On February 22nd, 65438, Zhejiang Securities Regulatory Bureau issued warning letters to Jingwei Chuangda (Hangzhou) Venture Capital Partnership (Limited Partnership) and Hangzhou Jingtianweidi Investment Partnership (Limited Partnership). When the shareholding ratio of Guomai Culture dropped to 5%, it failed to stop the reduction in time and disclose it to the public. Fund Jun found that both venture capital funds are privately managed by China, a well-known venture capital company.
There is also Hanghekuan Private Equity Fund and its general manager Nie Ning, who was punished for the company's illegal collection of bond issuer underwriting service fees; There are also Zhejiang Zaiying Assets and its general manager Bao, who also received a warning letter because they did not disclose the information that the net value of the fund hit the warning line to investors as agreed in the contract.
Reduce your holdings to less than 5% and forget to disclose them in time.
Well-known venture capital private placement was fined.
12 On February 22nd, Zhejiang Securities Regulatory Bureau issued the Decision on Taking Warning Letters to Jingwei Chuangda (Hangzhou) Venture Capital Partnership (Limited Partnership) and Hangzhou Jing Tian Di Wei Investment Partnership (Limited Partnership).
According to the announcement, on June 165438+1October16, 2022, Jingwei Chuangda (Hangzhou) Venture Capital Partnership (Limited Partnership) and Hangzhou Jing Tian Di Wei Investment Partnership (Limited Partnership) reduced their holdings of 2 million shares of the listed company "Guomai Culture", with the shareholding ratio of 6. However, when its shareholding ratio fell to 5%, it did not stop reducing its shareholding in Guomai Culture and disclosed it to the public in time, and did not fulfill its information disclosure obligation until its shareholding ratio fell to 4.04%.
The Zhejiang Securities Regulatory Bureau stated that its actions violated Article 39 of the Measures for the Administration of Information Disclosure of Listed Companies (Order of CSRC 182) and Article 13 of the Measures for the Administration of Acquisition of Listed Companies (Order of CSRC 166).
Therefore, according to Article 52 of the Measures for the Administration of Information Disclosure of Listed Companies (OrderNo. 182 of the CSRC) and Article 75 of the Measures for the Administration of Acquisition of Listed Companies (OrderNo. 166 of the CSRC), Zhejiang Securities Regulatory Bureau decided to issue warning letters to Jingwei Chuangda and Hangzhou Jingtianwei respectively, and record them in the integrity files of the securities and futures markets.
Fund Jun found that Jingwei Chuangda (Hangzhou) Venture Capital Partnership (Limited Partnership) and Hangzhou Jing Tian Di Wei Investment Partnership (Limited Partnership) are two venture capital funds registered under Jingwei (Hangzhou) Investment Management Co., Ltd. and Shanghai Jingzhuo Investment Management Co., Ltd. respectively.
According to the website information of the Fund Industry Association, Jingwei (Hangzhou) Investment Management Co., Ltd. was established on 20 10/October 26th, with a registered capital of 10 billion yuan and a paid-in ratio of 10%. At present, the management scale of this private placement is 2-5 billion yuan.
According to Tianyancha information, Jingwei (Hangzhou) Investment is held by Shanghai Jingwei Equity Investment Management Co., Ltd. 100%; Judging from the ownership structure, the actual controller behind it is Zuo, one of the founders of Jingwei China, a well-known venture capital institution.
Shanghai Jingzhuo Investment Management Co., Ltd., an affiliated company invested by Jingwei (Hangzhou), was established on May 27th, 20 15, with a registered capital of 6,543.8 billion yuan and a paid-in ratio of 30%. Its investors include Zuo, holding 90% of the shares; Xiaoping holds 10% shares. At present, the management scale of this private equity institution exceeds10 billion yuan, and there are 20 registered private equity funds.
It is understood that as early as 20 12, Jingwei China took the lead in the Pre-A round of financing of Guomai Culture, and continued to increase the price in subsequent financing. It is the earliest institutional investor and the largest institutional investor of the company. On August 30th, 20021,Guomai Culture was listed on Shenzhen Stock Exchange.
According to the announcement issued by Guomai Culture on June 5438+065438+1October 17 this year, as of the disclosure date of the announcement, Jingwei Chuangda and Jingtian Weidi have reduced their holdings by 5.602 million shares through block transactions, accounting for 7.78% of the company's current total share capital, and more than half of them have reduced their holdings. In June this year 165438+1October16, Jingwei Chuangda and Jingtianwei reduced their holdings by 2 million shares, accounting for 2.78% of the company's current total share capital, exceeding 1%. After this equity change, it holds a total of 2,965,438+0,500 shares of the company, accounting for 4.04% of the company's total share capital, and is no longer a shareholder holding more than 5% of the company's shares.
It is worth mentioning that in mid-June 165438+ 10, the stock price of Guomai Culture rose sharply. However, as previously disclosed by Jingwei Chuangda and Jingtian Weidi, the reduction price of the block transaction of reducing 2 million shares is 27.92 yuan/share, and the cash amount is 55.84 million yuan.
Illegal collection of bond issuer underwriting service fees.
He Kuan private equity and its senior management received a regulatory warning letter.
Another Hangzhou He Kuan Private Equity Fund Management Co., Ltd. and its general manager Nie Ning also received a warning letter 65438 from Zhejiang Securities Regulatory Bureau on February 22nd.
According to the contents of the administrative penalty decision, Zhejiang Securities Regulatory Bureau found that as of the on-site inspection date, He Kuan Private Equity Fund in Hangzhou had the following behaviors in private equity business: collecting fees such as underwriting services, financing consultants and consulting services, and the fund product bonds held by the issuer were not included in the fund property.
The Zhejiang Securities Regulatory Bureau said that the above-mentioned behavior violated the provisions of Article 4 of the Interim Measures for the Supervision and Administration of Private Investment Funds on "fulfilling the obligations of honesty and credit, prudence and diligence". According to the provisions of Article 33 of the Interim Measures, it is decided to take the supervision and management measures of issuing warning letters to the company and record them in the integrity files of the securities and futures markets.
At the same time, Nie Ning, as the legal representative and general manager of the company, failed to perform relevant duties and obligations cautiously and diligently, and was mainly responsible for the above problems of the company, which violated the provisions of Article 4 of the Interim Measures. The CSRC decided to take the supervision and management measures of issuing a warning letter to you and record it in the integrity file of the securities and futures market.
According to the website information of the Fund Industry Association, He Kuan Private Equity Fund was established at 20 16, 10, 10, with a registered capital of100000 yuan. On June 5, 20 17, the registration of private equity investment fund managers was completed, and the current management scale is 50-10 billion yuan.
The net value hit the warning line and was not disclosed as required.
Win assets and its general manager received a warning letter.
In addition, Zhejiang Zaiying Asset Management Co., Ltd. and its general manager also received a regulatory warning letter.
Zhejiang Securities Regulatory Bureau said that after investigation, Zhejiang Zaiying Assets had the following behaviors in the private equity fund business: First, it did not disclose the information that the net value of the fund hit the warning line to investors as agreed in the contract. 2. Some funds managed by non-company employees failed to perform the duties of managers diligently and cautiously and participated in investment decisions.
According to the supervision, the above acts violated the provisions of Article 4, paragraph 1 and Article 24 of the Interim Measures for the Supervision and Administration of Private Investment Funds. According to the provisions of Article 33 of the Interim Measures, our bureau decided to take the supervision and management measures of issuing a warning letter to your company and record it in the integrity file of the securities and futures market.
At the same time, Bao, as the actual controller and general manager of the company, failed to perform relevant duties and obligations diligently and prudently, and was mainly responsible for the above problems of the company, which violated the provisions of Paragraph 2 of Article 4 of the Interim Measures for the Supervision and Administration of Private Investment Funds. According to the provisions of Article 33 of the Interim Measures, it is decided to take the supervision and management measures of issuing warning letters for packages and record them in the integrity files of the securities and futures markets.
According to the filing information of the fund industry association, Zhejiang Re-Win Assets was established on April, 2065438 14, with a registered capital of 20 million yuan and a paid-in ratio of 25%. The company completed the registration of private investment fund managers on March 9, 20 15, and the current management scale is 0-500 million yuan.