天相财富珞珈投资慧研智投3家投顾接连被罚 均被暂停新增客户

Core Viewpoint - Multiple investment advisory firms have faced regulatory penalties, resulting in the suspension of new client acquisitions due to compliance failures and misleading promotional practices [2][3] Group 1: Regulatory Actions - Beijing Securities Regulatory Bureau has ordered Beijing Tianxiang Wealth Management Consulting Co., Ltd. to rectify issues and suspend new client acquisitions for 3 months due to false and misleading promotions and inadequate compliance management [2] - Shenzhen Securities Regulatory Bureau has mandated Shenzhen Luojia Investment Consulting Co., Ltd. to rectify its practices and suspend new client acquisitions for 6 months, citing misleading marketing content and unauthorized investment advice [3] - Shanxi Securities Regulatory Bureau has taken similar actions against Huiyan Zhito Technology Co., Ltd., ordering a 3-month suspension of new client acquisitions due to misleading marketing and inadequate internal controls [3] Group 2: Identified Issues - Tianxiang Wealth was found to have issues with false advertising and failure to implement prior regulatory measures effectively, indicating poor internal controls [2] - Luojia Investment was noted for misleading promotional content, unauthorized investment advice from unregistered personnel, and inadequate investor suitability management [3] - Huiyan Zhito was criticized for misleading marketing, lack of proper risk disclosure, and non-compliance with registration requirements for investment advisors [3]