申万宏源2子公司近3个月2收警示函 私募资管业务违规

Core Viewpoint - Shenwan Hongyuan Securities Co., Ltd. received a warning letter from the Shanghai Securities Regulatory Bureau due to two violations in its private asset management business, including failure to timely disclose significant matters and inadequate post-investment inspections [1][2]. Group 1: Violations - The company failed to disclose significant matters that could affect investors' interests within five days of their occurrence, violating the Private Asset Management Business Management Measures [1][2]. - The company did not conduct post-investment inspections as required by its internal policies, indicating a lack of due diligence and caution in its private asset management operations [2]. Group 2: Regulatory Framework - The Private Asset Management Business Management Measures stipulate that securities firms must adhere to principles of voluntary, fair, and honest conduct, prioritizing client interests and maintaining investor rights [4]. - The measures also require timely and accurate disclosure of asset management plan information, ensuring that investors can access relevant information as per the asset management contract [5]. Group 3: Company Background - Shenwan Hongyuan Securities was established on January 16, 2015, following the merger of Shenwan Guojin Securities and Hongyuan Securities, and has since been involved in various securities-related activities [3]. - Shenwan Hongyuan Asset Management Co., Ltd., a wholly-owned subsidiary of Shenwan Hongyuan, was established on December 20, 2022, to manage private asset management businesses [4].