Core Viewpoint - The Henan Securities Regulatory Bureau has issued administrative regulatory measures against He Geng Chuan Cheng Fund Sales Co., Ltd. due to multiple violations in its fund sales practices [1]. Group 1: Violations Identified - The company exhibited insufficient business independence, conducting some fund sales under the name of affiliated network platforms [1]. - Marketing activities were found to be non-compliant, including suggesting product returns or limiting losses to investors and promoting private fund products to unspecified audiences [1]. - Promotional materials were not compliant, with some failing to clearly disclose the fund sales service entity or omitting comparative benchmark performance in past performance disclosures [1]. Group 2: Regulatory Actions - The Henan Securities Regulatory Bureau has mandated corrective actions for He Geng Chuan Cheng Fund Sales Co., Ltd. and will record these actions in the securities and futures market integrity archive [1]. - The company is required to rectify the identified issues and submit a written report to the bureau within 30 days of receiving the decision [2]. - If the company disagrees with the regulatory measures, it can apply for administrative reconsideration within 60 days or file a lawsuit within six months, although the measures will remain in effect during this period [2].
和耕传承基金被责令改正,涉业务独立性不足等
Sou Hu Cai Jing·2026-02-16 10:58