新动力资本收证监局发布警示函 向投资者承诺保本等

Core Viewpoint - The Shenzhen Securities Regulatory Bureau has issued a warning letter to New Power Capital Management (Shenzhen) Co., Ltd. for violations in the fundraising and management of private equity funds, including failure to file with the China Securities Investment Fund Industry Association and soliciting funds from non-qualified investors [1][5][6]. Group 1: Company Violations - New Power Capital Management (Shenzhen) Co., Ltd. failed to complete the necessary filing procedures after fundraising, which is a violation of the Interim Measures for the Supervision and Administration of Private Investment Funds [1][5]. - The company solicited funds from non-qualified investors, which contravenes regulations that stipulate private funds should only be raised from qualified investors [1][2][4]. - The company made commitments to investors regarding the protection of principal and minimum returns, which is prohibited under the relevant regulations [1][4][5]. Group 2: Regulatory Actions - The Shenzhen Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure against New Power Capital Management for the identified violations [1][5]. - Li Shumao, the actual controller and legal representative of the company, is held primarily responsible for the violations and has also received a warning letter from the regulatory authority [1][6]. - The company is required to enhance its operational compliance awareness and strengthen business management to prevent future violations [5][6].