Group 1 - The Guangdong Securities Regulatory Bureau announced corrective measures against Guangzhou Wanlong Securities Consulting Co., Ltd. for violations in its securities investment advisory business [1] - The company failed to conduct regular suitability self-inspections, leading to inadequate execution of investor suitability management [1] - The compliance system of the company was found to be incomplete [1] Group 2 - Some marketing language used by the company contained false, exaggerated, or misleading content [1] - Individual employees who were 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] - Certain investment recommendations lacked reasonable basis and did not adequately disclose risks [1]
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
Xin Jing Bao·2025-12-09 14:31