青岛大摩投资公司牌照被撤销

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed a fine of 3 million yuan on Qingdao Morgan Securities Investment Co., Ltd. (referred to as Morgan Investment) and revoked its securities investment consulting business license due to serious violations of regulations [1][2]. Group 1: Violations and Penalties - Morgan Investment failed to properly maintain and destroyed relevant documents and materials, leading to significant omissions in reports submitted to the securities regulatory authority [1]. - The company provided investment consulting services through its Jinan branch via a WeChat public account, but did not retain necessary promotional and service records, and intentionally deleted parts of the database related to these services [1]. - The CSRC also penalized four responsible individuals with fines ranging from 30,000 to 600,000 yuan [1]. Group 2: Financial Reporting Issues - From September 2022 to August 2024, Morgan Investment reported financial statements that omitted data from its Yimeng and Jinan branches, resulting in a cumulative underreporting of operating income amounting to 485 million yuan [2]. - The duration of the reporting omissions was extensive, and the amount involved was significant, indicating serious violations [2]. Group 3: Regulatory History - Morgan Investment has a history of regulatory penalties, including a six-month suspension from acquiring new clients imposed by the Qingdao Securities Regulatory Bureau in August of the previous year [3]. - In December of the previous year, the Shandong Securities Regulatory Bureau mandated corrective measures for the Jinan branch of Morgan Investment [3]. - In total, 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 [3].