营销话术存在虚假、夸大或误导性内容,万隆证券咨询被责令改正
Bei Ke Cai Jing·2025-12-09 14:05

Core Viewpoint - The Guangdong Securities Regulatory Bureau has imposed corrective measures on Guangzhou Wanlong Securities Consulting Co., Ltd. due to multiple violations in its securities investment advisory business [1] Summary by Categories Regulatory Actions - The company is required to rectify its operations following the announcement from the Guangdong Securities Regulatory Bureau [1] Violations Identified - The company failed to conduct regular suitability self-assessments, leading to inadequate execution of investor suitability management [1] - The compliance system within the company is not adequately developed [1] - Some marketing language used by the company contained false, exaggerated, or misleading content [1] - Certain employees, not registered as securities investment advisors with the China Securities Association, provided investment advice to clients [1] - Investment advice was given to individuals who had not signed a securities investment advisory service agreement with the company [1] - Some investment recommendations lacked reasonable basis and did not sufficiently warn about risks [1]