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国寿安保前基金经理利用未公开信息趋同交易被罚 “老鼠仓”为何屡禁不止?
Jing Ji Guan Cha Wang· 2025-08-19 01:39
Core Viewpoint - The article discusses a case of insider trading known as "mouse warehouse" involving a former fund manager, Li Dan, who was fined for trading based on undisclosed information related to a fund he managed [2][4]. Group 1: Case Details - Li Dan controlled another person's securities account to conduct trading activities related to undisclosed information from March 22, 2022, to February 8, 2024, resulting in a fine of 600,000 yuan [2][3]. - During the mentioned period, Li Dan's trading decisions led to the purchase of 41 stocks, which accounted for 74.55% of the total trades, with a total investment of approximately 33.12 million yuan, representing 72.77% of the total trading amount, ultimately resulting in losses [3][4]. - Li Dan's actions violated the Fund Law, leading to the penalty imposed by the Tianjin Securities Regulatory Bureau [4]. Group 2: Background of Li Dan - Li Dan joined Guoshou Anbao Fund in December 2013 and served as the fund manager for the Guoshou Anbao Core Industry Fund from February 3, 2016, to February 8, 2024 [2][4]. - Over his eight-year tenure managing the Guoshou Anbao Core Industry Fund, Li Dan recorded a return of -7.77%, placing it in the bottom 10% of similar products [4]. - Li Dan managed a total of seven public funds, with one fund reaching a management scale exceeding 2 billion yuan in Q4 2020, but he recorded losses in multiple funds during his management [4]. Group 3: Industry Context - The article highlights that "mouse warehouse" incidents have been recurrent in the industry, with several fund companies, including Jiashi Fund and Puyin Ansheng Fund, facing similar issues [5][6]. - The regulatory environment has tightened, with increased penalties for such violations, indicating a growing awareness and response to these unethical practices [7]. - Industry insiders suggest that the allure of high returns drives some professionals to engage in illegal trading, while existing internal controls and monitoring mechanisms are often inadequate [7].
基金经理“老鼠仓”被罚60万元,案发时在职,公司回应:系个人行为
Hua Xia Shi Bao· 2025-08-18 23:45
Core Viewpoint - A fund manager named Li Dan was fined 600,000 yuan for engaging in "rat trading," which involved trading activities related to undisclosed information from the fund, resulting in significant losses [2][3][4]. Group 1: Regulatory Actions - The Tianjin Securities Regulatory Bureau issued an administrative penalty against Li Dan for her involvement in illegal trading activities, which included a total investment of over 33 million yuan in 41 stocks, with a loss incurred [3][6]. - Li Dan's actions were deemed a violation of the Fund Law, specifically regarding the misuse of undisclosed information for personal gain [3][6]. Group 2: Company Response - Guoshou Anbao Fund stated that the actions of Li Dan were personal and not representative of the company's practices, emphasizing their commitment to compliance and high-quality development [2][5]. - The company plans to enhance its compliance culture and continue to protect the interests of its investors [5]. Group 3: Industry Context - "Rat trading" is defined as the practice where fund managers use their position to trade on non-public information, undermining market fairness [6]. - Regulatory bodies have been intensifying efforts to combat illegal activities in the capital market, including various forms of "rat trading" [6][7].
趋同交易3300余万还亏了,80后女基金经理涉“老鼠仓”被罚60万元
第一财经· 2025-08-18 09:55
Core Viewpoint - The article discusses a recent case of insider trading in the fund industry, highlighting the penalties imposed on a fund manager for engaging in illegal trading activities using non-public information [3][8]. Summary by Sections Case Details - The Tianjin Securities Regulatory Bureau imposed a fine of 600,000 yuan on a fund manager named Li Dan for conducting transactions based on undisclosed information from March 22, 2022, to February 8, 2024, with a total investment amount of 33.12 million yuan [3][8]. - Li Dan's actions involved trading 41 stocks, with 74.55% of the trades being in line with the fund's undisclosed information, resulting in a total investment amount that accounted for 72.77% of the fund's transactions [7][8]. Background of the Fund Manager - Li Dan, an 80s-born female fund manager, worked for a fund management company since December 2013 and managed a specific fund from February 2016 until her departure in February 2024 [7][10]. - The fund she managed, known as Guoshou Anbao Core Industry, had a return of -7.7% over her management period, ranking 716th out of 789 similar products [11]. Regulatory Environment - The article notes that the China Securities Regulatory Commission has maintained a strict stance against illegal activities in the fund industry, continuously investigating and penalizing such cases [12]. - Recent legal clarifications have been made regarding the definitions and penalties associated with insider trading, aiming to strengthen regulations against such misconduct [12]. Industry Implications - The case raises questions about why fund professionals risk their careers for illegal gains, with some attributing it to a lack of legal awareness and a sense of invulnerability among certain individuals [13]. - The fund industry operates under a "zero tolerance" policy for compliance violations, meaning that such penalties can severely impact a fund manager's career prospects [13].
什么情况?基金经理利用未公开信息操作41只股票,趋同交易却亏了,还被罚60万
Mei Ri Jing Ji Xin Wen· 2025-08-18 07:37
对此,国寿安保基金在给记者的回复中表示,该名前员工所涉及到行政处罚的相关事项,系其个人行 为。下一步,国寿安保基金将持续推进合规文化建设,推进公司高质量发展,坚决维护持有人利益,一 如既往地为持有人创造更多价值。 基金经理搞趋同交易亏了,还被监管处罚 据天津证监局相关行政处罚决定书介绍,2013年12月9日,李丹入职某基金公司,2016年2月3日至2024 年2月8日担任某基金的基金经理,负责该基金具体投资运作,知悉该基金投资决策情况、交易情况、持 仓情况等未公开信息。 2022年3月22日至2024年2月8日期间,李丹控制"王某"证券账户从事与基金未公开信息相关的交易活 动,李丹作出交易决策,指示杨某尘具体实施下单操作。 记者注意到,根据监管公布的信息,其相关交易与基金发生交易趋同,趋同买入股票41只,占比 74.55%,趋同买入金额3311.97万元,占比72.77%,但最后的结果却是亏损。 监管机构认为,上述违法事实,有公司情况说明、基金交易资料、相关人员询问笔录、微信聊天记录、 证券账户资料、银行交易流水、交易所计算数据等证据,足以证明。李丹的上述行为违反了《基金法》 第二十条第六项的规定,构成《基金 ...