Caizhong News Agency, November 12 According to the announcement issued by the Ningxia Securities Regulatory Bureau on November 11, 2024, Ningxia Tai Shengxiang Asset Management Co., Ltd. and its related personnel Sun Wentao and Wang Kunpeng were punished by regulatory penalties because they did not conduct qualified investors in the private equity fund business and did not fulfill their cautious diligence obligations.The behavior violated Article 4 and Article 16 of the Interim Measures for the Supervision and Management of the Private Investment Fund.
The Ningxia Stock Exchange and Supervision Bureau decided to adopt administrative supervision measures with Ningxia Tai Shengxiang Asset Management Co., Ltd. and the above two individuals.Regulatory agencies require relevant responsible persons to actively rectify, raise awareness of standardized operation, continue to strengthen business management, and ensure that similar violations of laws and regulations will no longer occur.If the regulatory measures are not resolved, you can apply for administrative reconsideration within 60 days after receiving the decision, or file a lawsuit within 6 months, but the regulatory measures during the reconsideration and litigation will continue to be implemented.
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