多个券商APP使用非持牌内容存在合规风险丨测评

Core Insights - The article emphasizes the importance of content compliance in brokerage apps, highlighting it as a lifeline for platform survival and user trust [1][3] - The evaluation focuses on the content sources and compliance ratings of 23 brokerage apps, revealing that while most content comes from licensed institutions, there are significant compliance risks [1][10] Content Compliance Evaluation - China Galaxy Securities, Huatai Securities, and Shenwan Hongyuan scored high in content compliance, while Bank of China Securities, Dongguan Securities, and Xinda Securities performed poorly [3] - Despite the prevalence of licensed content, some brokerage apps still harbor non-licensed content, particularly in VIP information and individual stock pages [3][10] Regulatory Framework - Financial information services must obtain appropriate qualifications as per regulations issued by the Central Cybersecurity and Informatization Commission and the National Internet Information Office [5][6] - The National Internet Information Office has published lists of registered financial information service providers, totaling 38 institutions as of the latest updates [6] Non-Licensed Content Risks - Non-licensed content is often found in prominent sections of brokerage apps, such as VIP content and stock pages, posing risks of misleading users and potential financial losses [10][12] - The presence of non-licensed content can lead to users falling into traps set by unqualified "experts," emphasizing the need for users to rely on legitimate investment education [12] Compliance Requirements - Institutions providing securities investment consulting must be licensed, and non-licensed entities risk engaging in illegal securities activities [8] - The National Internet Information Office and the China Securities Regulatory Commission have initiated measures to combat illegal securities activities online, aiming for significant improvements by mid-2023 [12]