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湘商资本私募基金管理业务多项违规 被证监局处罚

2017-08-01 10:22:25   中国经济网

湖南湘商资本管理有限公司

和讯网消息 近日,湖南证监局公布关于对湖南湘商资本管理有限公司采取出具警示函措施的决定。

湖南湘商资本管理有限公司私募基金管理业务存在以下问题:

一、投资者适当性管理不到位

1.公司发行的基金产品湖南湘商新生飞翔投资基金管理合伙企业(有限合伙),实际有7名投资者,其中3名投资者的投资金额低于100万元。

2.公司未对投资者的风险识别能力和风险承担能力进行评估,未由投资者书面承诺符合合格投资者条件。

3.公司未自行或委托第三方对所发基金产品进行评级。

二、私募基金投资运作不规范

公司所发私募基金产品虽约定不进行托管,但基金合同中未明确约定保障私募基金财产安全的纠纷解决机制。

上述行为违反了《私募投资基金监督管理暂行办法》(以下简称《暂行办法》)第十二条、第十六条、第十七条、第二十一条的相关规定。按照《暂行办法》第三十三条的规定,湖南证监局决定,对公司采取出具警示函的监管措施,并记入诚信档案。你公司应对存在的问题进行整改,并于2017年8月31日前向我局提交整改报告。

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