The above acts violate the provisions of Article 8 of the Interim Measures for the Supervision and Administration of Private Investment Funds (Order of CSRC 105, hereinafter referred to as the Interim Measures) and Article 3 of the Measures for the Administration of the Suitability of Securities and Futures Investors (Order of CSRC 130, hereinafter referred to as the Administrative Measures). According to the provisions of Article 33 of the Interim Measures and Article 37 of the Administrative Measures, the Beijing Supervision Bureau of China Securities Regulatory Commission decided to take administrative supervision measures to order Jianggen Capital to make corrections.
According to the data, Jianggen Capital was established on May 8, 20 12, with a registered capital of 1.2 1 billion RMB and a paid-in capital of 801.04 million RMB. It is a professional investment institution mainly engaged in investment banking, fund management, asset management and financial consultancy. The major shareholder of the company is Blumberley (Beijing) Material Equipment Co., Ltd., with a shareholding ratio of 65.24%, and Beijing Boda Rongcheng Investment Partnership (Limited Partnership) holds 65,438+05%.
Relevant regulations:
Article 8 of the Interim Measures: After all kinds of private equity funds are raised, the private equity fund manager shall go through the fund filing procedures in accordance with the provisions of the fund industry association and submit the following basic information:
(a) the main investment direction and the types of funds indicated according to the main investment direction;
(2) Fund contract, articles of association or partnership agreement. In the process of fund raising, if a fund prospectus is provided to investors, it shall be submitted. Private equity funds established in the form of companies, partnerships and other enterprises shall also submit the original and photocopy of industrial and commercial registration and business license;
(3) If entrusted management is adopted, an entrusted management agreement shall be submitted. Where a trust institution is entrusted to trust the fund property, a trust agreement shall also be submitted;
(4) Other information stipulated by the fund industry association.
The fund industry association shall, within 20 working days after the filing materials of private equity funds are complete, publish the list of private equity funds and their basic information through the website and complete the filing procedures of private equity funds.
Article 33 of the Interim Measures: If private equity service institutions such as private equity fund managers, private equity fund custodians and private equity fund sales organizations and their employees violate laws, administrative regulations and the provisions of these Measures, the China Securities Regulatory Commission and its dispatched offices may take administrative supervision measures such as ordering them to make corrections, supervising talks, issuing warning letters and publicly condemning them.
Article 3 of the Administrative Measures: Institutions that sell securities and futures products or provide securities and futures services to investors (hereinafter referred to as operating institutions) shall abide by laws, administrative regulations, these Measures and other relevant provisions, perform their duties diligently and prudently in the process of selling products or providing services, fully understand the situation of investors, conduct in-depth investigation and analysis of product or service information, make scientific and effective evaluation, and fully reveal risks. Based on the different risk tolerance of investors, different risk levels of products or services, etc., put forward clear suitability matching opinions, sell or provide suitable products or services to suitable investors, and bear legal responsibility for illegal acts.
Article 37 of the Administrative Measures: If an operating institution violates the provisions of these Measures, the China Securities Regulatory Commission and its dispatched offices may take supervision and management measures such as ordering the operating institution and its directly responsible personnel in charge and other directly responsible personnel to make corrections, supervising talks, issuing warning letters, and ordering them to participate in training.
The following is the original text:
Decision on taking administrative supervision measures to order Beijing Jianggen Capital Management Co., Ltd. to make corrections.
Beijing Jianggen Capital Management Co., Ltd.:
After investigation, our bureau found that your company has the following behaviors:
1. Failing to complete the filing procedures for private equity funds as required.
Second, the situation of investors is not fully understood in the process of selling private placement products.
The above acts violate the provisions of Article 8 of the Interim Measures for the Supervision and Administration of Private Investment Funds (Order of CSRC 105, hereinafter referred to as the Interim Measures) and Article 3 of the Measures for the Administration of the Suitability of Securities and Futures Investors (Order of CSRC 130, hereinafter referred to as the Administrative Measures). According to the provisions of Article 33 of the Interim Measures and Article 37 of the Administrative Measures, our bureau decided to take administrative supervision measures and ordered your company to make corrections.
Your company shall submit a written rectification report to our bureau within 30 days from the date of receiving this decision, and our bureau will organize inspection and acceptance of the implementation of your company's rectification in due course.
Anyone who refuses to accept this supervision and management measure may apply for administrative reconsideration to the China Securities Regulatory Commission within 60 days from the date of receiving this decision, or bring a lawsuit to the people's court with jurisdiction within 6 months from the date of receiving this decision. During the period of reconsideration and litigation, the above supervision and management measures shall not be suspended.
China Securities Regulatory Commission Beijing Supervision Bureau
202 1 1.5