香港证监会暂时吊销海纳资产管理前负责人的牌照为期12个月

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) has temporarily revoked the license of Zhou Zilin, a key executive of the now-dissolved Haina Asset Management Limited, for a period of 12 months due to failures in fund management [1] Group 1: Regulatory Actions - The SFC's investigation revealed that Haina Asset invested up to 100% of a fund's assets in debt securities issued by a company controlled by its sole shareholder, Wu Jiashun, leading to a conflict of interest and inadequate risk management [1] - Zhou failed to fulfill his responsibilities as a senior management member by not ensuring that the company acted in the best interests of the fund and its investors, as well as not complying with applicable regulatory requirements [1] Group 2: Considerations for Disciplinary Action - The SFC considered several factors in deciding the disciplinary action, including Zhou's cooperation in addressing the SFC's concerns and his lower level of responsibility compared to Wu [1] - Unlike Wu, the SFC found no evidence of dishonest behavior by Zhou, who also reported the issues to the SFC, prompting the investigation [1] - Zhou has no prior record of disciplinary actions against him [1]