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Multi-site self-inspection of private equity funds

May 15, 2019 04:27
Author: Shen Ning
source: Securities Times
edit:Eastern Fortune Network

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Summary
[Several places to start private equity fund self-inspection work focus verification three issues] Recently, the Zhejiang Securities Regulatory Bureau issued a notice saying that it decided to organize a private equity management institution that has been registered in the China Securities Investment Fund Association to carry out self-inspection of private equity funds in 2019. Focus on verifying the three major aspects of fundraising. It is understood that Hubei and Ningbo have taken the lead in organizing private self-inspection work in April. (Securities Times)

Recently, the Zhejiang Securities Regulatory Bureau issued a notice saying that it was decided to organize the jurisdiction in China.Stock investmentfundThe private equity management institutions registered by the industry associations carry out self-inspection of private equity funds in 2019, focusing on the verification of fund raising and other three major issues. It is understood that Hubei and Ningbo have taken the lead in organizing private self-inspection work in April.

In accordance with the requirements of the Zhejiang Securities Regulatory Bureau, the private equity fund management institutions shall comply with the Securities Investment Fund Law, the Interim Measures for the Supervision and Administration of Private Equity Investment Funds, and the Interim Provisions on the Operation and Management of Private Equity Asset Management Business of Securities and Futures Operating Agencies. Recording, information disclosure, investor protection, internal management and risk control, and fund-raising and retreat are all self-examination.

According to reports, the above key verification work includes the following three aspects:

First, publicity and promotion. Need to check whether there are ways to set up a number of sales outlets, organize multiple marketing personnel, make public visits by phone, SMS, flyers, exhibition boards, websites, public numbers, etc., organize project promotion meetings, roadshows, seminars, etc. The use of registration as an endorsement, the public to the public who has not confirmed the procedure, or the specific target of more than a quorum to publicize the investment target, duration, and pastPerformanceThe behavior of information such as risk control measures.

Second, the fundraising aspect. It is necessary to check whether there is any fund raised to investors who have paid the first amount of less than 1 million yuan to a single fund, to facilitate the consolidating of investors, and to not carefully examine the investor’s income certificate and asset certificate, and the business personnel assist in counterfeiting The supporting materials are used to help investors meet the requirements of qualified investors, and break through or disguise in the form of transfer fund shares or share income rights to break through the requirements of qualified investors and the number of investors, and raise funds for investors who do not have corresponding risk identification and risk tolerance. Funds and other acts.

Third, investment operations. It is necessary to check whether there are any behaviors such as the old and new, the rolling issue, the mixed operation, the project investment and the time and amount of the raised funds, and the separation from the actual return rate of the project investment, which is consistent with the typical characteristics of the “fund pool”.

(Article source: Securities Times)

                                (Editor: DF380)

 
 
 
 

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