蓝鲸新闻2月6日讯，近日，中国证券监督管理委员会上海监管局发布行政监管措施决定书，剑指上海见龙资产管理合伙企业（有限合伙）。
决定书显示，上海见龙资产管理合伙企业（有限合伙）在开展私募基金业务过程中存在以下事实：
一、未妥善保存个别投资者适当性管理方面的记录。
二、未通过录音或录像方式记录向个别投资者揭示《证券期货投资者适当性管理办法》规定的信息。
以上行为违反了《私募投资基金监督管理暂行办法》《证券期货投资者适当性管理办法》的规定。中国证券监督管理委员会上海监管局决定对上海见龙资产管理合伙企业（有限合伙）采取出具警示函的行政监管措施。
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