2065 438+00-2065 438+03 Which fund companies were punished by the CIRC?

The CSRC decided to suspend the acceptance of new domestic public offering applications of Huaxia Fund from 2010/; If the rights and interests cannot be regulated before April 20 1 year 10, the Fund Department of CSRC will take further regulatory measures as appropriate. Huaxia Fund has also received the Letter of Supervision on the Equity of Huaxia Fund Management Company from the Fund Supervision Department of China Securities Regulatory Commission.

This time, the CSRC suspended the application for some new products of Huaxia Fund, which originated from the Measures for the Administration of Securities Investment Fund Management Companies and related regulations: "The maximum capital contribution ratio of major shareholders of a fund management company shall not exceed 49% of the total capital contribution".

Through a series of serial acquisitions, CITIC Securities realized the holding of Huaxia Fund 100% in September 2007. At that time, the holding ratio of Huaxia Fund and CITIC Fund reached 100%, which obviously violated the requirements of the regulatory authorities.

20 10 CSRC announced that Tu Qiang, the former manager of Jing Shun Great Wall Fund, manipulated his relatives Zhao and Wang to open accounts during his tenure as fund manager of dynamic balance fund on September 18, 2006, and bought and sold the same stocks before or simultaneously with the funds he managed, involving 23 stocks including Shanghai Pudong Development Bank. Shen Qiang was disqualified from fund practice, and besides confiscating his illegal income, he was also fined 2 million yuan and banned from the market for life. Since August 27th, 2008, the former fund manager of Great Wall Fund Company has operated his wife Huang's account and bought and sold the same stocks before the funds he managed, involving three stocks including Angang. Liu Hai was disqualified from the fund and his illegal income was confiscated. He was fined 500,000 yuan and banned from the market for three years. Han Gang, the former fund manager of Great Wall Fund Company, served as the investment fund manager of Great Wall Jiufu Securities from June 5438, 2009 to October 6, 2009. He cooperated with others to operate the account opened by his relatives and bought and sold the same stock many times before or simultaneously with the fund he managed. At the same time, the CSRC has transferred the evidence of Han Gang's suspected crime to the public security and judicial organs for criminal responsibility, and will make a decision to cancel his post qualification and market ban after criminal punishment.

20 1 1 After Han Gang, the former fund manager of Great Wall Fund Company, became the first person in the domestic fund industry to be sentenced for the rat warehouse incident, the second case of the party involved in the rat warehouse of the fund that was transferred to the public security organ appeared-Xu Chunmao, the former investment director of Everbright Prudential Fund Company, the dividend fund of Everbright Prudential and the fund manager of Everbright Prudential Balanced Select Fund, was transferred to the public security organ for the rat warehouse incident. In addition, Huang Lin, the former fund manager of the Franklin China Income Fund in Guohai, was also disqualified from the fund because of the rat warehouse incident, and was fined 300,000 yuan and banned from the market for 10 years. According to the facts, nature, plot and social harm of Huang Lin's illegal behavior, the CSRC decided to cancel his fund qualification according to law, and at the same time imposed a fine of 300,000 yuan and a market ban of 10. The fund manager of any fund company has the behavior of rat warehouse, which shows that there are loopholes in the internal risk control of the company. The cases of fund rat warehouses exposed one after another are enough to sound the alarm for practitioners in the industry and urge fund management companies to further strengthen internal control and improve self-discipline. All parties * * * Qi Xin worked together to prevent and control from the source, and did not give the relevant personnel an opportunity.

On 20 13, Wanjia Fund and two consignment agencies were punished for violating regulations. When individual sales organizations sell a bond fund of Wanjia Fund Management Company, they use terms such as agreed rate of return in publicity, which is suspected of violating the relevant provisions of the Securities Investment Fund Law. According to the Measures for the Administration of Securities Investment Fund Sales and the Measures for the Implementation of Securities and Futures Market Supervision and Management Measures, the relevant CSRC has taken administrative supervision measures such as ordering the above three institutions and Wu and other five responsible persons to make corrections and issuing warning letters.