Home Business China Securities Regulatory Commission issued a warning letter by Qingdao Securities Regulatory Bureau due to irregularities such as imprudent internal control and governance of the company_Management_Supervision_Measures

China Securities Regulatory Commission issued a warning letter by Qingdao Securities Regulatory Bureau due to irregularities such as imprudent internal control and governance of the company_Management_Supervision_Measures

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Original title: CSI Fund was issued a warning letter by Qingdao Securities Regulatory Bureau due to irregularities such as imprudent corporate internal control and governance

Beijing Business Daily (Reporter Yue Pinyu Li Haiyuan) On February 17, the Qingdao Securities Regulatory Bureau issued a decision on issuing a warning letter to China Securities Fund Management Co., Ltd. (hereinafter referred to as “China Securities Fund”). It is reported that according to the reported clues, the Qingdao Securities Regulatory Bureau has inspected and verified the business development of China Securities Fund when it served as the private equity fund manager.

The Qingdao Securities Regulatory Bureau stated that after investigation, China Securities Fund was involved in private equity fund management activities, and there was a lack of prudence in the company’s internal control and governance, and it failed to perform its duties and perform its obligations of prudence and diligence. Since the above behavior violated the relevant provisions of the “Interim Measures for the Supervision and Administration of Private Investment Funds”, the Qingdao Securities Regulatory Bureau decided to issue a warning letter to China Securities Fund.Return to Sohu, see more

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