Group 1 - The core issue highlighted is the administrative regulatory measures taken against Xinjiang Boze Huijin Investment Management Co., Ltd. by the Xinjiang Securities Regulatory Bureau due to three main violations in their private fund operations [1] - The company failed to conduct risk ratings for certain private fund products as required [1] - The company did not properly register changes in investors and actual controllers with the China Securities Investment Fund Industry Association as mandated [1] - There was inadequate preservation of records related to investment decisions and investor suitability management, violating relevant regulations [1] Group 2 - As a consequence of these violations, the Xinjiang Securities Regulatory Bureau issued a warning letter as an administrative regulatory measure against the company [1] - The violations will be recorded in the securities and futures market integrity archives [1]
新疆博泽汇金投资被出具警示函,并记入证券期货市场诚信档案
Sou Hu Cai Jing·2025-11-11 04:53