Core Viewpoint - Anhui Securities Regulatory Bureau announced that Zhongding Asset Management Co., Ltd. has violated regulations in its private equity fund operations, leading to the issuance of a warning letter and recording in the integrity archive of the securities and futures market [1]. Group 1: Regulatory Violations - Zhongding Asset Management failed to report changes in actual controllers to the China Securities Investment Fund Industry Association [1]. - The company exhibited deficiencies in corporate governance and internal controls [1]. - There were delays in handling profit distribution matters for some managed funds [1]. - The firm did not fulfill its information disclosure obligations in a timely manner [1]. - Zhongding Asset Management failed to complete the filing procedures for certain funds promptly [1].
因未及时履行信披义务等违规行为,中鼎资产管理被监管警示
Bei Jing Shang Bao·2026-02-11 10:47