深圳市东方恒润投资被出具警示函,涉多项违规行为
Sou Hu Cai Jing·2025-10-28 10:49

Group 1 - The Shenzhen Securities Regulatory Bureau has issued an administrative regulatory decision targeting Shenzhen Dongfang Hengrun Investment Co., Ltd. and related responsible persons due to violations in private fund operations [1][2] - The company failed to ensure consistency between the risk levels disclosed in private fund materials and those stated in the risk disclosure documents, indicating a lack of due diligence in managing private fund assets [1] - The company promoted private funds to investors whose risk identification and bearing capabilities were mismatched, and did not disclose significant information that could affect investors' legal rights as per the fund contracts [1][2] Group 2 - Zhang Yaodong, responsible for the daily management and investment operations of Shenzhen Dongfang Hengrun Investment Co., Ltd., did not adhere to relevant behavioral norms as a private fund practitioner [2] - The actions of the company and Zhang Yaodong violated the "Interim Measures for the Supervision and Administration of Private Investment Funds" and related regulations [2] - The Shenzhen Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure against Shenzhen Dongfang Hengrun Investment Co., Ltd. and Zhang Yaodong [2]