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北京赛车pk10正规网址:Baozun Investment and other three private equity violations were punished by regulators.

时间:2018/4/10 17:59:29  作者:  来源:  浏览:0  评论:0
内容摘要:Three private equity funds have been punished for regulatory violations \n? With the tightening of supervision, special inspections of priva...

Three private equity funds have been punished for regulatory violations

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With the tightening of supervision, special inspections of private equity funds have become the norm in China's securities regulatory bureaus, and non-compliant internal organizations will have no place in supervision.

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Three private equity funds in Guangdong and Xiamen received fines in late March due to the existence of undocumented products, the introduction of private funds to unspecified individuals, and the lack of implementation of risk assessment and other non-compliance facts. Both of them violated regulations. ". With the tightening of supervision, special inspections of the private equity funds of the securities regulatory bureaus around the world have become the norm. Institutions with non-compliance with internal operations will have no place in supervision.

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Po Zun Investment once again violated

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Guangzhou Baozun Investment Management Co., Ltd. (hereinafter referred to as “Baozun Investment”) and its three supervisors recently received the Guangdong Securities Regulatory Bureau due to four irregularities such as the promotion of products to unspecified publics and the failure to strictly implement investor risk assessments. The ticket.

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According to the Guangdong Provincial Securities Regulatory Bureau's administrative punishment decision, Po Zun Investment has four non-compliance facts. One is through the company's website to publicize private equity funds to the unspecified public; the other is that of the three private placement products that are sold on their own, All investors conducted effective risk assessment in the form of questionnaires, etc. Third, the investment manager's change information was not disclosed to investors. The investment manager agreed upon by a product in its fund contract was Zhou Bin, but in actual operation, it was 6 in 2015. From the 25th of January to the 31st of January 2017, the investment manager is Zhang Mousheng, another private equity fund contract is and the investment manager is . The manager is Zhang Mousheng, but the actual investment manager is Zhou Bin. Baozun Investment does not Investors disclosed this change information; Fourthly, from June 2016 to November 9th 2017, Baozun Investment successively made changes in names, employees, shareholders, senior management personnel, etc. Baozun Investment did not follow the rules to China. The Securities Investment Fund Industry Association reports and fills in and updates relevant information.

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As Baozun invested in the above four acts in violation of the provisions of Articles 14, 16, 24, and 25 of the Interim Measures for the Supervision and Management of Private Equity Funds, the Guangdong Securities Regulatory Bureau decided to They were ordered to make corrections, given warnings, and imposed a fine of 30,000 yuan. They gave a warning to the actual controller Xu Yuming and a fine of 20,000 yuan. He warned executives Zhou Bin and Wang Baisheng and imposed a fine of 10,000 yuan each.

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This is not the first time that Baozun Investment has been fined. Just last year, Baozun Investment was taken by the China Securities Regulatory Commission for administrative supervision due to violations of laws and regulations. According to the China Fund Industry Association's registration information, Baozun Investment registered on May 8, 2015, with a registered capital of 10 million yuan. After the implementation of the Interim Measures, four fund products were established. The chairman and legal representative is Xu Yuming.

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On September 14, 2017, the China Securities Regulatory Commission (CSRC) announced the implementation of special inspections of private equity funds in 2017. Among the 83 private equity organizations that have adopted administrative supervision measures, Baozun Investment is among them. After undergoing rectification, once again because of violations of penalties, Bao Zun Investment's internal operational compliance issues still need to be strengthened.

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Two Private Equity Violations in Xiamen

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In addition to Baozun Investment, at the end of March, two private equity funds in Xiamen were also taken by the Xiamen Securities Regulatory Commission for administrative rectification measures.

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According to the Xiamen Securities Regulatory Bureau's order issued on March 27, the Zhongcai Jiacheng (Xiamen) equity investment fund did not have a risk rating on the fund; the fund was not escrowed, and the system measures that did not explicitly protect the property of the private equity fund were not available. Dispute resolution mechanism; no disclosure of related party transaction information; four violations such as the improper preservation of private equity fund investment and transaction records.

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According to the China Fund Industry Association, China Fortune Jiacheng (Xiamen) equity investment fund was rectified by the Xiamen Securities Regulatory Bureau in 2016 due to inaccurate registration information and irregular investment behavior.

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On March 27th, Caishangtong (Xiamen) Asset Management Co., Ltd. was ordered to order the rectification decision. This institution did not confirm investors' risk identification ability and risk bearing capacity; The risk appraisal capacity does not match the fund's risk rating, and no violations such as special risk notification have been violated. It has violated the Interim Measures for Supervision and Management of Private Equity Funds and has been subject to administrative supervision measures that require correction.

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According to the China Fund Industry Association, Caishangtong (Xiamen) Asset Management Co., Ltd. completed its registration on April 21, 2017. Currently, only one product is on file.

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According to the documents issued by the Xiamen Securities Regulatory Bureau, the above two private placements are required to take effective measures to actively rectify and, within 30 days from the date of receipt of the administrative penalty decision letter, submit a report on the completion of the rectification to the Xiamen Securities Regulatory Bureau.

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This year, Guangdong, Shanghai, Zhejiang, Jiangsu and other cities have issued special inspection notices and successively launched special inspections of private equity funds in the area in 2018. With the progress of inspections, the securities regulatory bureaus across the country have also violated laws and regulations. Private equity has adopted regulatory measures and administrative penalties.


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