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under the heavy regulatory strikes, the "rat warehouse" of the fund industry has almost nowhere to hide.

recently, the china securities regulatory commission issued an administrative penalty decision on tu erfan, the then legal representative, executive director and general manager of shenzhen qianhai haiya financial holdings co., ltd. (a private equity manager, referred to as "haiya financial holdings"). it is reported that while tu erfan held a senior position in haiya financial holdings, he conducted convergence transactions by controlling personal accounts and "haiya financial holdings" accounts, and the total convergence transaction amount exceeded 2.1 billion yuan. in response, the china securities regulatory commission decided to confiscate his illegal gains and ban him from the securities market for six years.

in fact, many fund managers have been punished for convergence trading this year. according to industry insiders, "rat warehouse" behavior has always been a problem that regulatory authorities have focused on combating. under the policy guidance of maintaining a fair environment in the stock market, the living space of such behavior will gradually be compressed.

private equity ceo’s “rat warehouse” exposed

public information shows that haiya financial holdings is a private equity investment fund manager. tu erfan has served as the legal representative, executive director and general manager of haiya financial holdings since august 2018, and obtained the fund practitioner qualification on september 3, 2018. certificate.

"quantum one", "quantum two" and "quantum six" are fund products established by haiya financial holdings. from december 25, 2020 to march 20, 2023, tu erfan learned that "quantum one" and "quantum six" no. 2 fund products’ position information, investment decision-making information and other undisclosed information. from july 22, 2022 to march 20, 2023, tu erfan also knew undisclosed information such as position information and investment decision-making information of the "quantum no. 6" fund product.