Core Viewpoint - The article highlights the regulatory actions taken against private equity firms in China for deviating from their core business, emphasizing the need for compliance and the risks associated with engaging in unrelated activities [2][3][4]. Group 1: Regulatory Actions - On July 15, the Hainan Securities Regulatory Bureau announced corrective measures against Hainan Zhuo Zhi Tang Private Fund Management Co., Ltd. for engaging in activities conflicting with private fund management [2][3]. - The firm was found to have violated regulations by not regularly updating the information of its employees and engaging in unrelated business activities, which led to administrative penalties [3][4]. - The company had previously faced disciplinary actions for similar violations, including a 12-month suspension of private product registration due to issues like unregistered products and management chaos [4]. Group 2: Industry Trends - The private equity sector has seen rapid growth, leading some smaller firms to seek alternative profit avenues, often crossing risk management boundaries [5]. - Reports from the Shenzhen Securities Regulatory Bureau indicated that some private equity firms have strayed from their primary responsibilities, engaging in unrelated activities such as selling pseudo-gold exchange products and providing consulting services [5][6]. - Specific examples include a private equity firm that earned over 1.5 million yuan in consulting fees by promoting a real estate company's financial products and another firm that primarily generated income through unrelated investment courses [6]. Group 3: Compliance and Future Actions - The Shenzhen Securities Regulatory Bureau plans to enhance regulatory inspections of private equity firms to ensure compliance and accountability for any illegal activities [6]. - The bureau aims to guide private equity firms to focus on their core investment business and improve their compliance and risk management mechanisms [6].
偏离主业!又一家私募被监管处罚
券商中国·2025-07-19 07:48