误导性营销，直播账号使用管理不规范！又一家投顾违规被出具警示函

Core Viewpoint - The regulatory environment for securities advisory institutions remains stringent, with multiple firms facing penalties for misleading marketing practices [2][9][13]. Group 1: Regulatory Actions - On July 21, Heilongjiang Securities Regulatory Bureau issued a warning letter to Rongwei Securities, requiring a three-month rectification period and submission of a report [2][5]. - In addition to Rongwei Securities, two other advisory firms in Sichuan, Sichuan Dajue Decision and Chengdu Huiyang, were also ordered to correct their practices due to similar violations [9][12]. - As of June 2025, a total of 24 securities advisory institutions or their branches have been subjected to measures that suspend the addition of new clients [3][14]. Group 2: Specific Violations - Rongwei Securities was found to have misled clients regarding service capabilities, mismanaged live streaming accounts, and failed to report the departure of certain executives [4][5]. - Sichuan Dajue Decision was cited for inadequate compliance management, failure to fully inform clients, and misleading marketing [10]. - Chengdu Huiyang faced issues with weak compliance management, lack of reasonable basis for investment advice, and misleading marketing [11]. Group 3: Industry Trends - The trend of increasing regulatory penalties in the securities advisory sector mirrors that of brokerage firms, indicating a broader crackdown on misleading practices [9][14]. - Misleading marketing, particularly regarding guaranteed returns, is prevalent as firms strive to attract clients [14].