百亿私募基金红筹投资存8项违规 被限网下打新6个月

Core Viewpoint - Shenzhen Red Chip Investment Co., Ltd. has been placed on a restricted list for offline investors for six months due to multiple compliance failures in its pricing evaluation and decision-making processes [1][6]. Group 1: Compliance Issues - The company failed to follow pricing evaluation and decision-making procedures, with a single researcher determining the final price without collective decision-making [6]. - There was insufficient basis for pricing, as the suggested price range lacked logical reasoning and was determined subjectively by the researcher [6]. - The research report writing mechanism was inadequate, lacking detailed regulations for using the lead underwriter's pricing report and approval processes [6]. Group 2: Internal Control Deficiencies - The company did not establish a necessary investment decision-making mechanism, leading to compliance issues in the pricing decision process [6]. - There was a lack of a comprehensive compliance management system, with inadequate execution of compliance checks [6]. - The company failed to implement a pricing review mechanism, with no written records of the final pricing review [6]. Group 3: Communication and Accountability - The control of communication devices was poorly executed, with no management of devices used by personnel aware of pricing during the inquiry period [6]. - The company did not establish an internal accountability mechanism or performance assessment indicators for pricing risks, failing to verify the objectivity and prudence of pricing retrospectively [6]. Group 4: Regulatory Framework - The violations were found to be in breach of several articles of the "Management Rules for Offline Investors in Initial Public Offerings," including Articles 18, 25, 26, 42, and 43 [1][4][5].