未在12月31日前交回状态，应在1月1日前通过董事门户支付。门户仅接受Mastercard或Visa借记／信用卡，发卡行汇率差额由持卡人承担；应在门户核对最新付款条款。
CIMA lists an annual fee of CI$700 (US$853.65), paid through the Directors Gateway before 1 January if the status was not surrendered by 31 December. The portal accepts Mastercard or Visa debit/credit cards only; any issuer exchange-rate difference is borne by the cardholder, and current payment terms should be verified in the portal.
年费应于1月1日或之前缴纳，但CIMA说明，1月15日后付款将按每个逾期月份收取相应年费十二分之一的罚款。发生逾期时应向CIMA核实现行计算方式。
Although the annual fee is due on or before 1 January, CIMA states that payment after 15 January attracts a monthly penalty equal to one-twelfth of the applicable annual fee for every month outstanding. Confirm the current calculation with CIMA where payment is late.
可电邮[email protected]，由CIMA财务部门处理相关咨询。
Email [email protected]; CIMA's Finance Division handles these queries.
应向[email protected]发送错误截图及相关交易和个人资料。尤其接近截止日时，应保留尝试付款的证据。
Send [email protected] a screenshot of the error and the relevant transaction and profile details. Preserve evidence of the attempted payment, especially near a deadline.
应重新进入董事门户，选择“Initial Registration”并提交新请求；此前交回的状态不会自动恢复。
Return to the Directors Gateway, select Initial Registration and submit a new request. Previous surrender does not reactivate automatically.
不会。实体层面的辞任与监管层面的交回是独立程序；在CIMA交回流程完成前，董事仍属活跃并承担合规责任。
No. Entity-level resignation and regulator-level surrender are separate, and the director remains active and liable for compliance until the CIMA surrender process is completed.
首先须在门户记录从全部涵盖实体辞任并上传证明，保存变更后结清所有未付费用及罚款。符合条件后，使用“Change Category or Surrender”，缴纳页面所列600开曼元（731.70美元）交回费，并确认目前及未来不再担任相关职务；CIMA会核实任职情况并可要求补充资料。
First record resignation from every covered entity and upload supporting evidence, then save the changes and settle all outstanding fees and penalties. Once eligible, use Change Category or Surrender, pay the published CI$600 (US$731.70) surrender fee, and confirm no current or intended covered-entity role; CIMA verifies the appointments and may request more information.
应在12月31日或之前完成门户交回并缴纳页面所列600开曼元（731.70美元）费用。即使已经提交董事辞任，未在该日前完成交回仍会产生下一年度费用。
Complete the portal surrender and pay the published CI$600 (US$731.70) fee on or before 31 December. Missing that date makes the director liable for the following year's fee, even if board resignations were already submitted.
应向每家实体确认其已通知CIMA，并在董事门户提交董事本人的辞任请求及证明。实体记录与个人记录须一致，交回程序方可继续。
Confirm with each entity that it notified CIMA, then submit the director's own resignation requests and evidence in the Directors Gateway. Both the entity and individual records must align before surrender can proceed.
若新年开始时该人士仍属注册／持牌状态或仍在任何涵盖实体任职，CIMA不能追溯处理上一年度交回，后续年费将到期。技术问题应在12月31日前连同截图或其他证据报告至[email protected]。
If the person remains registered/licensed or on any covered entity when the new year begins, CIMA cannot backdate the prior-year surrender and later annual fees become payable. Report technical problems to [email protected] before 31 December with screenshots or other evidence.
应在董事门户选择“Surrender”并缴纳页面所列800开曼元费用。CIMA相关部门随后会联系公司说明余下步骤；提交前应核对现行要求及收费。
Use Surrender in the Directors Gateway and pay the published CI$800 fee. CIMA's responsible division then contacts the company with the remaining steps; verify the current requirements and fee before submission.
对没有清算人的历史LUT基金，董事通常须留任至注销完成；如程序跨过12月31日，可能须缴下一年度费用。LUL基金委任清算人后，董事权力通常终止；不再为其他涵盖实体任职的人士应完成门户交回，否则后续费用可能继续产生。由于CIMA自2022年8月起不再授予新的LUT／LUL状态，应确认具体个案处理。
For a legacy LUT fund without a liquidator, directors generally remain until de-registration and may owe the next annual fee if the process crosses 31 December. In LUL, a liquidator's appointment normally ends director powers; a person who will not continue on other covered entities should complete portal surrender or future fees may accrue—confirm treatment because CIMA stopped granting new LUT/LUL status in August 2022.
应向[email protected]发送技术错误截图及相关请求详情。如临近截止日，应保留带时间记录的上传失败证据。
Email [email protected] with a screenshot of the technical error and all relevant request details. Keep time-stamped evidence of the failed upload where a deadline is approaching.
委任时，可上传经签署的接受委任函、注册处签发的董事名册或实体经签署决议等认可文件。辞任时，可按情况提交经签署辞任函、更新董事名册、经签署决议、CWR 19或CWR 20，或基金解散证明。
For appointment, upload an accepted item such as the signed acceptance letter, Registrar-issued Register of Directors or signed entity resolution. For resignation, acceptable evidence includes a signed resignation letter, updated Register of Directors, signed resolution, CWR 19 or CWR 20, or the fund's dissolution certificate, as applicable.
门户要求填写申请人姓名（含完整西式姓名）、性别、邮箱、出生日期及国家、关联基金、注册办事处或法律顾问，以及拟生效日期。应按现行表格准确填写，并确保各项身份记录一致。
The portal requests the applicant's names (including full Western name), gender, email, birth date and country, associated fund, registered office or legal counsel, and requested active date. Complete the live form exactly as presented and keep identity details consistent across records.
期限为收到编号及指引后的14个日历日。注册步骤及适用年费付款均须在该期间内通过董事门户完成。
The deadline is 14 calendar days after receiving the ID and instructions. Registration and the applicable annual-fee payment must both be completed in the Directors Gateway within that period.
如注册步骤或规定费用仍未完成，CIMA会退回申请。申请人如仍拟注册，须提交新请求。
CIMA returns the application if registration or the required fees remain incomplete. The person must file a new request if registration is still desired.
原资料会被停用，先前编号不再可用。申请人须通过董事门户重新提出请求，CIMA再签发替代编号供完成注册及付款。
The profile is deactivated and the earlier ID becomes unusable. A new Directors Gateway request is required, and CIMA issues a replacement ID for completion and payment.
申请人须重新填写首次请求所需的核心身份及拟任职资料，包括姓名、性别、邮箱、出生信息、关联基金、注册办事处或律师及拟生效日期。应使用最新资料，而不是照搬已停用资料中的旧信息。
The applicant re-enters the same core identity and proposed-appointment details required for an initial request, including names, gender, email, birth information, associated fund, registered office or counsel, and requested active date. Use current information rather than copying stale data from the deactivated profile.
CIMA说明申请人通常应在48小时内收到注册确认。该时限适用于完整且无复杂问题的申请，不应视为无条件保证。
CIMA says applicants should receive registration confirmation within 48 hours. Treat this as the standard timeline for a complete, uncomplicated application rather than an unconditional guarantee.
CIMA可能需要补充资料才能完成审理。应联系[email protected]查询申请状态及未完成要求。
CIMA may need additional information before finalising the request. Contact [email protected] for the application's status and any outstanding requirement.
如CIMA拟拒绝申请，会联系申请人说明理由并给予陈述机会。若最终拒绝，CIMA会正式通知结果。
If refusal is contemplated, CIMA contacts the applicant with the reasons and an opportunity to make representations. If the application is ultimately refused, CIMA sends formal notice of that outcome.
CIMA会电邮注册确认。为保持状态良好，董事须在适用的一月截止日前缴纳年费并重新确认原申报资料；FAQ同时提及1月1日到期日及1月15日罚款门槛，故应以门户现行提示为准。
CIMA emails registration confirmation. To remain in good standing, the director pays the annual fee by the applicable January deadline and reconfirms the information originally supplied; check the portal because the FAQ references both a 1 January due date and a 15 January penalty threshold.
应在获委任于第20家涵盖实体之前，通过门户申请专业董事牌照。CIMA将跨越该门槛视为类别变更；进一步受信许可咨询可发送至[email protected]。
Apply through the portal for a professional-director licence before appointment to the 20th covered entity. CIMA treats the threshold crossing as a category change; further fiduciary-licensing queries may be sent to [email protected].
申请仅通过董事门户受理。收到唯一编号后，申请人登录门户，在首次使用时设置密码，并按现行门户完成专业董事申请及付款流程。
Applications are accepted only through the Directors Gateway. After receiving the unique ID, the applicant logs in, sets a password on first use and completes the professional-director application and payment workflow shown in the live portal.
可电邮[email protected]，由CIMA受信业务部门处理专业董事许可咨询。
Email [email protected]; CIMA's Fiduciary Division handles professional-director licensing queries.
不能。专业董事牌照仅适用于自然人；公司担任董事时须采用公司董事许可路径或持有其他适用法定牌照。
No. Professional-director licensing is for natural persons; a company acting as director must use the corporate-director licensing route or another applicable statutory licence.
无须。自然人应根据任职数量及性质持有相应的一种状态，即注册或许可，而非同时持有两者。
No. A natural person holds the status appropriate to the number and nature of appointments—registration or licensing, but not both at the same time.
CIMA要求提供完整法定姓名、出生资料、国籍、主要及邮寄地址、联系方式、完整个人问卷、三封推荐信（至少一封来自银行）及近期无犯罪记录证明。认证及文件时效要求应以现行门户清单为准。
CIMA requests the full legal name, birth details, nationalities, principal and postal addresses, contact details, a completed Personal Questionnaire, three references with at least one from a bank, and a recent police clearance. Use the current portal checklist for certification and recency requirements.
CIMA说明申请人通常应在四周内收到许可确认，前提是申请完整且不存在需额外审查的问题。
CIMA says applicants should receive licensing confirmation within four weeks. This assumes a complete application without issues requiring additional review.
这通常表示CIMA需要补充资料后才能完成审理。除非适用历史过渡保护，申请人在获牌前不应开始相关专业董事职务，因此应在第20家涵盖实体委任前充分提前申请。
CIMA generally needs more information before finalising the application. Outside any historical transitional protection, the applicant should not begin the relevant professional-director role until licensed, so apply well before the 20th covered-entity appointment.
CIMA会先说明拟拒绝理由并给予陈述机会；如最终拒绝，再发出正式通知。FAQ还提及该法初始生效过渡安排下董事可使用第26条复议程序；现行复核权利应向法律顾问确认。
CIMA first gives reasons and an opportunity to make representations, then issues notice if refusal is confirmed. The FAQ also references the section 26 reconsideration procedure for a director protected by the Act's original commencement arrangements; current review rights should be confirmed with counsel.
CIMA会发出许可通知。为保持状态良好，持牌人须在适用的一月截止日前缴纳年费，并每年重新确认申请资料。
CIMA sends a licensing notice. To maintain good standing, the licensee pays the annual fee by the applicable January deadline and reconfirms the application information each year.
该人士可以保留专业牌照，也可申请转为注册董事。转换获批后须交回专业牌照，任职不得超过19家，已缴牌照申请费及首年年费不予退还；因源FAQ含有历史措辞，应向门户确认具体步骤。
The person may retain the professional licence or apply to change to registered-director status. If conversion is approved, the professional licence must be surrendered, appointments must not exceed 19, and licence application or first-year annual fees are not refunded; confirm the portal sequence because the source FAQ contains legacy wording.
应使用“Change Category or Surrender”，缴纳页面所列800开曼元交回费，并完成注册董事申请及相关费用。CIMA还要求提交已通知全部涵盖实体的确认函；应核对最新金额并确保转换后任职不超过19家。
Use Change Category or Surrender, pay the published CI$800 surrender fee, and complete the registered-director application and its fees. CIMA also requires a letter confirming notice to all covered entities; verify the current amount and ensure no more than 19 appointments will remain.
董事须受董事及高级人员责任保险（D&O）保障。保险可由个人投保、涵盖实体提供或纳入团体计划，无须由开曼保险人承保，但保险人应信誉良好并熟悉D&O风险。
The director must be covered by directors' and officers' liability insurance. Coverage may be individual, supplied by a covered entity or provided through a group plan, and need not be written by a Cayman insurer, but the insurer should be reputable and experienced in D&O risk.
应向开曼律师取得独立法律意见。即使符合专业董事许可例外，该人士仍须根据DRLA第二部分注册。
Obtain independent advice from Cayman counsel. A person within a professional-licensing exception must still register under Part II of the DRLA.
不能。只有自然人可以成为专业董事；公司须申请公司董事类别，或依赖其他符合条件的法定牌照。
No. Only natural persons can be professional directors; a company must apply in the corporate-director category or rely on another qualifying statutory licence.
不能。注册仅适用于自然人；公司担任董事须持有适当的公司董事牌照或其他合资格牌照。
No. Registration is restricted to natural persons; a company acting as director needs the appropriate corporate-director or other qualifying licence.
申请仅通过CIMA网络门户受理。公司收到唯一编号后，由获授权用户登录、设置首次使用密码，并完成公司申请流程。
The application is accepted only through CIMA's web portal. After the company receives its unique ID, its authorised user logs in, sets the first-use password and completes the corporate application workflow.
CIMA列示《公司法》下的普通居民公司、普通非居民公司、获豁免公司及已注册外国公司。公司不属于获准法定类别的，不得担任涵盖实体董事。
CIMA lists ordinary resident and non-resident companies, exempted companies and registered foreign companies under the Companies Act. A company outside the permitted statutory categories cannot act as director of a covered entity.
需要。无论任职数量多少，公司均须持有DRLA公司董事牌照、公司管理牌照，或允许相关活动的共同基金管理人牌照。
Yes. Regardless of appointment count, a company must hold a DRLA corporate-director licence, a companies-management licence or a mutual fund administrator licence that permits the activity.
需要。如子公司担任董事，且自身未根据《公司管理法》或《共同基金法》持牌，即须取得所需董事牌照。母公司的牌照不会自动覆盖独立子公司。
Yes, if a subsidiary acts as director and is not itself licensed under the Companies Management Act or Mutual Funds Act, it must obtain the required director licence. A parent's licence does not automatically extend to separate subsidiaries.
CIMA要求提供设立及适用的外国公司注册证明、股东／成员和董事名册、组织文件、外国公司的本国状态良好证明，以及列明母子公司及各自注册办事处和主要办事处的集团清单。资料应完整、最新地呈现所有权及控制链。
CIMA requests incorporation and any foreign-company registration evidence, shareholder/member and director registers, constitutional documents, home-jurisdiction good-standing evidence for a foreign company, and a group list showing parent/subsidiary entities and each registered and principal office. The records should present a complete, current ownership and control chain.
公司董事的自然人董事会成员及实益拥有超过10%投票权益的人士须提供完整身份、出生、国籍、地址及联系方式、个人问卷、三封推荐信（至少一封银行推荐信）和近期无犯罪记录证明。应在门户核实现行实益所有权及认证要求。
Natural-person board members and beneficial owners of more than 10% of voting interests provide full identity, birth, nationality, address and contact data, a Personal Questionnaire, three references including at least one bank reference, and a recent police clearance. Confirm the current beneficial-ownership and certification instructions in the portal.
CIMA说明，在申请完整且无补充资料问题的情况下，通常约四周可收到许可确认。
CIMA indicates approximately four weeks for licensing confirmation, assuming a complete application without additional-information issues.
CIMA可能需要公司、股东或董事补充资料。除非适用历史生效过渡保护，公司在获牌前不应为涵盖实体任职，因此应在拟启动或委任日期前充分提前申请。
CIMA may need more information from the company, shareholders or directors. Outside any historical commencement protection, the company should not act for a covered entity until licensed and should therefore apply well before the intended launch or appointment.
CIMA会向公司说明拟拒绝理由并给予陈述机会；如最终确认拒绝，则向公司申请人发出正式通知。
CIMA gives the company the proposed reasons and an opportunity to make representations. If refusal is confirmed, CIMA sends formal notice to the corporate applicant.
CIMA会发出许可通知。公司须在适用的一月截止日前缴纳年费并每年重新确认申请资料，以维持状态良好。
CIMA issues a licensing notice. The company maintains good standing by paying the annual fee by the applicable January deadline and reconfirming its application information each year.
公司须受D&O保险保障，可通过自有保单、涵盖实体保单、团体安排或其他认可计划取得。保险人无须位于开曼，但应信誉良好并具备D&O承保经验。
The company must be covered by D&O insurance, whether through its own policy, a covered entity's policy, a group arrangement or another acceptable plan. The insurer need not be Cayman-based but should be reputable and experienced in D&O cover.
可电邮[email protected]，由CIMA受信业务部门处理公司董事许可咨询。
Email [email protected]; CIMA's Fiduciary Division handles corporate-director licensing questions.
不应。注册适用于为少于20家涵盖实体任职的自然人；达到20家或以上时，应申请专业董事牌照，但须考虑任何法定例外。
No. Registration is for natural persons serving fewer than 20 covered entities; at 20 or more, the person applies for a professional-director licence, subject to any statutory exception.
公司不能申请专业董事牌照，因为该类别仅限自然人。公司须采用公司董事许可路径，或持有其他授权该活动的法定牌照。
A company cannot be licensed as a professional director because that category is limited to natural persons. It must use the corporate-director route or hold another statutory licence that authorises the activity.
官方来源
CIMA-INVESTMENT-FUNDS-FAQScurrentInvestment Funds FAQs
Cayman Islands Monetary Authority · 230 questions in 17 categories; live webpage verified 2026-08-01
Verified: 2026-08-01