大摩证券投资，被撤销业务许可！

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed administrative penalties on Qingdao Morgan Securities Investment Co., Ltd. for serious violations, including the destruction of important documents and significant omissions in submitted reports [2][4]. Group 1: Violations Identified - Qingdao Morgan Securities failed to properly maintain and intentionally destroyed relevant documents and materials related to its investment consulting services, which involved numerous clients and significant amounts of money [3][4]. - The company reported significant omissions in financial data submitted to the CSRC, specifically failing to include financial data from its branches, resulting in a cumulative underreporting of operating income amounting to 485 million yuan from August 2022 to July 2024 [3][4]. Group 2: Penalties Imposed - The CSRC has decided to impose a fine of 3 million yuan on Qingdao Morgan Securities and revoke its securities investment consulting business license [5][6]. - Individual penalties include a warning and a fine of 600,000 yuan for the operations supervisor, 500,000 yuan for the legal representative, 400,000 yuan for the technical staff responsible for data deletion, and 300,000 yuan for the compliance officer [6].