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8家私募涉嫌违法,6家被立案!证监会发话:往死里弄

2017-09-09 12:51:43   中国经济网

真是无法无天了,厂长从今日的证监会周会获悉,今年上半年,竟然有6家私募机构挪用基金财产,对投资人太不负责了!好在证监会把他们揪了出来,进行了严厉的查处。同时,证监会表态将持续加强私募基金监管力度,坚决整治乱象。

证监会重拳整治私募

2017年上半年,证监会对328家私募机构开展了专项检查,共涉及基金2651只,管理规模1.27万亿元,占行业总规模的14.8%。

检查发现:

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、证券类结构化基金不符合杠杆率要求、基金财产与管理人固有财产或他人财产混同、费用列支不符合合同约定、基金未托管且未约定纠纷解决机制、未按合同约定进行信息披露、未按规定备案基金、证券类私募基金从业人员无从业资格等违规问题;

190家私募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未有效执行,公司人员、财务、制度等缺乏独立性等不规范问题。

采取以下处理措施:

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家私募机构先行采取行政监管措施;

三是相关证监局将涉嫌违法犯罪的8家私募机构的违法违规线索通报地方政府或移送公安部门,并对其中6家机构采取行政监管措施或立案稽查。

同时,证监会将上述违法违规问题及采取的监管措施记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。

广东盈隆汇被罚

证监会对3宗案件作出行政处罚。其中包括一宗私募基金违法违规案,一宗证券从业人员违法买卖股票案,一宗内幕交易案。

重点看下私募基金违法违规案,广东盈隆汇股权投资基金管理有限公司(简称广东盈隆汇)管理的“广东盈之汇贰号投资管理合伙企业(有限合伙)”等相关基金未按规定办理基金备案手续;广东盈隆汇官网公开发布相关基金的产品认购流程、投资项目详细介绍、产品说明等信息,向不特定对象宣传推介私募基金产品;通过与相关基金的投资者签订《基金回购协议》的方式,变相向投资者承诺投资本金不受损失并承诺最低收益;在自行销售部分基金时,未按规定对投资者进行风险评估。

广东盈隆汇的上述行为违反了《私募投资基金监督管理暂行办法》(简称《暂行办法》)第8条、第14条、第15条和第16条规定,依据《暂行办法》第38条规定,广东证监局决定对广东盈隆汇给予警告,并处以3万元罚款;对直接负责的主管人员何绍成、余毅给予警告,并分别处以2万元罚款。

证监会新闻发言人常德鹏表示,下一步证监会将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秩序的行为,强化私募机构防范风险主体责任,同时,对存在违法违规行为及违反诚信原则的私募机构及人员加大责任追究力度,保护投资者合法权益。

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