Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative regulatory measures against Zhejiang Yinuo Investment Management Co., Ltd. for violations in private fund operations, including failure to report information as required and lack of compliance risk control measures [1][2]. Group 1: Violations Identified - Zhejiang Yinuo Investment Management Co., Ltd. failed to report information to the China Securities Investment Fund Industry Association as required, and the reported information contained false records [1][2]. - The company did not establish a comprehensive compliance risk control system and failed to ensure risk isolation between the actual controller and the company [1][2]. Group 2: Regulatory Actions - The Zhejiang Securities Regulatory Bureau decided to issue a warning letter as a supervisory measure and record it in the securities and futures market integrity archive [1][2]. - The company is required to submit a written rectification report within 7 days of receiving the decision, aiming to prevent future violations and protect investors' legitimate rights [2].
浙江壹诺投资被出具警示函,涉合规风控制度不完善等
Sou Hu Cai Jing·2026-01-20 07:48