CreditEase Investment Management Yangzhou Co., Ltd.:
From May 20 18 10 to May 2010/day, our bureau conducted an on-site inspection of your company. After investigation, we found that your company has the following problems:
1. Some employees engaged in fund business have not obtained the qualification for fund business. This behavior violates the provisions of Article 9 of the People's Republic of China (PRC) Securities Investment Fund Law (hereinafter referred to as the Fund Law).
2. Failing to properly keep records of investment decisions, transactions and investor suitability management and other relevant materials as required. This behavior violates the provisions of Article 26 of the Interim Measures for the Supervision and Administration of Private Investment Funds (Order No.26 of the CSRC). 105, hereinafter referred to as the "interim measures").
Three. Some funds failed to assess investors' risk identification ability and risk-taking ability, and did not rate the risks of funds. This behavior violates the provisions of Articles 16 and 17 of the Interim Measures.
The company has not established a mechanism to prevent conflicts of interest. This behavior violates the provisions of Article 22 of the Interim Measures.
Verb (abbreviation of verb) conceals the true valuation information of the fund investment target from the custodian institution, redeems the fund for some investors with overestimated false net value and extracts performance reward. This behavior violates the provisions of Item 6 of Article 23 of the Interim Measures.
According to the provisions of Article 33 of the Interim Measures, our bureau has decided to take administrative supervision measures to issue a warning letter to your company.
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.
Jiangsu securities regulatory bureau
20 18 September 14
Extended data:
Enterprise information query method:
1. Baidu search "National Enterprise Credit Information Publicity System", click to enter.
2. Enter "Yixin Investment Management Yangzhou Co., Ltd." in the search box of the National Enterprise Credit Information Publicity System, and click Search.
3. Click on the search results, CreditEase Investment Management Yangzhou Co., Ltd. ..
Four, through the search, we can know that the enterprise is in a normal state of existence, not included in the abnormal business directory, and does not belong to illegal fund-raising.
China Securities Regulatory Commission-Decision on Issuing Warning Letter to CreditEase Investment Management Yangzhou Co., Ltd.?