六项违规！哈尔滨华滨创投被黑龙江证监局出具警示函

Core Viewpoint - Heilongjiang Securities Regulatory Bureau issued a warning letter to Harbin Huabin Venture Capital Management Co., Ltd. due to six violations including equity holding, non-compliance in fund expiration handling, and other operational issues [1] Summary by Relevant Categories Regulatory Violations - The company faced issues related to private equity operations and fund management, including failure to timely update personnel information, which reduced transparency [1] - The company lacked an independent and stable operating location and had fewer than five full-time staff, failing to meet basic operational qualifications for private equity institutions [1] - There was inadequate retention of records related to investment decisions, trading operations, and investor suitability management, lacking necessary risk traceability [1] Fund Management Issues - The company did not properly follow procedures for fund extensions or complete liquidation after the expiration of managed private equity funds [1] - The presence of equity holding behavior was noted, which violates regulatory standards for clear equity ownership [1] - The company failed to submit annual financial reports on time, affecting the aggregation of regulatory data [1]