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深圳私募基金监管情况通报

  • 2026-09-03 20:14:46
深圳私募基金监管情况通报
近日，深圳监管局发布了“2025年第3期私募基金监管情况通报”，就私募检查发现的LP参与投资决策、让渡投资交易权限、通道业务、出借账户等问题及监管要求进行了通报。
通报指出，有的私募出借私募基金证券账户或持仓股票。个别私募机构从业人员向外部人员出借基金持仓股票用于日内回转交易，允许外部人员接入公司投资交易系统、以公司名义下达交易指令，相关人员因涉嫌非法经营犯罪被公安机关侦办。有的私募机构将其在管私募基金证券账户提供给第三方机构或个人运作，用于开展大宗交易、定向增发等交易。还有个别私募机构向第三方机构或个人出借部分私募基金证券账户，用于规避监管从事市场操纵等证券违法行为或非法配资活动，对第三方机构或个人利用私募基金从事违法犯罪活动持放任心态，合规风险突出。

本文来源：深圳私募基金业协会、深圳证监局

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 【近日热点】
资管新规丨私募基金登记备案丨香港1-9号牌照丨2025年基金从业考试丨私募基金管理人必备制度丨2024年税费政策丨各地开展私募自查汇总
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私募管理人信披丨私募基金重大变更丨风险测评和风险等级丨基金备案丨私募机构私募自查动态丨备案新规 丨新《公司法》丨市场准入负面清单
  【实操服务】
会计师事务所审计丨香港公司商业登记证申请丨2025企业所得税汇算清缴丨私募证券类基金法律风险要点梳理丨私募基金登记制丨私募基金管理人异常
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0.069820s