涉及募集资金监管！交易商协会最新通知

Core Viewpoint - The article discusses the recent notification issued by the Interbank Market Dealers Association aimed at enhancing the regulation of funds raised through debt financing tools, ensuring compliance and accountability in fund management and usage [1][2]. Summary by Sections Regulatory Framework - The notification outlines the need to improve the regulatory mechanism for raised funds, emphasizing the establishment of internal review processes and compliance with self-regulatory rules regarding fund usage and management [4]. - It mandates that fund regulatory entities must verify the consistency of fund transfer instructions with the intended use as per the issuance documents, and they have the authority to refuse non-compliant fund transfers [4][5]. Compliance and Monitoring - Fund regulatory entities are required to conduct thorough checks on new regulatory or special accounts to ensure they are set up correctly for the intended purposes, such as debt repayment [5]. - The notification stresses the importance of tracking the flow of raised funds through all accounts until they are used for their intended purposes, ensuring proper documentation and verification of fund usage [5]. Self-Disciplinary Investigations - In August, the Interbank Market Dealers Association initiated self-disciplinary investigations into institutions that violated fund management regulations, highlighting cases of fund misappropriation and inadequate oversight by regulatory entities [6][7]. - The article notes that previous investigations revealed a lack of understanding of responsibilities among some regulatory entities, leading to insufficient scrutiny of fund transfer requests [7].