新华财经北京12月12日电（记者刘玉龙）据中国证监会消息，近日，证监会对浙江优策投资管理有限公 司（以下简称优策投资）及有关责任人员违法违规作出行政处罚。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。 据证监会消息，优策投资挪用基金财产、实际控制人黄巍利用基金财产为自己或他人牟利。经查，2020 年4月至2024年6月，在实际控制人黄巍决策、安排下，优策投资通过网银转账方式，违规将优策长实私 募证券投资基金（曾用名称为长实私募证券投资基金）、优策长秀私募证券投资基金、优策月月盈3号 私募投资基金3只基金产品投向的银行协议存款资金转出至基金产品托管户之外的其他账户。截至2024 年7月2日，转出资金尚有9. 55亿元未归还。 值得注意的是，对于优策投资及相关人员，除了上述罚款，中国证券投资基金业协会同步撤销管理人登 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。 据悉，近年来证监会扎实推进私募领域风险整治，形成了全方位、立体式处罚追责体系。行政监管和自 律管理协同发力，近5年出清违法违规及僵尸机构超80 ...

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 regulations, including misappropriation of fund assets and submission of false information, totaling over 35 million yuan in fines [1][4]. Group 1: Violations and Penalties - Youce Investment was found to have submitted false information regarding its actual controller, with the controller changing to Huang Wei in March 2019, while the reported controller was incorrectly listed as Li Mouqing [2][3]. - The company misappropriated fund assets, with 9.55 billion yuan still unreturned as of July 2, 2024, from bank deposits of three investment layer funds [3]. - The CSRC has decided to impose a fine of 21 million yuan on Youce Investment and 9 million yuan on Huang Wei, who will also face a lifetime ban from the securities market [3]. Group 2: Regulatory Actions and Industry Impact - The CSRC emphasizes a strict crackdown on illegal activities in the private fund sector, including misappropriation of fund assets and illegal related-party transactions, to protect investors' rights [4][5]. - The recent penalties reflect a significant increase in enforcement actions under the revised Private Fund Regulations, aiming to raise the cost of violations and enhance market integrity [4][5]. - Over the past five years, the CSRC has eliminated more than 8,000 illegal and zombie institutions, indicating a trend towards a more optimized industry structure [5].

近日，证监会对浙江优策投资管理有限公司（以下简称"优策投资"）及有关责任人员违法违规行为作出 行政处罚。因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。浙江证监局对优策投资和相关人员合计处罚超3500万元，并对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（简称"基金业协会"）同步撤销管理人登记。以上均为行政处罚的 顶格惩处。 严厉打击私募领域违法违规行为 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。证监会将依法严厉查处私募基金各类违法违规活动，清除"害群之马"，净化市场环境，促进 行业规范健康发展。 违规挪用+报送虚假信息领最重罚单 优策投资于2017年11月21日在基金业协会登记，从事私募证券投资基金管理业务。 经证监会调查，优策投资报送的实际控制人信息存在虚假记载，2019年3月，优策投资的实际控制人变 更为黄巍；2019年3月至调查日期间，优策投资向基金业协会报送的实际控制人为李某晴，报送信息存 在虚假记载。 同时，优策投资还存在挪用基金财产、实际控制人黄巍利用基金财产为自己或他人牟利的 ...

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed severe penalties on Zhejiang Youce Investment Management Co., Ltd. for serious violations of private fund regulations, including misappropriation of fund assets and submission of false information, totaling over 35 million yuan in fines [1][5]. Group 1: Violations and Penalties - Youce Investment was found to have submitted false information regarding its actual controller, with discrepancies noted between the reported and actual controllers from March 2019 to the investigation date [3]. - The company misappropriated fund assets, with 9.55 billion yuan still unreturned as of July 2, 2024, after transferring funds from bank deposits to unauthorized accounts [3][4]. - The CSRC has issued a total penalty of 35 million yuan, including 21 million yuan for Youce Investment and 9 million yuan for its actual controller, Huang Wei, who has also been banned from the securities market for life [4][6]. Group 2: Regulatory Actions and Industry Impact - The CSRC emphasizes a strict crackdown on illegal activities in the private fund sector, aiming to purify the market environment and promote healthy industry development [5][6]. - The recent penalties reflect a significant increase in enforcement actions under the revised Private Fund Regulations, which have raised the cost of violations and enhanced regulatory scrutiny [6]. - Over the past five years, the CSRC has eliminated more than 8,000 illegal and zombie institutions, indicating a trend towards optimizing industry structure and reducing risks [6].