虚假、误导性营销宣传频发，多家证券投顾机构遭监管点名

Core Viewpoint - The frequent regulatory penalties faced by securities advisory firms, particularly for misleading marketing practices, highlight significant compliance issues within the industry [1][5][6]. Group 1: Regulatory Actions - Heilongjiang Securities Regulatory Bureau issued a warning letter to Rongwei Company for misleading marketing and improper use of live broadcast accounts, requiring a corrective report within three months [1][2]. - Rongwei Company has been penalized twice this year, with a previous fine of 30,000 yuan for false statements regarding employee status [2][3]. - As of July 23, nearly 40 securities advisory firms have received regulatory penalties this year, with over 60% related to false or misleading marketing [1][5]. Group 2: Industry Issues - The rise in misleading marketing and unlicensed personnel in securities advisory firms is attributed to profit motives, weak compliance awareness, and intense industry competition [1][5][6]. - A significant number of advisory firms, including Chengdu Huiyang and Sichuan Dajue, have faced corrective measures for similar compliance failures [3][5]. - The industry has seen 78 licensed securities advisory firms, with 24 under suspension for new client acquisition due to compliance issues [5]. Group 3: Recommendations for Improvement - Industry experts suggest enhancing professional investment service capabilities and compliance management to foster healthy industry development [1][6][7]. - There is a call for regulatory bodies to strengthen compliance management and innovate regulatory methods to address new marketing practices through social media and live broadcasts [6][7].