海富通基金“老鼠仓”事件被处罚 风控专家担任董事长

Core Points - The recent punishment of a former fund manager at Hai Fu Tong Fund for "mouse trading" marks the second such incident in seven years for the company [1][2] - Regulatory authorities have intensified their crackdown on illegal activities like "mouse trading," with significant penalties imposed [3] Group 1: Incident Details - Yang Ningjia, the former fund manager, was found to have used non-public information to facilitate trading activities for Chen Dong, who controlled a related securities account [1] - The Shanghai Securities Regulatory Bureau imposed a fine of 500,000 yuan on Yang Ningjia for violating the Fund Law [1] - This incident follows a previous case in 2018 where former fund manager Xie Zhigang was sentenced to three years in prison for similar offenses, having illegally profited 2.704 million yuan [2] Group 2: Regulatory Environment - In 2022, the China Securities Regulatory Commission (CSRC) issued guidelines to enhance the quality of the public fund industry and emphasized the need to combat "mouse trading" [3] - In 2024, the CSRC handled 87 insider trading cases, including 12 related to "mouse trading," with total fines exceeding 1.5 billion yuan [3] Group 3: Company Management Changes - In April 2024, the company appointed Xie Lebin, a well-known risk control expert, as the new chairman, indicating a focus on addressing compliance and risk management issues [3]