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Guohai Securities Innocent "Lie Gun"

2019-4-29 14:53| 发布者: 左二爷| 查看: 291| 评论: 0|来自: 四川耍耍网scshua114.com

摘要: It is understood that in August 2015, Guoyongchun, who was then a staff member of Guohai Securities, recommended Beixin Ruifeng's asset management plan, Beixin Ruifeng Fund Shengshi No. 15, and sent t ...
It is understood that in August 2015, Guoyongchun, who was then a staff member of Guohai Securities, recommended Beixin Ruifeng's asset management plan, Beixin Ruifeng Fund Shengshi No. 15, and sent the electronic contract to Guoyongchun.
Subsequently, after Guoyongchun signed a series of "Business Application Forms" and other documents, on August 18, 2015, the plaintiff Guoyongchun signed the "Asset Management Contract" with the defendant Beixin Ruifeng Company and the Shanghai Branch of Industrial and Commercial Bank of China Co., Ltd.. The duration of the asset management plan is 18 months. The asset management plan mainly invests in China Electric Power International's targeted issuance of stocks.

Since then, Guoyongchun has remitted RMB 1 million to Beixin Ruifeng Company's opening bank and has subscribed for Shengshi No. 15B. In January 2016, at the request of Beixin Ruifeng SMS notification, Guoyongchun sent a remittance of 216,000 yuan to Beixin Ruifeng's account, and the remark was "Shengshi No. 15 replenishment 21.6 %". From February to August 2016, Beixin Ruifeng Company returned 216,000 yuan to the plaintiff three times. In February 2017, the asset management plan issued the "Winding-up Report". Beixin Ruifeng returned 202592.62 yuan to the plaintiff and the loss was as high as 797407.38 yuan.
Guoyongchun reported his investment losses to the Shenzhen Securities Regulatory Commission and the Beijing Supervisory Authority respectively.
On November 24, 2017, the Beijing Securities Regulatory Commission of the China Securities Regulatory Commission once again replied to Guoyongchun. The main contents are: Beixin Ruifeng failed to make a detailed explanation when you purchased the asset management plan of Beixin Ruifeng Fund Shengshi 15. Instead, entrust others to provide sales services and other forms. It also failed to send the investment report and liquidation report to you in accordance with the contract, in violation of the relevant regulatory regulations and contract agreements. The bureau has taken administrative supervision measures for Beixin Ruifeng to issue a warning letter and included it in the China Securities Regulatory Commission's integrity information system.
Guohai Securities Innocent "Lie Gun"
The "Daily Economic News" reporter noticed that in January 2018, Guoyongchun sent Beixin Ruifeng Company, Guohai Securities Company, and Shenzhen Hengtai Company to the People's Court of Huairou District of Beijing to request the three defendants to bear joint liability. After the court filed the case, a copy of the indictment and evidence materials were served on the defendant according to law. On April 9, 2018, the court held a hearing. The defendant Beixin Ruifeng Company, Guohai Securities Company and Shenzhen Hengtai Company defended in court and submitted written arguments to the court.
According to Guoyongchun, the "Shengshi 15B" he subscribed for is a so-called enterprising share, not a stable return investment. It is very different from Yang Bin's original recommendation that "the product has a stable return of 8 % a year, an investment period of one and a half years, and a 12 % return after the end". Guoyongchun said that when the contract was signed, Beixin Ruifeng, Guohai Securities and Hengtai related staff did not inform the type of investment and risk, but only informed that the return on investment is stable.
Guohai Securities stated that Guoyongchun was not a company customer and the products involved in the lawsuit were not issued or sold by Guohai Securities Company. Guohai Securities did not receive any commissions or fees from the plaintiff and Beixin Ruifeng and Hengtai Company. Therefore, there is no relationship of rights and obligations between the company and the plaintiff. At the same time, the essence of Guoyongchun's loss lies in the loss generated during the operation of the product involved in the lawsuit. Whether or not Yang Bin, an employee of Guohai Securities, has promised "investment stability", there is no causal relationship between the plaintiff's loss and the plaintiff's loss. The court also held that it was difficult for the court to support the lawsuit request that the plaintiff request the National Sea Securities Company to bear the liability for compensation.
In fact, as an important channel for private equity sales, brokerage institutions have recently received tickets for some non-compliant issues. On April 19, the Guangdong Securities and Supervision Bureau issued a decision to issue a warning letter to Dongguan Securities Humen Branch. The Guangdong Securities and Supervision Bureau said that Zhao, the former head of the branch, had organized employees to sell private equity investment funds that were not sold by Dongguan Securities to customers without being approved by Dongguan Securities. The above actions violated relevant regulations. The Guangdong securities regulatory bureau requires that the branch should attach great importance to the above issues, organize staff to strengthen the study of securities laws and regulations, and further strengthen internal control on the basis of self-review and self-correction in the early stages to prevent such incidents from happening again.
Supervision is being strengthened
The "Daily Economic News" reporter learned that when private equity fund managers raise funds for products, they mainly sell through two major channels, namely direct sales and agency sales. The focus of private fundraising agencies is on investment and research, and sales work depends more on funds. The three parties that sell licenses are the main agencies.
At present, fund agencies are divided into commercial banks, securities companies, futures companies, insurance companies, securities investment consulting institutions, and independent fund sales organizations. This year, the fund association's "ticket" penalties include Beijing Qian Jing Fund sales, Tai Tai Jin Jin Fund sales, Suzhou Cailu Fund sales. Due to the clear requirements of private placement, the qualifications of the main body of the sales agency are strictly limited, and the qualifications are clearly targeted at qualified investors. The threshold for customers to purchase is 1 million, and the ownership of public publicity and standard sales is explicitly prohibited. Therefore, private equity fund agency should undertake investor object investigation, qualified investor confirmation, private equity fund promotion and other related responsibilities and implement investor return confirmation system.
The institutions whose sales qualifications have been suspended are first and foremost concerned with private equity advertising irregularities. This year, the fund association issued a decision on the suspension of sales business of dataI gold fund sales limited company, which pointed out that the company has exaggerated or one-sided promotion of fund products, and the performance of different funds is not rigorous. It is understood that the company has attracted investors 'attention with the promotion strategy of "resilient to fall" and "better than most similar funds".
The second is to confirm that there are loopholes in the sales object. In the penalty decision against Tai Tai Jin, the association pointed out that the agency did not report on the operation of private equity fund raising in a timely manner in accordance with the regulations, failed to update the investor qualification criteria in accordance with relevant requirements, and provided unqualified investors with publicity and promotion services.
Third, the obligation to submit information has not been fulfilled. Beijing Qianjing Fund Sales Co., Ltd. did not file the company and senior management information in the association system as required. The employees have left the company on a large scale, and there are major hidden dangers in the internal control mechanism and personnel management. It is no longer in line with the requirements for private equity fund raising. Suzhou Cailu Fund Sales Co., Ltd. has a number of internal control system problems, including the fact that the company's funds have been occupied by shareholders for a long time and have not been standardized in the financial account, and no related internal control system has been established for choosing to sell fund products. And there is no written record of the decision-making process of the fund product selection, and the operation and maintenance personnel have not obtained the qualification of the fund sales business.

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