证监会出手，又一家被撤销牌照

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed a fine of 3 million yuan on Qingdao Damo Securities Investment Co., Ltd. and revoked its securities investment consulting business license due to serious violations of regulations [1][6]. Group 1: Violations and Penalties - Damo Investment failed to properly maintain and destroyed relevant documents and materials, leading to significant omissions in reports submitted to the securities regulatory authority [3][5]. - The company reported a cumulative omission of operating income amounting to 485 million yuan from September 2022 to August 2024, involving multiple clients and significant amounts [4][5]. - Four responsible individuals received penalties, including fines of 600,000 yuan, 500,000 yuan, 400,000 yuan, and 300,000 yuan, along with warnings [6]. Group 2: Company Background and Previous Issues - Qingdao Damo Securities Investment Co., Ltd. was established in 1997 with a registered capital of 52 million yuan and holds qualifications for securities investment consulting [6]. - The company faced previous regulatory actions, including a six-month suspension of new client acquisition due to various compliance failures, such as not publicizing complaint hotlines and inadequate data governance [7]. - The investment education base of Damo Investment was rated "unsatisfactory" in the 2025 provincial assessment results [8]. Group 3: Regulatory Environment - The revocation of the business license is considered a severe penalty, indicating a stringent regulatory environment for licensed securities investment consulting firms [9]. - Recent trends show an increase in regulatory scrutiny and enforcement actions against securities investment consulting firms, highlighting a tightening regulatory landscape [9].