虚假营销、无牌上岗！广州万隆证券涉多项违规被责令改正

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, highlighting ongoing regulatory scrutiny in the industry [2][4][5]. Group 1: Violations Identified - Wanlong Securities has been found to have six major violations, including inadequate execution of investor suitability management, misleading marketing language, and unlicensed personnel providing investment advice [4][5]. - Specific violations include failure to conduct regular suitability self-assessments, incomplete compliance system construction, and providing investment advice without proper agreements with clients [4][5]. Group 2: Regulatory Actions - The Guangdong Securities Regulatory Bureau has mandated Wanlong Securities to rectify these issues and submit a written report within 30 days of receiving the corrective decision [4]. - Since 2023, Wanlong Securities has received four administrative regulatory decisions, indicating a pattern of repeated violations, particularly concerning misleading advertising [5]. Group 3: Company Background - Wanlong Securities was established in 1992, headquartered in Guangzhou, with a registered capital of 55 million yuan, and is one of the first certified securities consulting institutions by the China Securities Regulatory Commission [4]. - The company offers various products priced between 9,800 yuan to 38,800 yuan per quarter, with annual fees exceeding 100,000 yuan for certain products [4].