证监会出手，又一家被撤销牌照

Core Viewpoint - The China Securities Regulatory Commission (CSRC) imposed a fine of 3 million yuan on Qingdao Damo Securities Investment Co., Ltd. and revoked its securities investment consulting business license due to serious violations of regulations [1][9]. Group 1: Violations and Penalties - Damo Investment failed to properly maintain and destroyed relevant documents and materials, leading to significant omissions in reports submitted to the securities regulatory authority [4][7]. - The company reported a total of 485 million yuan in unreported operating income from September 2022 to August 2024, indicating severe violations with a large number of affected clients [5][7]. - Four responsible individuals received penalties, including warnings and fines ranging from 30,000 to 600,000 yuan, highlighting the accountability of management and operational staff [9][10]. Group 2: Regulatory Context - The revocation of the business license is considered a "top-tier penalty" for licensed securities investment consulting firms, which is more severe than a monetary fine [10]. - Recent regulatory actions indicate a tightening stance on securities investment consulting firms, as evidenced by similar penalties imposed on other firms like Beijing Zhongfang Xinfeng Investment Management Consulting Co., Ltd. [11].