前三季度第三方投顾机构吃罚单50余张 过半涉及误导性宣传

Core Viewpoint - Sichuan QianKun Cloud Intelligent Technology Co., Ltd. has been ordered to rectify its operations due to inadequate securities investment advisory management and compliance mechanisms, reflecting broader issues within the third-party advisory industry in China [1][2][3]. Company Summary - Sichuan QianKun Cloud was established in 1997, with a registered capital of 30 million yuan, and is fully owned by Sichuan QianKun Information Technology Co., Ltd. [2] - The company is a licensed securities investment consulting institution, offering services including financial investment, securities investment, consulting, asset management, and training [2]. - QianKun Cloud offers various investment software and training programs, with annual fees for its products ranging from 15,800 yuan to 49,800 yuan, and training courses priced up to 29,800 yuan per month [2]. Regulatory Actions - The company has faced penalties twice this year, with the first penalty in January citing four main issues: misleading advertising, unregistered personnel providing advisory services, unreasonable investment advice, and inadequate compliance management [3]. - The second penalty was issued for similar compliance failures, indicating a systemic issue in the company's internal controls [3]. Industry Overview - A total of 53 penalties have been issued to third-party advisory institutions this year, with over half related to misleading advertising [4][5]. - Beijing Tianxiang Wealth Management Co., Ltd. has received the highest number of penalties, totaling four, while several other firms have also faced multiple fines [4]. - Common violations include misleading advertising and unqualified personnel providing advisory services, with 28 out of 53 penalties citing misleading promotions [5].