因未妥善留存部分投资者适当性管理资料等问题，鼎运资本被监管出具警示函

Core Points - Shenzhen Securities Regulatory Bureau announced that Shenzhen Qianhai Dingyun Capital Management Co., Ltd. violated regulations in its private equity fund operations [1] - The company failed to make independent investment decisions and did not operate investments according to contractual agreements [1] - The investment structure of the managed funds did not comply with the regulations set by the State Council's financial management departments [1] Summary by Categories - Regulatory Violations - Dingyun Capital did not independently conduct investment decisions and failed to operate investments as per contract agreements [1] - The investment layers of the funds managed by the company did not meet the requirements set by the State Council's financial management departments [1] - Operational Issues - Personnel responsible for private equity fund operations did not establish labor relations with the company, indicating a lack of due diligence [1] - The company did not timely update the information of its management and staff as required by the China Securities Investment Fund Industry Association [1] - Documentation and Compliance - Dingyun Capital inadequately retained relevant materials regarding the appropriateness management of some investors [1] - The individuals responsible for daily operations and investment activities, Yang Dongfan and Mai Weibiao, did not adhere to relevant behavioral norms [1]