Handing peak was ordered to correct four violations including risk assessment of investors

1. When Pingtan Qiansheng equity investment partnership (limited partnership) (hereinafter referred to as Pingtan Qiansheng), which is a private fund managed by the company and sold by itself, did not evaluate the investor’s risk identification ability and risk bearing capacity by means of questionnaire survey, nor did the investor promise in writing to meet the requirements of qualified investor. (2) in Quanzhou Yongchun Qiantong equity investment partnership (limited partnership) (hereinafter referred to as Yongchun Qiantong) as the manager of its own sales company, it did not assess the investors’ risk identification ability and risk bearing capacity by means of questionnaire survey, nor did the investor promise in writing to meet the requirements of qualified investors. (3) when Fujian Changtai Qianfeng equity investment partnership (limited partnership) (hereinafter referred to as Changtai Qianfeng) as the manager of its own sales company, it did not assess the investor’s risk identification ability and risk bearing capacity by means of questionnaire survey, nor did the investor make a written commitment to meet the requirements of qualified investors. < / P > < p > 4. From September 2016 to March 2017, the investment of Pingtan Qiansheng trading Haofang electromechanical (securities code: 831710) was not decided by the investment decision-making committee, and there was no relevant investment decision-making record and other relevant information; in September 2016, Yongchun Qiantong trading Haofu culture (securities code 430702) stock was not decided by the investment decision-making committee, and there was no relevant investment decision-making record and other relevant information Related information. The above behaviors violate the provisions of Article 16, paragraph 1 and Article 26 of the Interim Measures for the supervision and administration of private investment funds (CSRC Order No. 105, hereinafter referred to as the Interim Measures). In accordance with the provisions of Article 33 of the interim measures, Fujian securities regulatory bureau takes administrative supervision measures to order Fujian Han Ding peak Investment Management Co., Ltd. to make corrections. < p > < p > according to the data, Fujian Han Ding peak Investment Management Co., Ltd. was registered in Fengze branch of Quanzhou Administration for Industry and Commerce on May 26, 2014. The company’s business scope includes investment management, enterprise management consulting and investment consulting (excluding investment consulting services of finance, securities and futures), etc. The shareholders are Fujian peak Investment Management Co., Ltd. and Fujian handing Investment Management Co., Ltd., each holding 50%. < p > < p > < p > Article 16, paragraph 1 of the Interim Measures for the supervision and administration of private investment funds: if a private fund manager sells private funds on his own, he / she shall assess the investor’s risk identification ability and risk bearing ability by means of questionnaire survey, and the investor shall make a written commitment to meet the requirements of qualified investors; a risk disclosure statement shall be prepared and signed by the investor for confirmation 。 < / P > < p > < p > Article 26 of the Interim Measures for the supervision and administration of private investment funds: private fund managers, private fund custodians and private fund sales agencies shall properly keep records and other relevant materials on investment decision-making, transaction and investor suitability management of private fund, and the retention period shall not be less than 10 years from the date of termination of fund liquidation. < p > < p > < p > Article 33 of the Interim Measures for the supervision and administration of private investment funds: in case of violation of laws, administrative regulations and the provisions of these measures by private fund managers, private fund custodians, private fund sales agencies and other private placement service institutions and their employees, the CSRC and its local offices may order them to make corrections, conduct regulatory talks, issue warning letters and make them public Censure and other administrative supervision measures. 1. Pingtan Qiansheng equity investment partnership (limited partnership) (hereinafter referred to as Pingtan Qiansheng) is a private equity fund sold by your company as the manager. When selling Pingtan Qiansheng on its own, your company did not evaluate the investors’ risk identification ability and risk bearing ability by means of questionnaire survey, nor did the investors promise in writing to meet the requirements of qualified investors, which violated the provisions of paragraph 1 of Article 16 of the Interim Measures for the supervision and administration of private investment funds (Order No. 105 of the CSRC, hereinafter referred to as the Interim Measures) 。 (2) Quanzhou Yongchun Qiantong equity investment partnership (limited partnership) (hereinafter referred to as Yongchun Qiantong) is a private equity fund which is managed by your company and sold by yourself. When you sell Yongchun Qiantong by yourself, you did not evaluate the investors’ risk identification ability and risk bearing ability by means of questionnaire survey, nor did the investors promise in writing to meet the requirements of qualified investors. Violation of the provisions of the first paragraph of Article 16 of the interim measures. (3) Fujian Changtai Qianfeng equity investment partnership (limited partnership) (hereinafter referred to as Changtai Qianfeng) is a private fund sold by your company as the manager. When selling Changtai Qianfeng by yourself, your company did not evaluate the investors’ risk identification ability and risk bearing ability by means of questionnaire survey, nor did the investors promise in writing to meet the requirements of qualified investors. Violation of the provisions of the first paragraph of Article 16 of the interim measures. < / P > < p > 4. From September 2016 to March 2017, the investment of Pingtan Qiansheng trading Haofang electromechanical (securities code: 831710) was not decided by the investment decision-making committee, and there was no relevant investment decision-making record and other relevant information; in September 2016, Yongchun Qiantong trading Haofu culture (securities code 430702) stock was not decided by the investment decision-making committee, and there was no relevant investment decision-making record and other relevant information Related information. Violation of Article 26 of the interim measures. In view of the above situation, in accordance with the provisions of Article 33 of the interim measures, our bureau has decided to take administrative supervision measures to order your company to correct. Your company should carry out rectification in accordance with the requirements of relevant laws, administrative regulations and the provisions of China Securities Regulatory Commission, and further regulate private fund activities. Your company shall complete the rectification within one month from the date of receiving this decision, and submit a written report on the implementation of the rectification work to our bureau, and our bureau will organize inspection and acceptance according to the situation. < / P > < p > if you are not satisfied with the administrative supervision measures, you may file an application for administrative reconsideration to the CSRC within 60 days from the date of receiving this decision, or file a lawsuit with 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 administrative supervision measures shall not be suspended. < / P > < p > Disclaimer: the purpose of this article reprinted by china.com finance and economics is to convey more information and does not represent the views and positions of the website. The content of this paper is for reference only and does not constitute investment advice. Investors operate accordingly and bear their own risks. < p > < p > Chinanet is a national key news website under the leadership of the Information Office of the State Council and managed by China foreign language publishing and Distribution Bureau. Through 11 versions in 10 languages, the website releases information 24 hours a day, which is an important window for China to carry out international communication and information exchange.