How much can a fund manager be punished for violating the provisions of the Fund Law

If you don't chase up in the early stage, it is not that you don't operate, but that you understand the risks in order to operate in a targeted manner. In the bull market, the hot spots are often switched, and the sharp rise in financial stocks and petroleum and petrochemical stocks is to create a demonstration effect for other sectors and open up other ** space.

It is a legal way to manage money, and according to the management measures of the People's Republic of China, it is a channel for public financial management. At the same time, there are also risks in financial management, and investment needs to be cautious.

Investment Principles:1Investment Objectives:

Of course, it's to increase the value of your money. Is that really for buying a house? Or is it used for retirement?

Or is it a child's education**? Or is it traveling? Different objectives are directly related to the designation of investment strategies.

The investment methods used are naturally different. For example, if I need to buy a house in the next month or half a year, then I can't invest a lot of money in **type**, although the income is higher, but the risk is also higher. Therefore, you must be clear about what you want to do and use this investment.

2.Investment horizon.

This is related to the purpose above. The shorter the time, the more important it is to invest in products with relatively stable volatility and strong liquidity, such as currencies**. If the investment period is longer, you can invest in products with large fluctuations and low liquidity requirements, such as regular wealth management products and **type**.

3.If you are a risk averse, you should not use too many assets for products with large fluctuations, such as ** and **, but should invest in those stable and less volatile products according to your own tolerance, such as currencies, bonds or balanced products.

**Investment Philosophy:

Generally speaking, as ordinary people, indexed investment, diversified investment and long-term investment methods are adopted. The index is basically a simulation of the trend of the underlying index, and we don't need to spend too much time to analyze, we only need to judge the trend of the index. Adhere to the principle of long-term investment and regular investment, and avoid frequent buying and selling.

Generally speaking, the more you fall, the more you buy, the more you buy, the more you buy, the more you buy,

Extended information: **, in English is fund, in a broad sense, it refers to a certain amount of funds set up for a certain purpose. It mainly includes trust investment, provident fund, insurance, retirement, and various wills.

From an accounting point of view, ** is a narrow concept that refers to funds with a specific purpose and use. We refer to **investment** mainly.

If you have a license, it is legal, and if you don't have a license, and some of the licenses are indeed illegal to operate across the scope. This kind of can only be distinguished by understanding the specific situation. Simply divide the public offering ** and private placement **, the purchase is some domestic transaction content, if it involves foreign transaction content, you must pay attention to it, this kind of too much is not clear and balanced with a license to answer the calendar to do the photo. Rotten paragraph.

It's not illegal, but there may be a small part of the sedan chair gold that asks the Shenshan family, and the person in charge may run away with money at that time, so buy ** to buy a reliable platform such as Alipay, WeChat, and so on.

**It is not illegal to shed lead bushes,**It is divided into many types of chains, there are public offerings** and private placements**, most of us buy**is a public offering**, which is managed by a formal **company **, and is supervised by the China Banking and Insurance Regulatory Commission. Chain cherry blossom is a legitimate investment channel.

But it's not illegal, but it's not illegal, but it's the manager who controls it or other people who are engaged in work, it's possible that Kai Zhicong will engage in illegal activities, and it can't be generalized, but as an investor, you don't need to worry about the safety of the company, after all, it's sold by the bank.

The ** of the big defeat is not illegal, it is all compliant, but there will also be a small number of illegal **, this should be careful of thousands of jujubes and don't be deceived.

It must not violate the potato law, otherwise there is no such thing as a market for stock fraudsters, **** are normal operations, Alipay, WeChat and many other platforms can be purchased, it is definitely not illegal, otherwise these Pingbu Zhitai will not have.

What does this depend on**. Under normal circumstances, all of the products in the Fanbi market are established after the approval of the China Securities Regulatory Commission, and they are all legal. It is illegal to establish a sedan chair without the approval of the China Securities Regulatory Commission.

**How is it illegal to do it by the state, it is an investment channel for the Heyin Jing Eggplant Law, mainly a mixture of manuscript dates** and ****, and the stove is inspected to invest**. There are also currencies **, bonds**, and cautious investment.

**It is approved by the state and is not illegal.

Whether it is a public offering or a private placement, as long as it is not registered in the China Die Association, it is illegal. Not protected by the law and the Mask Act.

Of course, it is not illegal and illegal, because they are all registered through formal channels and will be subject to laws and regulations, so it is not an illegal act.

It should not be illegal, but it is also necessary to be cautious in investing, it is not easy to make money, don't easily believe in the good things that fall from the sky, or you still have to be down-to-earth, step by step.

**It is regular, legal,** and there are strict requirements for issuance, which you can rest assured of.

It is not illegal for a ** to be able to enter the fundraising period, which has been recognized by the state.

No, if it's illegal, you can't see it.

**Whether it is illegal depends on whether it is a formal license issued by the state, and if it is regular, it is legal**.

Is it illegal? **There are those who are illegal, and those who are not.

Legal Analysis: A certain amount of money that is set up for a certain purpose. The law stipulates that the manager and the custodian shall perform their fiduciary duties in accordance with the law and the contract.

Holders of ** shares enjoy the benefits and bear the risks according to their ** shares.

Legal basis: **Investment** Law of the People's Republic of China Article 4 Engaging in **investment malpractice** activities shall follow the principles of voluntariness, fairness, honesty and credibility, and shall not harm the interests of the state and the interests of the public and the common interests of the society.

Answer]: C**The custodian can report to the supervision and management department in a timely manner for the **manager's violations and violations.

The directors, supervisors, senior managers and other employees of the publicly offered managers shall not hold any position as the custodian or other managers, and shall not engage in transactions and other activities that harm the interests of the property and share holders. Below I will share with you the test points of ** Prohibited Behaviors of Managers, welcome to read and browse.

1. Learning Objectives

Prohibited Conduct by the Administrator.

2. Test site shorthand

The directors, supervisors, senior managers and other employees of the publicly offered managers shall not hold any position as the custodian or other managers, and shall not engage in transactions and other activities that harm the interests of the property and share holders.

The managers of the public offering and their directors, supervisors, senior managers and other employees shall not engage in the following acts:

1) Mixing its inherent property or other people's property with **property to engage in **investment.

2) Unfair treatment of the different ** properties under its management.

3) Taking advantage of ** property or position to be a ** share holder. People make profits.

4) Promise profits or bear losses to ** share holders in violation of regulations.

5) Embezzlement and misappropriation of ** property.

6) Divulging undisclosed information obtained as a result of the convenience of one's position, or using such information to engage in or explicitly or implicitly engaging in related trading activities by others.

7) Dereliction of duty and failure to perform duties in accordance with regulations.

8) Other acts prohibited by laws, administrative regulations and ***** supervision and management institutions.

3 Synchronous self-test

The acts that the managers of the public offering and their directors, supervisors, senior managers and other employees shall not have include ().

unfair treatment of the different ** properties under its management.

Embezzlement and misappropriation of ** property.

Dereliction of duty and failure to perform duties in accordance with regulations.

Engaging in ** investment in the same way as their inherent property or the property of others.

a.ⅰ、b.ⅰ、

c.ⅲ、d.ⅰ、

Answer] D Analysis] The **Investment** Law of the People's Republic of China stipulates that the ** manager of the public offering ** and its directors, supervisors, senior managers and other employees shall not engage in the following acts: (1) Mix their inherent property or the property of others with **property to engage in **investment. and (2) unfair treatment of the different ** properties under its management.

3) Using ** property or position to seek benefits for people other than ** share holders. (4) Promise the income or bear the loss to the holder of ** share in violation of the law. 5) Embezzlement and misappropriation of ** property.

6) Divulging undisclosed information obtained as a result of the convenience of one's position, or using such information to engage in or explicitly or implicitly engaging in related trading activities by others. 7) Dereliction of duty and failure to perform duties in accordance with regulations. 8) Other acts prohibited by laws, administrative regulations and ***** supervision and management institutions.

For the general violations of laws and regulations of the ** manager of the public offering, including the non-compliance of the internal governance structure, audit monitoring and risk control management of the ** manager, which has not yet caused a major risk, the China Securities Regulatory Commission mainly adopts regulatory measures such as ordering correction within a time limit, restricting orders, and ordering the replacement of relevant personnel.

According to the provisions of the Investment Law, if the manager of the public offering violates laws and regulations, or its internal governance structure, audit and control and risk control management do not meet the requirements, the China Securities Regulatory Commission shall order it to make corrections within a time limit; If the correction is not made within the time limit, or its behavior seriously endangers the sound operation of the ** manager and damages the legitimate rights and interests of the ** share holders, the China Securities Regulatory Commission may take the following measures against it according to different circumstances:

Restricting business activities and ordering the suspension of some or all operations.

Restricting the distribution of dividends, restricting the payment of remuneration and providing benefits to directors, supervisors, and senior management Restricting the transfer of inherent property or creating other rights over inherent property Ordering the replacement of directors, supervisors, and senior management personnel or restricting their rights Order the relevant shareholders to transfer equity or restrict the exercise of shareholder rights by the relevant shareholders. **After rectification, the manager shall submit a report to the China Securities Regulatory Commission. If the China Securities Regulatory Commission (CSRC) meets the relevant requirements, it shall lift the relevant measures taken against it within 3 days from the date of completion of acceptance.

**If the manager's internal fibrillation Zheng Department's governance structure, audit monitoring and risk control management do not meet the requirements, and have not caused a significant impact, the China Securities Regulatory Commission will mainly take regulatory measures such as ordering corrections within a time limit, restricting orders, and ordering the replacement of relevant personnel. **After rectification, the manager shall submit a report to the Supervision Committee.

If the CSRC meets the relevant requirements, it shall lift the relevant measures taken against it within 3 days from the date of completion of acceptance.