每經(jing)編輯｜每經(jing)記者 劉海(hai)軍     

每經記者 劉海軍

1月15日，證(zheng)監會發布了《2015年私(si)募(mu)基金(jin)檢(jian)查執法情況通報》，公布了多(duo)項(xiang)執法措(cuo)施，其(qi)(qi)中也包(bao)括(kuo)對(dui)27家私(si)募(mu)做出(chu)了行政監管措(cuo)施。 《每日經濟新(xin)聞》.火山財富（微(wei)信公眾(zhong)號(hao)：huoshan5188）記者注意(yi)到(dao)，在(zai)27家私(si)募(mu)中，大(da)部分是從事房地產、股權投(tou)資和證(zheng)券(quan)投(tou)資業務，其(qi)(qi)中還不乏市(shi)場知名的私(si)募(mu)大(da)佬。

27家私募被行政監管

證(zheng)監會(hui)稱(cheng)，私(si)募基金自(zi)納入監管以來，發展(zhan)迅(xun)速, 目(mu)前已登記私(si)募基金管理人2.5萬(wan)家，基金規模5.1萬(wan)億。部(bu)分(fen)私(si)募基金規范運作，對推動創新創業、增(zeng)加融資渠道、促(cu)進經濟發展(zhan)做出(chu)了(le)切實貢獻。但(dan)私(si)募行業在(zai)迅(xun)速發展(zhan)過程中也(ye)存在(zai)一定的問題。

證監(jian)會檢(jian)查發現(xian),當前私募基金(jin)領(ling)域(yu)存在以下違(wei)法違(wei)規(gui)問題，甚(shen)至涉嫌非法集資(zi)等犯(fan)罪(zui)活動(dong)：登記(ji)備(bei)案信息(xi)失真，資(zi)金(jin)募集行(xing)(xing)為違(wei)規(gui)，投資(zi)運(yun)作行(xing)(xing)為違(wei)規(gui)，公司管理(li)失范，涉嫌違(wei)法犯(fan)罪(zui)。

為(wei)遏制違法犯(fan)罪和違規經(jing)營，對(dui)于檢查中發(fa)現的問題，2015年，證(zheng)監會區(qu)分(fen)不同情形，依法采(cai)取了(le)以(yi)下措施(shi)(shi)：一是(shi)對(dui)上(shang)海寶銀創贏投資(zi)管理(li)有(you)限公司作出行(xing)政(zheng)處罰(fa)。二是(shi)對(dui)27家(jia)私募基(ji)金管理(li)人(ren)采(cai)取行(xing)政(zheng)監管措施(shi)(shi)。三(san)是(shi)對(dui)2家(jia)私募銷(xiao)售機構采(cai)取行(xing)政(zheng)監管措施(shi)(shi)：上(shang)海好買信投資(zi)管理(li)有(you)限公司、武漢財富基(ji)石投資(zi)管理(li)有(you)限公司。四是(shi)對(dui)8個(ge)相關責(ze)任人(ren)采(cai)取行(xing)政(zheng)監管措施(shi)(shi)。

此外，還對(dui)9家(jia)私募基金(jin)管理人立(li)案稽查；對(dui)21家(jia)私募基金(jin)管理人涉嫌違法犯罪線索移送(song)公安機關或地方政府。

三類私募居多

證監會(hui)此(ci)次公(gong)(gong)(gong)(gong)(gong)(gong)(gong)布的重頭戲是宣布對以下(xia)27家私募采取行(xing)政監管(guan)(guan)措施：中(zhong)逢(feng)昊投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)（北(bei)(bei)京）有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、華夏恒業(ye)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)（北(bei)(bei)京）有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、六寶（北(bei)(bei)京）投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、北(bei)(bei)京威士曼惠世投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、北(bei)(bei)京恒天財富投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、太原新晉(jin)商創業(ye)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、 中(zhong)融金城投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)擔保有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、 晉(jin)商世紀山西股權(quan)(quan)(quan)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、譽霖恒信股權(quan)(quan)(quan)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)（大(da)連）有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、鼎立資(zi)(zi)(zi)產管(guan)(guan)理(li)(li)(li)(li)(li)(li)（大(da)連）有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、廣(guang)州(zhou)銀(yin)閏投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)顧問有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、廣(guang)州(zhou)安(an)州(zhou)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、廣(guang)州(zhou)穗富投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、上(shang)海凱石益正資(zi)(zi)(zi)產管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、上(shang)海歌(ge)斐(fei)資(zi)(zi)(zi)產管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、上(shang)海盛宇股權(quan)(quan)(quan)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)中(zhong)心（有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)合伙）、上(shang)海穩裕股權(quan)(quan)(quan)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si) 、上(shang)海寶銀(yin)創贏投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、湖北(bei)(bei)奧信創業(ye)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、深圳市金賽銀(yin)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、深圳市匯(hui)朋(peng)聯銀(yin)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、中(zhong)科(ke)招(zhao)商投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)集團股份有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、陜西圣禹投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、四(si)川垚盛投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、安(an)徽太平(ping)洋產業(ye)投(tou)(tou)(tou)(tou)(tou)資(zi)(zi)(zi)基金管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si) 、河南(nan)東達資(zi)(zi)(zi)產管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)、河南(nan)省以馬內利資(zi)(zi)(zi)產管(guan)(guan)理(li)(li)(li)(li)(li)(li)有(you)(you)(you)(you)(you)(you)限(xian)(xian)(xian)公(gong)(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)(si)(si)。

《每日經濟新聞》.火(huo)山財(cai)富（微信公眾號：huoshan5188）記者查閱資料后了解到，此次被證監會行政(zheng)監管(guan)的(de)27家私募中(zhong)，從業務(wu)類型上大概可(ke)以分為三類。

第一類是數量最(zui)多(duo)的(de)股(gu)權投(tou)資(zi)基金。如中逢昊投(tou)資(zi)、做(zuo)文化(hua)旅游(you)投(tou)資(zi)的(de)新晉商創業(ye)投(tou)資(zi)、譽(yu)霖恒(heng)信股(gu)權投(tou)資(zi) 、上(shang)海盛宇、湖北奧信創業(ye)投(tou)資(zi)、中科招商、太平洋產(chan)業(ye)投(tou)資(zi)、晉商世(shi)紀山西股(gu)權投(tou)資(zi)。

第(di)二類是房地(di)產私(si)募，如華夏恒業投資，主要(yao)是做地(di)產基金(jin)(jin)和(he)市政工程(cheng)基金(jin)(jin) ；威士曼惠世投資；上海穩裕股權投資管理有限公司，做房地(di)產基金(jin)(jin)；金(jin)(jin)賽銀基金(jin)(jin)；匯朋(peng)聯(lian)銀投資。

還(huan)有一大類是做(zuo)證券期貨投(tou)資(zi)的私(si)募，如(ru)鼎(ding)立資(zi)產(chan)(chan)、安州(zhou)投(tou)資(zi)、穗富投(tou)資(zi)、廣州(zhou)銀閏、凱石益正資(zi)產(chan)(chan)、寶(bao)銀創贏投(tou)資(zi)、東達資(zi)產(chan)(chan)、以馬內利資(zi)產(chan)(chan)等。

多位行業大咖牽涉其中

除(chu)了(le)以上三(san)大類之外，《每日經濟新聞》.火山財(cai)富(fu)（微信公(gong)眾號：huoshan5188）記者(zhe)了(le)解到，還有兩個(ge)有名(ming)的第三(san)方(fang)財(cai)富(fu)公(gong)司中槍：因歌斐資(zi)產是(shi)諾亞財(cai)富(fu)的全資(zi)子(zi)公(gong)司，此次(ci)諾亞財(cai)富(fu)和上文名(ming)單中的北(bei)京恒天財(cai)富(fu)投資(zi)管理有限公(gong)司一(yi)起上榜。

在證(zheng)券期貨(huo)私募(mu)中(zhong)，在去年11月因(yin)存在向(xiang)不特(te)定對象宣傳推介私募(mu)基金產(chan)(chan)品(pin)及其他違(wei)法違(wei)規(gui)行為被證(zheng)監會罰(fa)款40萬元(yuan)的寶(bao)銀創贏董事長崔軍、管理產(chan)(chan)品(pin)眾多的安州投(tou)資、一只產(chan)(chan)品(pin)進入2015年度私募(mu)業績前十的穗富投(tou)資、市場名人陳繼武領銜的凱石(shi)益正資產(chan)(chan)等都是名副其實的股票私募(mu)大(da)咖，而銀閏投(tou)資老板劉增(zeng)鋮和以馬內利資產(chan)(chan)董事長張明偉則是期貨(huo)市場響當(dang)當(dang)的大(da)鱷。

其中(zhong)，早(zao)在去年11月18日(ri)，深(shen)交所就發布(bu)(bu)了(le)(le)對(dui)穗富投資及其法(fa)定(ding)(ding)代表(biao)人給予公(gong)開譴責(ze)的公(gong)告，稱9月7日(ri)至9月25日(ri)間(jian)，穗富投資通(tong)過信托(tuo)產品(pin)累計減(jian)持同(tong)大股份(fen)，公(gong)司行(xing)為違反了(le)(le)相關(guan)規定(ding)(ding)，證監會隨后也(ye)在例行(xing)的每周(zhou)新聞發布(bu)(bu)會上表(biao)示(shi)情況屬實，并對(dui)此進行(xing)了(le)(le)立案調查。

在所(suo)有被(bei)監管的(de)27家私(si)募中，六寶投資(zi)基金沒有什么名(ming)氣，但(dan)記者(zhe)查閱資(zi)料后了(le)解到(dao)，此私(si)募是大名(ming)鼎鼎的(de)香港霍氏家族旗下公司(si)。

根(gen)據六(liu)寶基金(jin)(jin)官(guan)網介紹，六(liu)寶（北(bei)京）投資基金(jin)(jin)成立于2009年，是一家以股(gu)權(quan)基金(jin)(jin)管(guan)理、財(cai)富管(guan)理、風(feng)險(xian)管(guan)理及財(cai)務顧(gu)問為(wei)主營(ying)業(ye)務的專業(ye)基金(jin)(jin)管(guan)理機(ji)構。公司(si)(si)為(wei)霍(huo)氏實業(ye)有限(xian)公司(si)(si)成員企業(ye)，公司(si)(si)董(dong)事長(chang)是霍(huo)文芳，其為(wei)香(xiang)港霍(huo)氏實業(ye)有限(xian)公司(si)(si)董(dong)事長(chang)兼首席執行官(guan)。

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