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Source: Shenzhen Securities Regulatory Bureau
Decision of Shenzhen Securities Regulatory Bureau on issuing a warning letter to Shenzhen Zhengze Investment Co., Ltd.
Shenzhen Zhengze Investment Co., Ltd.:
After investigation, your company is engaged in private equity fund business activities, and there are situations in which individual private equity fund products fail to go through the filing procedures with the Asset Management Association of China after the completion of the raising of individual private equity fund products, and fail to carry out risk rating for individual private equity funds, etc., which violates the “Private Investment Fund”. Interim Measures for Supervision and Administration (hereinafter referred to as the “Practice for Private Equity Administration”) Article 8, paragraph 1 and relevant provisions of Article 17. According to Article 33 of the “Practice for Private Equity Management”, our bureau has decided to take administrative supervision measures of issuing a warning letter to your company. Your company should effectively improve the awareness of standardized operation, continue to strengthen business management, perform the duties of a fund manager with due diligence, and prevent new violations of laws and regulations.
If you are not satisfied with this administrative supervision measure, your company may file an application for administrative reconsideration with the CSRC within 60 days from the date of receipt of this decision, or you may file an application with the competent people within 6 months from the date of receipt of this decision. Court proceedings. During the period of reconsideration and litigation, the implementation of the above-mentioned administrative supervision measures will not cease.
Shenzhen Securities Regulatory Bureau
October 11, 2022
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