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又现亏损“老鼠仓”!基金经理趋同交易2年被罚60万
2 1 Shi Ji Jing Ji Bao Dao· 2025-08-19 06:09
Core Viewpoint - The article discusses a case of "mouse trading" involving a former fund manager, Li Dan, who was penalized for engaging in transactions that mirrored the fund's undisclosed information, resulting in significant losses for the fund she managed [1][2]. Group 1: Case Details - Li Dan, a former fund manager at Guoshou Anbao Fund, was fined 600,000 yuan for engaging in synchronized trading activities from March 22, 2022, to February 8, 2024, involving a total of 33.12 million yuan [1][2]. - During the investigation, it was revealed that 41 stocks were involved in the synchronized trading, accounting for 74.55% of the total trades, with the amount representing 72.77% of the fund's trading activities [2]. - The fund managed by Li Dan, Guoshou Anbao Core Industry, experienced a cumulative loss of 7.77% during her 8-year tenure, ranking 716 out of 789 in its category [3][4]. Group 2: Fund Performance - The Guoshou Anbao Core Industry fund saw its size halved from 893 million yuan at the end of 2019 to 427 million yuan by the first quarter of 2024, largely due to poor performance [4]. - Other funds managed by Li Dan also showed disappointing returns, with the Guoshou Anbao Consumption New Blue Ocean fund achieving an annualized return of only 1.62% from 2018 to 2024, ranking 1194 out of 1519 [4]. Group 3: Regulatory Environment - The China Securities Regulatory Commission (CSRC) has adopted a zero-tolerance approach towards illegal activities in the fund industry, with multiple cases of misconduct being prosecuted [5]. - Recent regulatory measures emphasize the importance of compliance management and the binding of fund managers' interests with those of investors, particularly targeting behaviors like "mouse trading" [5].
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].