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证监会:12家私募机构涉嫌非法集资等违法违规行为

2017-09-08 17:31:59   中国经济网

经济日报-中国经济网北京9月8日讯 证监会今日召开例行新闻发布会。证监会新闻发言人常德鹏表示,证监会通报2017年私募基金专项检查情况。为排查金融风险隐患,促进私募基金行业规范发展,证监会对328家私募机构开展专项检查,包括20家私募债券基金,跨区域私募股权基金88家,其他私募证券和股权等各类基金220家,共涉及基金2651只,管理规模1.27万亿元,占行业规模14.8%。

常德鹏指出,从检查结果来看,12家私募机构涉嫌非法集资、挪用基金财产、向非合格投资者募集资金、利用未公开信息获利等严重违法违规行为;83家私募机构存在公开宣传推介、未对投资者进行风险评估、承诺保本保收益、证券类机构化基金不符合杠杆率要求等违规问题,190家机构存在登记备案信息不准确、更新不及时,公司管理制度和合规风控制度不健全或为有效执行等问题。

针对专项检查发现的问题,以及违法违规行为的具体情形,证监会采取以下三种措施:

一是相关证监局对83家存在公开宣传推介、承诺保本保收益、未按合同约定进行信息披露等问题的私募机构采取行政监管措施。

二是相关证监局对6家存在挪用基金财产等严重违规问题的私募机构立案稽查,并对其中4家私募机构现行采取行政监管措施。

三是相关证监局对涉嫌违法犯罪的8家私募机构的违法违规线索通报地方正货或移动公安部门,并对其中6家机构采取行政监管措施或立案稽查。

上述违法违规问题及采取的监管措施将计入资本市场诚信档案,并由中国证券投资基金业协会依据自律规则对违法违规行为采取自律管理措施。

证监会新闻发言人常德鹏表示,下一步,证监会将继续贯彻依法全面从严监管要求,持续加强私募基金监管力度,坚决整治行业乱象和严重干扰市场的问题,强化私募机构犴风险主体责任,加大责任追究力度,保护投资者合法权益。

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