暂停新增客户3个月！这家第三方投顾，劝客户贷款买产品……

Core Viewpoint - Hainan Securities Regulatory Bureau has decided to suspend Hainan Port and Macao Information Industry Co., Ltd. from acquiring new clients for three months due to multiple violations of regulations [1][3]. Group 1: Violations Identified - The company failed to properly assess the risk tolerance of individual clients, leading to inconsistencies in key information on risk assessment questionnaires [2][3]. - Some employees opened certified self-media accounts to receive live broadcast rewards and e-commerce commissions, violating regulations on professional conduct [2][3]. - Employees provided investment advice without proper registration as securities investment advisors, and some engaged in misleading marketing practices [3][5]. Group 2: Regulatory Actions - The company is required to rectify the identified issues, hold responsible personnel accountable, and enhance internal controls to improve compliance management [4]. - The suspension of new clients will last for three months, and the company must submit a written rectification report upon completion of the corrective actions [4]. Group 3: Industry Context - Multiple third-party investment advisory firms have faced similar regulatory actions this year, indicating a trend of increased scrutiny in the industry [5][6][7]. - Firms such as Shanghai Zhongguangyun Securities Consulting Co., Ltd. and Beijing Zhongfu Jinshi Consulting Co., Ltd. have also been penalized for misleading marketing and compliance failures, receiving three-month suspensions [5].