Core Viewpoint - A fund manager named Li Dan was penalized for engaging in trading activities related to undisclosed information while managing a fund, resulting in a fine of 600,000 yuan [1][3][4]. Group 1: Regulatory Actions - The Tianjin Securities Regulatory Bureau issued an administrative penalty against Li Dan for controlling another securities account to conduct transactions based on undisclosed information related to the fund [1][3]. - Li Dan's actions were found to violate Article 20, Section 6 of the Fund Law, constituting a violation as per Article 123, Section 1 of the same law [4]. Group 2: Trading Activities - From March 22, 2022, to February 8, 2024, Li Dan controlled a securities account and made trading decisions that aligned with the fund's undisclosed information, resulting in 41 stocks being bought in a manner that was 74.55% similar to the fund's transactions, amounting to 33.12 million yuan, which is 72.77% of the total trading amount [3][4]. - Despite the significant trading activity, the fund experienced losses, with a nearly 30% decline in net value during the period of the aligned trading [6]. Group 3: Fund Performance and Background - Li Dan served as the fund manager for the Guoshou Anbao Core Industry fund from February 3, 2016, to February 8, 2024, with a total return of -7.77%, ranking in the bottom 10% among similar products [5][6]. - Prior to this role, Li Dan worked at Guoshou Anbao Fund from 2013, having managed a total of seven fund products, five of which generated positive returns during her tenure [6]. Group 4: Company Response - Guoshou Anbao Fund stated that the actions leading to the regulatory penalty were personal behaviors of the former employee and emphasized its commitment to compliance and protecting the interests of its investors [7].
利用未公开信息趋同买入41只股票,交易金额3300余万元,结果却亏了,80后女基金经理被罚60万元
Mei Ri Jing Ji Xin Wen·2025-08-18 12:08