Core Viewpoint - The Xinjiang Securities Regulatory Bureau has issued administrative regulatory measures against Xinjiang Beirweide Asset Management Co., Ltd. for non-compliance in private equity fund operations [1] Group 1: Regulatory Issues - The company failed to timely update the relevant information of its personnel according to the regulations of the China Securities Investment Fund Industry Association [1] - The company had fewer than five full-time employees, which is below the required threshold [1] - There was inadequate preservation of records related to investment decisions and investor suitability management, violating the Interim Measures for the Supervision and Administration of Private Investment Funds [1] Group 2: Regulatory Actions - The Xinjiang Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure against the company [1] - The actions taken will be recorded in the integrity file of the securities and futures market [1]
新疆贝尔威德资管被出具警示函,涉未及时更新从业人员信息等
Sou Hu Cai Jing·2025-11-11 05:06