又一家投顾机构遭罚！年内行业罚单已追平去年全年

Core Viewpoint - The regulatory environment for investment advisory firms has tightened significantly in 2023, with numerous penalties issued for violations related to misleading marketing practices and inadequate compliance measures [3][6]. Summary by Sections Regulatory Actions - The Guangdong Securities Regulatory Bureau has imposed corrective measures on Guangzhou Wanlong Securities Consulting Co., Ltd. for multiple violations, including inadequate investor suitability management and misleading marketing content [2][4]. - A total of 74 penalties have been issued to 49 investment advisory firms this year, matching the total number of penalties from the previous year [3][6]. Violations Identified - Wanlong Consulting was found to have six specific violations: 1. Failure to conduct regular suitability self-assessments. 2. Inadequate compliance management system. 3. Use of misleading, exaggerated, or deceptive marketing language. 4. Unregistered employees providing investment advice. 5. Offering investment advice to individuals without signed advisory service agreements. 6. Lack of reasonable basis for some investment advice and insufficient risk warnings [4][5]. Industry Trends - The trend of increasing penalties reflects a broader crackdown on misleading promotional practices within the investment advisory sector, with over 60% of firms facing corrective actions [6]. - Notably, Beijing Zhongfang Xinfeng Investment Management Consulting Co., Ltd. received the heaviest penalty this year, amounting to 3 million yuan, for severe compliance failures, including submitting false information to regulators [7].