专题：超级大罚单！余韩操纵"博士眼镜"股票，被证监会罚没超10亿元 来源：国际投行研究报告 原标题：《证监会和上海证监局合力处罚私募基金上海瑞风达！控制人孙伟被罚款 500 万终身禁入，依 法依规移送公安机关！华泰证券等多家券商关联服务！》 向投资者承诺投资本金不受损失或承诺最低收益！证监会和上海证监局合力处罚私募基金上海瑞风达！ 控制人孙伟被罚款 100 万终身不得入市，依法依规移送公安机关！华泰证券等多家券商关联服务！ 1 、证监会对浙江瑞丰达资产管理有限公司（以下简称瑞丰达）及关联私募机构、实际控制人孙伟等相 关责任人员违法违规行为作出行政处罚。经查，瑞丰达及关联私募机构、相关责任人员严重违反私募基 金法律法规。上海证监局对瑞丰达及关联私募机构共罚没2800余万元，对5名责任人员罚款1300余万 元，对瑞丰达实际控制人采取终身证券市场禁入措施。中国证券投资基金业协会注销相关私募机构管理 人登记。对于相关违法行为可能涉及的犯罪问题线索，证券监管部门将坚持应移尽移的工作原则，依法 依规移送公安机关。 2 、查询基金行业协会，浙江瑞丰达资产管理有限公司已被协会注销，看下内容，里面没孙伟，估计报 送的都是假的。 ...

近日，证监会对浙江瑞丰达资产管理有限公司（以下简称瑞丰达）及关联私募机构、实际控制人孙伟等相 关责任人员违法违规行为作出行政处罚，共罚没2800余万元，5名责任人员领罚款1300余万元，瑞丰达实际 控制人被采取终身证券市场禁入措施。 经调查，瑞丰达及关联私募机构、相关责任人员严重违反私募基金法律法规。上海证监局对瑞丰达及关联私募 机构共罚没2800余万元，对5名责任人员罚款1300余万元，对瑞丰达实际控制人采取终身证券市场禁入措施。 中国证券投资基金业协会注销相关私募机构管理人登记。对于相关违法行为可能涉及的犯罪问题线索，证券监 管部门将坚持应移尽移的工作原则，依法依规移送公安机关。 据了解，对瑞丰达相关机构和人员开出超4100万元的罚单，处罚力度再创"史上最重"。证券监管部门充分用足 用好法律条款，进一步提高违法违规成本，表明了证监会对私募基金严重违法违规行为"零容忍"的态度。 长期以来，证监会持续从严打击私募领域恶劣违法违规行为，一个多月前，另一起私募违法违规案件——优策 投资案被证监会作出行政处罚。经查，优策投资及实际控制人存在违规挪用基金财产、报送虚假信息等行为， 严重违反私募基金法律法规。浙江证监局 ...

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed severe administrative penalties on Zhejiang Youce Investment Management Co., Ltd. for serious violations of private fund laws, including misappropriation of fund assets and submission of false information, totaling over 35 million yuan in fines [1][4]. Summary by Sections Violations and Penalties - Youce Investment was found to have submitted false information regarding its actual controller and misappropriated fund assets for personal gain, leading to a total penalty of over 35 million yuan, including a lifetime ban for the actual controller Huang Wei [1][2][4]. - The CSRC's investigation revealed that from November 2018 to the investigation date, Youce Investment misused funds from eight fundraising products, transferring 9.55 billion yuan out of the fund's custody accounts without returning the funds [3][4]. Regulatory Actions - The CSRC emphasized its commitment to rigorously enforce regulations against various illegal activities in the private fund sector, aiming to purify the market environment and promote healthy industry development [4][5]. - The recent penalties reflect a significant increase in the severity of punishments under the new Private Fund Regulations, with the CSRC utilizing legal provisions to raise the cost of violations [4]. Industry Context - Over the past five years, the CSRC has eliminated more than 8,000 illegal and zombie institutions, leading to a more optimized industry structure and reduced risks [5]. - The regulatory body is also focusing on compliance training and legal education to prevent future violations, while recognizing that the majority of private fund institutions play a crucial role in supporting the real economy and national strategies [5].