Core Viewpoint - Beijing Tianxiang Wealth Management Consulting Co., Ltd. Shandong Branch has been ordered by the Shandong Securities Regulatory Bureau to suspend the addition of new clients for three months due to non-compliance with regulatory requirements and failure to rectify previous issues [1][3][4]. Group 1: Regulatory Actions - The Shandong Securities Regulatory Bureau issued a decision on June 27, 2023, to suspend the addition of new clients for three months due to the company's failure to rectify issues identified in a previous warning letter [3][4]. - The company was found to have employed personnel not registered with the China Securities Association for marketing and customer service roles, indicating deficiencies in compliance management and risk control [3][4]. - The suspension requires the company to submit monthly written reports on its rectification efforts during the suspension period [4][7]. Group 2: Broader Industry Context - Other third-party investment advisory firms have also faced penalties, indicating a trend of regulatory scrutiny in the industry [5][6]. - For instance, on June 17, 2023, the Hainan Securities Regulatory Bureau issued a warning to an individual for providing investment advice without the necessary qualifications, reflecting ongoing compliance issues across the sector [5][6]. - The Hunan Securities Regulatory Bureau similarly mandated a three-month suspension for Hunan Jinzheng Investment Consulting Co., Ltd. due to inadequate internal controls and misleading marketing practices [6][7].
拒不整改!证监局:暂停新增客户
券商中国·2025-06-29 07:57