Core Points - Zhejiang Securities Regulatory Bureau issued a warning letter to Hangzhou Marriott Investment Management Co., Ltd. for non-compliance in private fund operations [1] - The company failed to properly identify qualified investors and manage suitability, did not fulfill information disclosure obligations as per contracts, and violated investment restrictions [1] - Qiu Zhijun, the legal representative and general manager of Hangzhou Marriott Investment, was held primarily responsible for the company's issues and also received a warning letter [1] Summary by Categories - Regulatory Actions - Zhejiang Securities Regulatory Bureau decided to take supervisory measures against Hangzhou Marriott Investment by issuing a warning letter and recording it in the securities market integrity archive [1] - Qiu Zhijun, as the legal representative, was also subjected to a warning letter and recorded in the integrity archive for failing to fulfill responsibilities [1] - Compliance Issues - The company exhibited irregularities in the recognition of qualified investors and suitability management [1] - There were failures in adhering to contractually agreed information disclosure obligations and financial management practices [1] - The company raised funds from unqualified investors through employee holding arrangements, violating multiple regulations [1]
因开展私募基金业务存多项违规行为,杭州万豪投资被监管警示
Bei Jing Shang Bao·2025-11-10 14:04