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天盈投资私募业务涉三大违规问题 遭湖南证监局警示

2017-08-03 14:55:11   

千龙网8月3日讯8月2日，湖南证监局公布对湖南天盈投资顾问有限公司采取出具警示函措施的决定。 决定书显示，在2017年私募基金专项检查工作中，湖南证监局发现天盈投资私募基金管理业务存在以下三大问题： 一是存在公开和夸大宣传。该公司官方网站和微信公众号未设置特定对象确定程序，向不特定对象宣传推介私募资管产品，宣传夸大产品预期收益。 二是投资者适当性管理不到位。该公司发行私募基金产品的程序不规范，投资者风险承担能力问卷为销售人员代填。 三是未遵循专业化经营原则。该公司目前经营代理推介销售信托产品、证券期货资管计划、私募基金产品等业务。 湖南证监局认为，天盈投资上述行为违反了《私募投资基金监督管理暂行办法》第四条、第十四条、第十六条的相关规定。 按照《暂行办法》第三十三条的规定，湖南证监局决定对该公司采取出具警示函的监管措施，并记入诚信档案。同时，天盈投资应对存在的问题进行整改，并于2017年8月31日前提交整改报告。

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