旗下多只产品未备案，深圳一私募被罚24万元

Core Viewpoint - Shenzhen Securities Regulatory Bureau has imposed administrative penalties on Qianhai Zhongzheng Changkai Investment Management Co., Ltd. and its legal representative, Fu Li, for failing to file private fund record-keeping as required by regulations [1][2] Group 1: Company Overview - Qianhai Zhongzheng Changkai is a private equity firm established in August 2015, with a registered capital of 100 million yuan, and its assets under management range between 2 billion to 5 billion yuan [2] - The company has seven limited partnership funds that were established and completed fundraising from June 2019 to December 2020, but failed to file for private fund record-keeping by April 2025 [1][2] Group 2: Regulatory Actions - The Shenzhen Securities Regulatory Bureau has fined Zhongzheng Changkai 180,000 yuan and issued a warning to Fu Li with a fine of 60,000 yuan, totaling 240,000 yuan in penalties [2] - The bureau determined that the involvement of a trust company in the fund's operations does not exempt Zhongzheng Changkai from its obligation to file for record-keeping [1] Group 3: Compliance Challenges - Zhongzheng Changkai faces multiple compliance challenges, including a low paid-in capital ratio of 13.25% and risks associated with its shareholders, such as the controlling shareholder being listed as a dishonest executor [2] - The trend of private equity funds facing penalties for failing to file record-keeping is increasing, particularly among limited partnership structures, which are often used to evade regulatory obligations [2]