Zeyuan Private Securities Investment Fund Ordered to Correct Violations, Involved in Multiple Infractions

NightAirdropper · 2026-03-04T17:16:02+00:00

Guangdong Securities Regulatory Bureau has made an administrative regulatory decision against Zeyuan Private Securities Investment Fund Management (Guangdong) Co., Ltd. due to multiple violations, including arranging unqualified personnel to engage in private fund activities and providing unrelated consulting services. The decision requires them to make rectifications.

NightAirdropper

2026-03-04 17:16:02

Abstract generation in progress

Blue Whale News, March 3 — Recently, the Guangdong Securities Regulatory Bureau issued an administrative regulatory decision letter targeting Ze Yuan Private Securities Investment Fund Management (Guangdong) Co., Ltd.

The decision letter states that Ze Yuan Private Securities Investment Fund Management (Guangdong) Co., Ltd. has committed the following violations: First, arranging personnel without fund industry qualifications to engage in private fund fundraising activities, and assigning non-company employees to conduct investment transactions; second, providing consulting services unrelated to private fund management; third, entrusting institutions without fund sales qualifications to conduct fundraising activities; fourth, failing to report information in a timely manner as required; fifth, not verifying the financial status of some investors through asset proof or income proof materials.

These actions violate the “Interim Measures for the Supervision and Administration of Private Investment Funds,” “Several Regulations on Strengthening the Supervision of Private Investment Funds,” and the “Measures for the Suitability Management of Securities and Futures Investors.”

In response, the Guangdong Securities Regulatory Bureau has decided to impose an administrative regulatory measure requiring Ze Yuan Private Securities Investment Fund Management (Guangdong) Co., Ltd. to make corrections.

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