国投证券深圳分公司违规收警示函 向投资者承诺收益等

Summary of Key Points Core Viewpoint - The Shenzhen Securities Regulatory Bureau has issued a warning letter to Guotou Securities Co., Ltd. Shenzhen Branch due to multiple violations in their public fund sales practices, including unauthorized profit guarantees and involvement of unqualified personnel in fund sales [1][6]. Regulatory Violations - The company was found to have employees promising returns to investors during public fund sales, which is a violation of the regulations prohibiting profit guarantees and misleading statements [1][2]. - Specific violations include: - Employees without fund sales qualifications participating in fund sales [1][6]. - Providing clients with answers to knowledge assessments related to account permissions [1][6]. Relevant Regulations - Violations pertain to the "Measures for the Supervision and Administration of Publicly Raised Securities Investment Fund Sales Institutions" and the "Measures for the Suitability Management of Securities and Futures Investors" [1][2][5]. - The relevant articles cited include: - Article 24, which prohibits misleading statements and profit guarantees [2]. - Article 30, which mandates the establishment of internal assessment mechanisms focused on investor interests [3]. - Article 3, which requires institutions to understand investor situations and ensure appropriate product matching [5]. Administrative Measures - The Shenzhen Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure based on the identified violations [1][6]. - The company has the right to appeal the decision within 60 days or file a lawsuit within six months [6][7].