合规风控负责人监守自盗，还有的违规配资+操纵股价，私募复合型违规曝光

Group 1 - The article highlights the recent regulatory actions against off-market financing activities, specifically focusing on the case of Zheng Yuxian, who was penalized for facilitating such activities privately [1][3] - Zheng Yuxian is associated with Ming Shi (Pingtan) Private Fund Management Co., which has not faced public penalties despite Zheng's individual violations [3][5] - The case illustrates a rare instance of individual penalties in the private equity sector, emphasizing the need for stronger internal controls within small private equity firms [3][6] Group 2 - The article discusses the prevalence of penalties in the private equity industry related to off-market financing, with common violations including account lending that breaches real-name registration requirements [3][4] - It mentions previous cases where private equity principals, like Han Qikun, faced severe penalties for manipulating stock prices through financing accounts, highlighting the risks associated with such practices [7][8] - The regulatory environment is tightening, as evidenced by multiple penalties issued by the Qingdao Securities Regulatory Bureau against private equity firms for facilitating off-market financing [11][12] Group 3 - The article notes that some private equity firms have engaged in off-market financing under the guise of FOF funds, leading to criminal charges in certain cases [14][15] - A landmark case in Shanghai involved individuals providing off-market financing without proper qualifications, resulting in significant penalties and prison sentences [15][17] - The court's ruling underscores the risks posed by high-leverage financing activities that evade financial regulations and disrupt market order [16][17]