Blog
04
2024
-
07
[Company News] Special Training Session on Typical Illegal and Non-Compliant Cases in Private Equity Firms and Compliance Risk Alerts
Release time：04 Jul,2024
During this training session, colleagues from the company’s Finance Department thoroughly presented and shared recent典型案例 of non-compliance—specifically, instances involving private equity firms engaging in non-private equity or conflicting businesses, improper trading of local government investment (LGI) bonds, failures in investment management, and raising funds from unqualified investors. They also provided an in-depth analysis and interpretation of the compliance risk factors embedded in these cases.
During this training session, colleagues from the company's Finance Department thoroughly presented and shared recent典型案例 of non-compliance—specifically, instances involving private equity firms engaging in non-private equity or conflicting businesses, improper trading of local government investment (LGI) bonds, failures in investment management, and raising funds from unqualified investors. They also provided an in-depth analysis and interpretation of the compliance risk factors embedded in these cases.
All employees actively participated, carefully reviewed and learned from the case studies, and deeply reflected on the lessons conveyed. They unanimously expressed their commitment to take these insights as a valuable lesson, ensuring they never repeat similar mistakes. Moving forward, they pledged to not only strictly adhere to laws, regulations, and regulatory requirements in their daily work but also to proactively identify potential gaps, conduct self-assessments, and address any shortcomings. By adopting an even more rigorous approach and upholding higher standards, they aim to strengthen the company’s compliance risk management and internal controls, fostering a healthier, more transparent, and orderly market environment for everyone to enjoy and protect together.
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Contact number:+86-23-68830100
Corporate email:hbjj@cqeppe.com
Contact address:
21st Floor, Jinxing Technology Building, No. 60 Xingguang Avenue, Liangjiang New District, Chongqing
No. 1, Building 1, 101 Cuibai Road, Chunhui Subdistrict, Dadukou District, Chongqing City