证监会开出300万元罚单 大摩投资被撤销牌照

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed a fine of 3 million yuan on Qingdao Morgan Securities Investment Co., Ltd. (hereinafter referred to as Morgan Investment) and revoked its securities investment consulting business license due to serious violations of regulations [1][2] Group 1: Regulatory Actions - Morgan Investment has been penalized for failing to properly maintain and destroying relevant documents and materials, as well as for significant omissions in the financial reports submitted to the securities regulatory authority [1][2] - The CSRC has also issued warnings and fines to four responsible individuals, with penalties ranging from 300,000 yuan to 600,000 yuan [1] Group 2: Violations and Consequences - The company did not retain records of its investment consulting services provided through its WeChat account "Morgan Index" since 2020, and intentionally deleted parts of the database related to service records, affecting numerous clients and involving substantial amounts [1] - From September 2022 to August 2024, Morgan Investment failed to report financial data from its branches, leading to a cumulative omission of operating income amounting to 485 million yuan [2] Group 3: Historical Context - Prior to the revocation of its license, Morgan Investment had faced multiple regulatory penalties, including a six-month suspension on acquiring new clients imposed by the Qingdao Securities Regulatory Bureau in August of the previous year [2] - As of now, the CSRC and local regulatory bodies have issued nearly 80 fines to investment consulting firms this year, involving 50 institutions, surpassing the total number of fines issued in the previous year [2]