非公司人员参与投管、区别对待投资者,深圳泽源私募及相关负责人被出具警示函
Sou Hu Cai Jing·2025-12-09 05:45

Core Viewpoint - Shenzhen Securities Regulatory Bureau has issued a warning letter to Shenzhen Zeyuan Private Securities Fund Management Co., Ltd. and Yang Guang due to violations in private fund management practices [1] Group 1: Regulatory Actions - Shenzhen Zeyuan Private Securities Fund Management Co., Ltd. and Yang Guang were found to have non-compliance issues, including allowing non-company personnel to undertake investment management responsibilities and unfair treatment of different investors within the same private fund [1] - The actions of Shenzhen Zeyuan and Yang Guang violated the "Interim Measures for the Supervision and Administration of Private Investment Funds" and other related regulations [1] - The Shenzhen Securities Regulatory Bureau decided to take administrative regulatory measures by issuing a warning letter based on the violations identified [1] Group 2: Company Background - Shenzhen Zeyuan Private Securities Fund Management Co., Ltd. was established on November 11, 2015, and registered as a private securities fund manager with the China Securities Investment Fund Industry Association on December 25, 2017, with registration code P1066466 [1] - As of October 2023, the company has a cumulative management scale of 2 billion yuan [1]