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又一家被采取监管措施,暂停新增客户3个月
中国基金报·2025-06-17 09:22

Core Viewpoint - The article discusses the regulatory actions taken against Hunan Jinzheng Investment Consulting Co., Ltd. for compliance and internal control issues, highlighting the increasing scrutiny on investment consulting firms in China [1][2]. Group 1: Regulatory Actions - Hunan Jinzheng was ordered to rectify its practices and suspend new client acquisitions for three months due to inadequate internal controls and misleading marketing practices [1][2]. - The firm was found to have provided investment advice without proper registration and failed to adequately address client complaints [1][2]. - Other firms, such as Guozhanggui Securities and Fujian Zhongxun Securities, have also faced similar regulatory measures for comparable compliance failures [3]. Group 2: Company Background - Hunan Jinzheng was established in 1997, has a registered capital of 50 million yuan, and employs over 400 staff, making it one of the first approved securities investment consulting firms in China [2]. - The company's main business includes investment advisory, asset management, and financial consulting services [2].