未备案先展业、营销夸大宣传等：深圳启富投顾被责令改正，董事长收警示函

Core Viewpoint - Shenzhen Securities Regulatory Bureau has ordered Shenzhen Qifu Securities Investment Consulting Co., Ltd. to rectify multiple compliance issues, emphasizing the need for comprehensive reform within 30 days of receiving the decision [2][4]. Group 1: Compliance Issues - The company conducted financial advisory services related to public company acquisitions and equity incentives without proper filing [2]. - Misleading and exaggerated marketing practices were identified, including promises of investment returns without adequate risk disclosures [2]. - Some personnel providing investment advice were not registered as securities investment consultants with the China Securities Association [2]. - There were deficiencies in compliance management and investor suitability management [2]. Group 2: Regulatory Actions - The Shenzhen Securities Regulatory Bureau has mandated the company to submit a written report detailing corrective actions within 30 days [2]. - The chairman and general manager, Lu Zhaohui, has been issued a warning letter due to his direct involvement in the financial advisory business issues [4]. Group 3: Company Background and Training Initiatives - Shenzhen Qifu Securities Investment Consulting Co., Ltd. was established in 2001 and is approved by the China Securities Regulatory Commission, with a registered capital of 20 million yuan [4]. - The company organized a compliance training session on January 29, 2026, focusing on core compliance requirements in the securities investment consulting industry [5]. - The training aimed to enhance understanding of regulations, protect client information, prevent conflicts of interest, and address accountability for violations [5].