Private placement to meet exams within a month of self correction 河南科技学院校历

Private placement to meet exams: within a month of self correction Sina foundation exposure table: the letter Phi lag of false propaganda, long-term performance is lower than similar products, to buy the fund by the pit how to do? Click on [I want to complain], Sina help you expose them! The Securities Times reporter Li Dongliang in accordance with the unified arrangements of the State Council, since January 2015, the Commission on Securities and futures industry to carry out "strengthening internal control, strengthen external supervision, to curb illegal operation, curb illegal crime special inspection work. In the first half of this year, the CSRC organized the CSRC bureaus to conduct special inspections on 305 private equity agencies. According to the inspection results, the Commission will take administrative supervision measures for 73 private institutions according to law. At present, this special inspection work ushered in the stage of looking back. China Securities Investment Fund Industry Association yesterday informed, requires private equity fund industry actively carry out self correction activities; to strengthen internal management and system construction, improve compliance risk control consciousness; strengthening the staff’s awareness of compliance and social responsibility education. Since the time of self-examination activities issued the notification date to the end of September. Positive self correction in the ICC said, according to the Commission in two special inspection, part of the private equity fund managers compliance awareness is weak, illegal events, private equity fund industry should be a warning to be checked that the private equity fund management problems should be timely rectification implementation, other private equity fund managers to carry out self correction activities, key aspects of risk further investigation institutions may exist, to strengthen the internal management of private institutions, strengthen law consciousness and awareness of compliance, regulations to carry out the business of private equity funds. Self correction includes the weak link of publicity promotion, to qualified investors to raise funds, private equity funds and other non business run high frequent, repeated and funds safety and operation compliance. The ICC, self-examination after the end, the association will check related private equity fund managers regularly the implementation of the rectification, the private sector is more serious, problem of self-examination and rectification is not in place, the recurrence of the problem, the new risk of new problems, the association will take further regulatory measures. Suspected of illegal, the association will promptly transfer to the regulatory authorities to deal with. 73 private by administrative supervision in the first half of this year, the Commission has organized around the CSRC, to carry out special inspections of 305 private institutions, involving funds 2462, management scale 900 billion yuan, accounting for 14% of the total size of the industry. The special inspection focuses on the behavior of raising compliance, fund asset security, timeliness of information disclosure, the fund leverage, whether there is infringement of the rights and interests of investors behavior 5 aspects. From the inspection situation, many private institutions still exist irregularities, individual institutions are also suspected of illegal crimes. Inspection found that 4 private institutions suspected of illegal fund-raising and illegal operation of securities business; 6 private institutions have promised guaranteed insurance benefits, misappropriation or embezzlement of funds, property, funds and assets of the fund with fictitious investment projects to defraud money and other serious illegal behavior, against the interests of investors; 65 private institutions are public offering, not according to the contract, property trust fund investment is not the direction of

私募再迎大考:限期一个月自查自纠 新浪基金曝光台:信披滞后虚假宣传,业绩长期低于同类产品,买基金被坑怎么办?点击【我要投诉】,新浪帮你曝光他们!   证券时报记者 李东亮   按照国务院统一部署,2015年1月起,证监会在证券期货行业开展了“加强内部管控、加强外部监管、遏制违规经营、遏制违法犯罪”专项检查工作。今年上半年,证监会组织各地证监局,对305家私募机构开展专项检查。根据检查结果,证监会依法对73家私募机构采取行政监管措施。   目前,这一专项检查工作迎来回头看阶段。中国证券投资基金业协会昨日通知,要求私募基金积极开展全行业自查自纠活动;加强内部管理及制度建设,提高风控合规意识;强化从业人员合规意识和社会责任教育。自查活动时间自该通知发布之日起至9月底。   积极自查自纠   中基协表示,根据证监会近两次专项检查情况,部分私募基金管理人合规意识薄弱,违法违规事件不断,私募基金行业应引以为戒,被检查发现问题的私募基金管理人应及时整改落实,其他私募基金管理人应参照开展自查自纠活动,进一步排查机构自身可能存在的重点环节风险隐患,加强私募机构内部管理,强化守法意识与合规意识,规范开展私募基金业务。   自查自纠范围包括公开宣传推介、向不合格投资者募集资金、兼营非私募基金业务等高发频发、重复发生的薄弱环节以及资金安全性和运作合规性。   中基协要求,自查结束后,协会将定期抽查相关私募基金管理人的落实整改情况,对自查问题比较严重、整改不到位、问题重复发生、出现新风险新问题等情况的私募机构,协会将进一步采取相关自律措施。涉嫌违法违规的,协会将及时移交监管部门处理。   73家私募遭行政监管   实际上,今年上半年,证监会已组织各地证监局,对305家私募机构开展专项检查,涉及基金2462只,管理规模0.9万亿元,占行业总规模的14%。专项检查重点包括募资行为合规性、基金资产安全性、信息披露及时性、基金杠杆运用情况、是否存在侵害投资者权益行为等5个方面。   从检查情况看,不少私募机构依然存在违规问题,个别机构还涉嫌违法犯罪。检查发现,4家私募机构涉嫌非法集资、非法经营证券业务;6家私募机构存在承诺保本保收益、挪用或侵占基金财产、基金资产与自有资金混同、虚构投资项目骗取资金等严重违法违规、侵害投资者利益行为;65家私募机构存在公开募集、未按合同约定托管基金财产、投资方向不符合合同约定、费用列支不符合合同约定、未按合同约定进行信息披露、证券类私募机构从业人员无从业资格等一般性违规问题;199家私募机构存在登记备案信息不准确、更新不及时、合格投资者管理制度不健全、私募基金风险评级及对投资者的风险识别能力和风险承担能力评估不到位等其他不规范问题。   根据违法违规行为的具体情况,证监会依法采取以下处理措施:一是相关证监局将涉嫌犯罪的4家私募机构违法线索移送地方政府或公安部门,并对其中3家机构采取行政监管措施;二是相关证监局对6家存在承诺保本保收益等严重违规问题的私募机构立案稽查,并对其中5家机构采取行政监管措施;三是相关证监局对65家存在公开募集等问题的私募机构及1名责任人采取行政监管措施;四是对5家失联私募机构,由中国证券投资基金业协会启动失联程序,向社会公示。 进入【新浪财经股吧】讨论相关的主题文章: