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嵌套高达10层,挪用基金资产,监管通报!
Zhong Guo Ji Jin Bao·2025-05-08 15:53

Core Viewpoint - The Shenzhen Securities Regulatory Bureau has reported six typical issues among private fund managers in the region, highlighting violations of laws and regulations, including the misappropriation of fund assets and non-compliance with investment operation requirements [1][4]. Group 1: Typical Issues Identified - Misappropriation of fund assets, where a private equity firm transferred funds to personal and related accounts without investor consent [4][5]. - Violations of regulatory requirements in investment operations, including excessive leverage in bond funds and multi-layered product nesting that inflated management scale [5]. - Non-compliance with fund contract agreements, including failure to adhere to decision-making mechanisms for related transactions and improper handling of redemption payments [4][5]. Group 2: Regulatory Response and Future Actions - The Shenzhen Securities Regulatory Bureau emphasizes the need for private fund managers to diligently fulfill their investment management obligations and ensure compliance with regulations and fund contracts [5]. - The bureau plans to enhance regulatory inspections of private fund managers' investment operations and hold accountable those who violate laws and regulations [5].