杭州龙蠡投资被出具警示函,涉合规风控制度不完善等
Sou Hu Cai Jing·2026-01-20 07:48

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative regulatory measures against Hangzhou Longli Investment Management Co., Ltd. for violations in private equity fund operations [1][2]. Group 1: Violations Identified - The company failed to report information to the China Securities Investment Fund Industry Association as required [1][2]. - The company did not establish a comprehensive compliance and risk control system, failing 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' legal rights [2].

杭州龙蠡投资被出具警示函,涉合规风控制度不完善等 - Reportify