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新富资本因多项违规遭处罚

2017-09-12 17:26:23   中国经济网

千龙网北京9月11日讯 近日,中国证券监督管理委员会深圳监管局发布行政处罚决定书〔2017〕4号显示,深圳前海新富资本管理集团有限公司存在未在产品存续期间按照基金业协会的规定办理基金备案手续;向非合格投资者募集资金;向不特定对象推介私募基金;在销售相关产品过程中未对所有投资者的风险识别能力和风险承担能力进行评估;未对相关基金产品进行风险评级的违规行为。

中国证券监督管理委员会深圳监管局认为,新富资本的上述行为违反了《私募投资基金监督管理暂行办法》(简称《暂行办法》)第八条、第十一条、第十四条、第十六条和第十七条规定,依据《暂行办法》第三十八条规定,深圳证监局决定对新富资本责令改正,给予警告,并处以3万元罚款;对直接负责的主管人员李先林给予警告,并处以3万元罚款;对其他两名直接负责的主管人员颜昌仕、任蕾桦给予警告,并分别处以1万元罚款。

事实上,这并不是新富资本第一次遭到证监会处罚。根据基金业协会备案的信息显示,2016年8月19日,证监会通报2016年上半年私募基金专项检查执法情况,新富资本就曾被证监会采取行政监管措施。

公开资料显示,深圳前海新富资本管理集团有限公司(以下简称:新富资本)成立于2013年10月17日,是首批注册在深圳前海新区的一家以资产管理、财富管理、投资管理、互联网金融为核心业务的专业综合型金融服务集团,拥有中国证券投资基金业协会颁发的私募基金管理人牌照。

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