RSS订阅 加入收藏  设为首页
当前位置:首页 > 金沙国际娱乐

金沙国际娱乐:Private equity special inspection is still in preparation stage local Bureau will direct inspection

时间:2018/2/14 17:53:16  作者:  来源:  浏览:0  评论:0
内容摘要: With the explosive growth of private equity funds, the regulatory environment has become more stringent. Recently, the Securities and Futur...

With the explosive growth of private equity funds, the regulatory environment has become more stringent. Recently, the Securities and Futures Commission private placement department to send around the Commission, "on the 2018 private equity fund to carry out special inspections notice", called for the 2018 private equity fund special inspection. At present, some local CSRC offices have successively released the self-inspection notice and spot check list of enterprises, and the inspection work is still in the preparation stage.

China Securities Journal reporter learned in the interview, March 1 to June 15 will enter the on-site inspection phase. At present, some companies are spot checks are actively preparing materials, pending inspection. However, a local bureau said that the spot checks will not be open to the public and will come directly to check the time.

On February 11, Shanghai Securities Regulatory Bureau announced on the official website that in accordance with the CSRC's work plan on special inspection of private placement funds in 2018, Shanghai Securities Regulatory Bureau recently officially launched the on-site inspection of private placement funds in Shanghai in 2018 Random checks, the random selection of 40 private equity institutions for inspection.

Currently, the inspection is still in preparation stage. As one of the 40 private equity institutions spot-checked, Shanghai Fu Shan Investment Co., Ltd. said in an interview that at present, the CSRC has just released a list of spot checks and has not yet issued a formal inspection notice, Still not clear.

Shanghai Mu Xin Asset Management Co., Ltd. was also spotted the relevant responsible person also said that only the list is now announced. The on-site inspection will begin on March 1 and last until June 15. At present, the company is actively preparing materials, mainly on compliance materials to do some finishing, waiting for inspection.

Not only Shanghai, the reporter understands, Zhejiang, Ningxia Securities Regulatory Bureau has issued to the area of ??private placement agencies self-examination notice, including self-inspection companies to raise sales, investment operations, compliance management, risk control and other sectors. Shanxi Securities Regulatory Bureau has randomly selected two agencies included in the list of special inspections.

Three Types of Institutions to Be Keyly Examined

According to the Notice, the three types of private equity institutions that are "privately managed cross-border jurisdictions, private equity institutions that manage non-standard claims, and other private equity institutions that have problems and risks" will be included in the key inspections Object range. In accordance with the principle of differentiated inspection, the securities regulatory bureau of all localities and departments will focus on the problem-based risk and determine the key inspection areas, supplemented by stratified random sampling and routine inspection of various types of private-equity institutions.

"This is a routine routine inspection by the CSRC, and like the public offering, they are all randomized and have no impact on our business." According to Shanghai Fu Shan Investment Co., the company is operating in accordance with compliance and usually Have some inspection and training. However, for private equity firms in Zhejiang, the spot check list can not be known. Zhejiang Securities Regulatory Bureau staff told reporters that at present, the special inspection has not yet begun, is still in the self-examination phase. For the inspection content, check the list of enterprises, business selection criteria, these have not been set down, that time will not be open to the public, the Commission will direct home inspection.

Entering the Most Privately-Held Regulatory Year

In the past two years, the scale of private equity funds has been increasing year by year.

"In the past two years, the rapid growth of private equity funds, rapid development of the industry at the same time, the need for norms and reasonable operation, to maximize the protection of the interests of private equity clients." Qianhai Open Source Fund Chief Economist Yang Delong said the past two years Into the history of the most stringent private equity fund regulatory years. Strict supervision is to protect the long-term healthy operation of the market an important guarantee, but also to prevent some financial chaos. The conduct of a nationwide special inspection, but also to regulate the operation of private equity funds to rule out the risk.

Shanghai Mu Xin Asset Management Co., Ltd. Marketing Department official said the special inspection every year, is to see if there is any according to industry regulations to raise operations and preparation. "There were some minor problems in opening up the list of private equity firms that were in trouble last year, such as when they were recruited, the materials they confirmed with investors were not kept or the information was not publicly disclosed online, etc. If the situation was serious, the relevant private placement agencies would be punished.

Under the regulatory pressure, a number of unscrupulous private placement have been blacklisted. As of February 8, China Securities Investment Fund Association announced the nineteenth batch of private equity firms to be lifted, a total of 326 institutions included in the list, of which 92 institutions have been canceled registration, there are nine institutions have their own Apply for cancellation of registration.





所有信息均来自:百度一下 (金沙国际娱乐)