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CSRC warns CICC subsidiary about violation of principal investment guarantee rules

The Shenzhen branch of the China Securities Regulatory Commission (CSRC) has issued a warning letter to CICC-Qianhai and its general manager, on the grounds that the investment manager implicitly guaranteed principal investments to investors in its private equity funds. CSRC Shenzhen issued two separate warning letters on its website this week, one addressed to the firm and the other to…

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