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Source: Shenzhen Securities Regulatory Bureau
Shenzhen Securities Regulatory Bureau decision to issue a warning letter to Shenzhen Zhengze Investment Co., Ltd.
Shenzhen Zhengze Investment Co., Ltd .:
After the investigation, your company is engaged in private equity fund business and there are situations where individual private equity fund products do not go through filing procedures with the Asset Management Association of China upon completion of raising individual private equity funds produced, and do not carry out risk assessment for individual private equity funds, etc., which infringes the “Private Investment Fund”. Provisional supervisory and administrative measures (hereinafter referred to as “Practice for the administration of private equity”) Article 8, paragraph 1 and related provisions of Article 17. Pursuant to Article 33 of the “Practice for the management of private equity” , our office has decided to take administrative supervision measures to issue a letter of formal notice to your company. Your business should effectively improve awareness of standardized operations, continue to strengthen business management, perform the functions of a fund manager with due diligence, and prevent new violations of laws and regulations.
If you are not satisfied with this administrative oversight measure, your company may apply for administrative review to the China Securities Regulatory Commission within 60 days from the date of receipt of this decision, or apply to the relevant persons within 6 months from the date of receipt of the decision. this decision Court Acts. During the period of reconsideration and litigation, the implementation of the aforementioned administrative supervision measures will not cease.
Shenzhen Securities Regulatory Office
11 October 2022
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