Private equity fund industry association requirements to carry out self correction mmc.exe

Private equity fund industry association requirements to carry out self correction: Sina App live on-line blogger to listen to expert guidance on forest stock selection Jiepan Niugu tournament – reporter Cao Chengyu in August 29th, Chinese Securities Investment Fund Industry Association issued "on the strengthening of the" two private equity fund, the two containment "related work notice", said the 1 months to carry out a self correction activities in the private sector, the safety of capital operation, compliance and illegal violations have occurred the weak link of checks. The notice shows that the private two strengthening, the focus of the work of the two containment includes the following three. One is the whole industry actively carry out self correction activities. According to the Commission nearly two special inspection, some private equity fund managers compliance awareness is weak, illegal events continue. The fund industry association, is checked to find private equity fund management problems should be timely implementation of the rectification and other private equity fund managers should refer to carry out self correction activities, key aspects of risk further investigation institutions may exist, to strengthen the internal management of private institutions, strengthen law consciousness and awareness of compliance, regulations to carry out the business of private equity funds. Self correction includes the weak link of publicity promotion, to qualified investors to raise funds, private equity funds and other non business run high frequent, repeated and funds safety and operation compliance. Self activity time will last for 1 months, from the date of issuance of this notice to the end of September. The fund industry association said, self-examination after the association will check related private equity fund managers regularly the implementation of the rectification, the private sector is more serious, problem of self-examination and rectification is not in place, the recurrence of the problem, the new risk of new problems, will take further regulatory measures, suspected illegal will be promptly transferred to the supervision department processing. Two is to strengthen internal management and system construction, improve the risk control compliance consciousness. For the private equity fund industry risk control awareness, compliance personnel less, lack of effective system, through private institutions to carry out policy learning, staff training and business self-examination etc., understand the new policy and the private self rule, strengthen the internal mechanism of law-abiding awareness of compliance, promote the construction of internal management system. Focus on whether the establishment of investment decision, investors management, risk management, compliance management, internal control, to prevent conflicts of interest, information disclosure, archives management, incentive and restraint, internal related internal management system of responsibility, whether the effective implementation, if there is a weak link and the risk of major omissions, strengthen self-discipline organization improve the internal risk, compliance management, improve the standard operation level of the private sector. Three is to strengthen the practitioners compliance and social responsibility education. Facing the problems of control and compliance awareness, lack of awareness of social responsibility, the quality of personnel is uneven in quality of private equity fund industry such as the wind, see through the back to work, policy advocacy, education and training, typical cases, to organize a private equity fund industry, law-abiding awareness of compliance awareness education activities, enhance private institutions and practitioners personnel legal consciousness, strict self-discipline, compliance exhibition industry. Association will also be the production of relevant policy advocacy courses, inclusion theory相关的主题文章: