Specific regulatory measures include the following three aspects:
(1) The China Securities Regulatory Commission and its dispatched offices shall, according to law, conduct statistical monitoring and inspection on the private equity business carried out by private equity managers and other relevant institutions; According to the provisions of Article 114th of the Securities Investment Fund Law, seven relevant measures have been taken:
1. Conduct on-site inspection on fund managers, fund custodians and fund service institutions, and require them to submit relevant business materials;
2. Enter the place where the suspected illegal act occurred for investigation and evidence collection;
3. Ask the parties concerned and the units and individuals related to the investigated events, and ask them to explain the matters related to the investigated events;
4. Consult and copy information such as property registration and communication records related to the investigated events;
5. Consult and copy the securities trading records, registration and transfer records, financial and accounting materials and other relevant documents and materials of the parties and the units and individuals related to the investigated events; Documents and materials that may be transferred, concealed or damaged may be sealed up;
6. Inquire about the capital accounts, securities accounts and bank accounts of the parties and the units and individuals related to the investigated events; If there is evidence that illegal funds, securities and other property involved have been or may be transferred or concealed, or important evidence has been concealed, forged or destroyed, it may be frozen and sealed up with the approval of the principal responsible person of the securities regulatory agency in the State Council;
7. When investigating major securities violations such as manipulation of the securities market and insider trading, with the approval of the main person in charge of the the State Council securities regulatory agency, the securities trading of the parties involved in the investigated event may be restricted, but the restriction period shall not exceed fifteen trading days; If the case is complicated, it may be extended for fifteen trading days.
(two) the China Securities Regulatory Commission will record the integrity information of private fund managers and their employees in the integrity file database of the securities and futures market; According to the credit status of private fund managers, differentiated supervision is implemented.
(3) If relevant institutions such as private fund managers and their employees violate laws, administrative regulations and the Interim Measures for the Supervision and Administration of Private Investment Funds, the China Securities Regulatory Commission and its dispatched offices may take administrative supervision measures such as ordering corrections, supervising talks, issuing warning letters, and publicly condemning them; To impose administrative punishment on the parties who should be given administrative punishment according to law.