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新富资本涉多项违规 董事长李先林等人被证监局处罚

2017-09-12 22:21:28   中国经济网

新富资本多项违规被证监局处罚

和讯股票消息 近日,深圳证监局网站公布一则行政处罚信息,深圳前海新富资本管理集团有限公司因“未按规定办理基金备案手续;向合格投资者之外的个人募集资金;向不特定对象推介私募基金;未严格落实投资者风险评估;未严格落实基金产品风险评级”等违法违规事实,被给予警告并处3万元罚款。

公司时任法定代表人、董事长兼CEO李先林、副总裁颜昌仕和副总裁任蕾桦三人为直接负责的主管人员,证监局决定对李先林给予警告,并处以三万元罚款;对颜昌仕给予警告,并处以一万元罚款;对任蕾桦给予警告,并处以一万元罚款。

决定书显示,新富资本存在以下违规事实:一、未按规定办理基金备案手续

新富资本作为普通合伙人(以下简称GP)发起成立的深圳市新富共创三号投资企业(有限合伙)基金(简称共创三号)、深圳市新富创赢三号投资企业(有限合伙)基金(简称创赢三号)、深圳市新富共创五号投资企业(有限合伙)基金(简称共创五号)、深圳市新富创赢六号投资企业(有限合伙)基金(简称创赢六号)、深圳市新富创赢七号投资企业(有限合伙)基金(简称创赢七号),新富资本发行成立契约型基金“新富-国信-深圳鸿海集团上海物流园建设基金”(简称鸿海建设)和“新富.深圳园林集团债权基金”(简称园林债权),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。

二、向合格投资者之外的个人募集资金

新富资本向6名非合格投资者募集共创三号、共创五号、创赢六号、创赢七号基金。

三、向不特定对象推介私募基金

新富资本对员工电脑安装“即时通讯”软件,员工通过拨打不特定陌生客户电话,推介公司发行的基金产品。

四、未严格落实投资者风险评估

新富资本在销售共创三号、创赢三号、共创五号、创赢六号、创赢七号、鸿海建设、园林债权7只产品过程中,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。

五、未严格落实基金产品风险评级

新富资本在销售共创三号、创赢三号、共创五号、创赢六号、创赢七号、鸿海建设、园林债权7只产品过程中,未对基金产品进行风险评级。

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