Workflow
因从事私募业务存在多项违规行为,晟德悦凯投资被监管警示
Bei Jing Shang Bao·2025-10-10 12:06

Core Points - Jiangsu Securities Regulatory Bureau issued a warning to Suzhou Shengde Yu Kai Investment Management Co., Ltd. for engaging unqualified entities in fundraising activities, indicating a failure to fulfill obligations of honesty and diligence in private fund management [1] - The compliance and risk control head of Shengde Yu Kai Investment was involved in conflicting business activities, further demonstrating a lack of adherence to required standards in private fund management [1] - Certain private fund product partnership agreements lacked specified information disclosure methods and did not comply with self-regulatory requirements set by the Asset Management Association of China, constituting a violation of regulations [1] - As a result of these violations, Jiangsu Securities Regulatory Bureau decided to issue a warning letter and mandated the company to enhance compliance management and submit a report on the implementation of corrective measures [1]