因私募业务未履行谨慎勤勉义务等问题,前海明桥私募被监管责令改正
Bei Jing Shang Bao·2025-10-09 12:28

Core Points - Shenzhen Securities Regulatory Bureau announced that Qianhai Mingqiao Private Securities Fund Management Co., Ltd. violated regulations in its private fund operations, including using unqualified personnel for investment management and failing to disclose significant information to investors [1][2] Group 1: Violations Identified - The company employed individuals not specified in the fund contracts as investment managers and did not establish labor relations with them [1] - The investment structure of the managed funds did not comply with the regulations set by the State Council's financial management departments [1] - The company failed to operate investments according to the contract and treated different investors unfairly within the same private fund [1] Group 2: Regulatory Actions - Shenzhen Securities Regulatory Bureau decided to issue a corrective order to Qianhai Mingqiao Private Securities Fund Management Co., Ltd. due to the identified violations [1] - Key personnel, Li Weiluo and Pan Ming, responsible for daily management, information disclosure, and investment operations, received warning letters for not adhering to relevant conduct norms [1]