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，长城基金因为合规内控问题被深圳证监局责令改正并暂停受理相关品类产品注册申请3个月；华安基金、嘉实基金等多家公司因合规内控、公司治理等原因，被监管责令改正、暂停受理固定收益类公募基金产品注册申请3个月。这些都成为监管层对内控问题敲打的重要信号。　　其次，投资运作不规范则是另一大高频问题，例如海富通基金因私募资管业务投资管理不规范，个别私募资产管理计划主动管理不足，私募资产管理业务投资权限管理制度执

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