Core Viewpoint - Shenzhen Securities Regulatory Bureau has issued administrative regulatory measures against Shenzhen Luojia Investment Consulting Co., Ltd. due to various violations in its operations [1][2]. Group 1: Violations Identified - The company was found to have false and misleading content in its marketing promotions [1]. - Some investment advisors engaged in recommending stocks and predicting individual stock trends during public live broadcasts [1]. - Individuals not registered as securities investment advisors with the China Securities Association provided investment advice to clients [1]. - There was inadequate management of investor suitability [1]. - The effectiveness of internal controls and compliance management was insufficient, with some business and compliance tasks being carried out by third-party organizations [1]. Group 2: Regulatory Actions - The Shenzhen Securities Regulatory Bureau has mandated the company to comprehensively rectify the identified issues [2]. - The company is prohibited from acquiring new clients for a period of six months from the date of receiving the decision [2]. - The company has the right to appeal the regulatory measures within 60 days or file a lawsuit within six months [4].
珞珈投资被责令改正并暂停新增客户6个月,涉虚假宣传等
Sou Hu Cai Jing·2026-01-17 13:36