一年两次被“禁新”！深圳珞珈投资因直播荐股等违规被责令改正并暂停新增客户6个月，董事长遭约谈

Core Viewpoint - Shenzhen Luojia Investment Consulting Co., Ltd. has been ordered to rectify its operations and suspend new client acquisitions for six months due to violations in marketing, investment advice, and internal compliance management [1][2]. Group 1: Violations Identified - The company was found to have misleading and false content in its marketing promotions [2]. - Some investment advisors engaged in recommending stocks and predicting individual stock trends during public live broadcasts [2]. - Individuals not registered as securities investment advisors with the China Securities Association provided investment advice to clients [2]. - There were deficiencies in the management of investor suitability [2]. - Internal control and compliance management were ineffective, with some business and compliance tasks being conducted by third-party institutions [2]. Group 2: Regulatory Actions - The Shenzhen Securities Regulatory Bureau cited violations of multiple regulations, including the Interim Provisions on Securities Investment Advisory Business and the Measures for the Suitability Management of Securities and Futures Investors [2]. - The company is required to comprehensively rectify the identified issues and has been ordered to suspend new client acquisitions for six months from the date of the decision [2]. - The chairman, Chen Jie, is subject to regulatory discussions due to the violations [1][2]. Group 3: Historical Context - This marks the second time in a year that Luojia Investment has faced a suspension of new client acquisitions, having previously been suspended for three months due to similar violations [3]. - The company has been operational for 29 years and was among the first to receive a securities investment consulting business qualification from the China Securities Regulatory Commission [3]. - Luojia Investment holds a Securities Investment Consulting Business License, one of only 78 companies in China to possess this certification [3].