因治理结构不健全等问题 广西新思考资管被监管出具警示函

Group 1 - The core issue identified by the Guangxi Securities Regulatory Bureau is that Guangxi New Thinking Asset Management Co., Ltd. failed to fulfill its obligations of honesty, credit, and due diligence in its private fund operations [1] - The company conducted related party transactions that exceeded the investment scope stipulated in the fund contract and did not follow the required procedures [1] - There are significant concerns regarding the company's governance structure, financial condition, and sustainable operational capability, which are deemed to have major uncertainties [1] Group 2 - Guangxi New Thinking Asset Management has not established adequate systems for managing related party transactions, business isolation, fair trading, outsourcing, and emergency plans [1] - The company failed to timely complete the necessary changes with the Fund Industry Association [1] - As a result of these violations, the Guangxi Securities Regulatory Bureau has decided to issue a warning letter as a supervisory measure against Guangxi New Thinking Asset Management [1]