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国寿安保前基金经理因“老鼠仓”被罚60万元
Bei Ke Cai Jing· 2025-08-19 09:19
8月18日,中国证券监督管理委员会天津监管局发布了一则行政处罚决定书,当事人李丹因知悉相关基 金未公开信息、利用未公开信息从事相关交易活动等,被监管处以60万元的罚款。 对照监管局披露的公开信息,李丹或为国寿安保基金前基金经理。对此,国寿安保基金方面回应贝壳财 经记者称:"该名前员工所涉及行政处罚的相关事项,系其个人行为。下一步,公司将持续推进合规文 化建设。" 被罚基金经理或曾在国寿安保任职 行政处罚决定书显示,2013年12月9日,李丹入职某基金管理有限公司。2016年2月3日至2024年2月8 日,李丹担任某基金的基金经理,负责该基金具体投资运作。 对照来看,李丹或为国寿安保基金前基金经理。Wind数据显示,2016年2月3日至2024年2月8日,正是 李丹担任国寿安保核心产业基金经理的时间。尽管任职时间不短,但该只基金的任职回报却为负值, 为-7.77%。 行政处罚决定书称,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。 李丹在书面材料中提出涉案期间部分趋同股票并非其授意下的交易、造成趋同具有合理原因、资金没有 ...
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].