宣传推介不规范，天相财富一分公司被警示！今年已吃罚单4张

Core Viewpoint - Tianxiang Wealth Management has received multiple regulatory penalties in 2023, indicating significant compliance issues and a pattern of misleading promotional practices [2][3][5]. Regulatory Issues - Tianxiang Wealth's Hebei branch has been cited for four main violations: insufficient compliance in promotional activities, lack of risk warnings in investment advice, unregistered employees conducting investment consulting, and ineffective compliance management [3][4]. - The company has received a total of four penalties this year, making it the third-party investment advisory firm with the highest number of penalties in 2023 [3][5]. Misleading Marketing Practices - Misleading marketing has been identified as a major area of concern for Tianxiang Wealth, with violations including exaggerated claims of past performance and failure to provide adequate risk disclosures [5][6]. - The company has been penalized for using unqualified personnel for marketing and for making unsubstantiated promises regarding investment returns [4][5]. Company Background - Tianxiang Wealth Management was established in October 2015 and is a licensed securities investment consulting firm with a registered capital of 20 million yuan [6]. - The actual controller, Lin Yixiang, is a seasoned expert in capital markets with over 30 years of experience and has previously held significant positions within regulatory bodies [6]. Regulatory Perspective - Lin Yixiang has publicly emphasized the importance of strict regulation in the capital markets, suggesting that current regulatory measures need to align closely with market realities [6].