韦恩基金收警示函！存内控机制不健全、财务状况不佳等多项问题

Core Viewpoint - The Guangxi Securities Regulatory Bureau issued a warning letter to Wayne Fund Management Co., Ltd. due to multiple regulatory violations in its private fund operations [1]. Group 1: Regulatory Violations - Wayne Fund lacked a sound internal control mechanism and failed to manage a fund product that was not filed with the regulatory authority, leading to unauthorized fund transfers by investors [2]. - The company did not disclose relevant information to investors as required by contract, preventing them from accessing fund product information through the designated system [3]. - The firm failed to properly retain necessary documentation, including proof of qualified investors' financial assets and risk rating materials for managed fund products [4]. - Wayne Fund did not timely update changes in registration details, including its registered address, shareholders, and other operational information with the fund association [5]. Group 2: Operational Challenges - The company employed fewer than five full-time staff, which is below the minimum requirement for conducting private fund business, raising concerns about its operational sustainability [6]. - Financially, Wayne Fund is in a precarious situation, with negative net profits projected for 2023-2024 and negative cash flow from operating activities for 2022-2024 [6].