蓝鲸新闻2月13日讯，近日，浙江证监局发布行政监管措施决定书，剑指杭州期盈投资管理有限公司。 决定书显示，杭州期盈投资管理有限公司在开展私募基金业务中存在以下行为： 一、未勤勉谨慎履行管理人职责，通过私募基金产品为其他机构提供规避监管要求的通道服务，协助其他机构发行债券。 上述行为违反了《私募投资基金监督管理条例》《私募投资基金监督管理暂行办法》的规定。浙江证监局决定对杭州期盈投资管理有限公司采 取出具警示函的监督管理措施，并记入证券期货市场诚信档案。 二、未按基金合同约定进行投资，违反投资层级限制。 三、利用所管理的私募基金财产向第三方收取服务费，为自身牟利。 四、部分基金通过差额补足等形式保证投资者收益。 五、未及时向投资者披露影响其合法权益的重大事项。 淵木川谷血目昌荘頂肥小加，リИ仁牧到牛/天とさん口といい口内門中 国证券监督管理委员会提出行政复议申请，也可以在收到本决定书之 日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间，上述 监督管理措施不停止执行。 浙江证监局 2026年2月11日 ...

Core Viewpoint - The Anhui Securities Regulatory Bureau has issued administrative regulatory measures against Hefei Waterwood Trust Equity Management Investment Center (Limited Partnership) for violations in private fund business activities [1] Group 1: Violations Identified - The company failed to timely report and update the office address and relevant information of its staff, with fewer than 5 full-time employees [1] - The company did not fulfill its information disclosure obligations as required [1] - The company did not diligently and prudently perform its management duties in the management and utilization of private fund assets [1] - The company did not conduct appropriate investor suitability management as mandated [1] Group 2: Regulatory Actions - The Anhui Securities Regulatory Bureau has decided to impose corrective administrative measures on the company and will record this in the securities and futures market integrity archive [1]

Core Viewpoint - Shenzhen Jun Chuang Private Equity Fund Management Co., Ltd. and Shenzhen Qianhai Jun Chuang Asset Management Co., Ltd. have been issued warning letters by the Shenzhen Securities Regulatory Bureau due to regulatory violations in their private fund operations [2][3][4]. Group 1: Regulatory Violations - Jun Chuang Fund failed to properly file fund registration as required during its private fund business activities [4][6]. - Jun Chuang Asset Management exhibited multiple violations, including failing to fulfill due diligence obligations, inconsistencies between promotional materials and fund contracts, and not disclosing significant information affecting investors' rights [9]. - Zhu Feng, responsible for daily operations and information disclosure at Jun Chuang Asset Management, did not adhere to relevant conduct norms [9]. Group 2: Company Background - Jun Chuang Fund was established in 2014, registered with a capital of 30 million yuan, and manages between 2 billion to 5 billion yuan [11]. - The company focuses on sectors such as military-civilian integration, healthcare, cultural media, and intelligent manufacturing, with a management team from well-known financial institutions [12]. - Jun Chuang Asset Management was founded in 2015 with a registered capital of 10 million yuan and manages between 500 million to 1 billion yuan [12]. - Both companies have been previously named in regulatory actions, indicating a pattern of compliance issues [12].

Core Insights - The private equity industry is undergoing a significant regulatory tightening, leading to a substantial number of private institutions being deregistered, with nearly 100 institutions deregistered monthly since the beginning of 2025 [1][3] - As of May 28, 2025, a total of 500 private institutions have been deregistered, with 260 due to operational abnormalities, loss of contact, or disciplinary actions [1] - The number of active private fund managers continues to decline, with 19,891 remaining as of April 2025, a decrease of nearly 400 since the beginning of the year [1] Regulatory Actions - Recent reports from regulatory bodies in Beijing and Shenzhen have highlighted various violations by private funds, including improper fundraising and management practices [3] - Over 130 private institutions have faced administrative penalties or regulatory measures from the securities regulatory system since the start of 2025 [3] - A significant case involved Ping An Wealth, which was publicly reprimanded and faced a six-month suspension on product registration due to multiple violations [3] Compliance Requirements - The Beijing Securities Regulatory Bureau has mandated that private fund managers conduct self-assessments against regulatory requirements and rectify any identified violations [4] - Emphasis has been placed on enhancing knowledge of laws and regulations related to private funds and improving internal control management [4]