暂停新增客户3个月！老牌投顾被罚，核心高管“应约谈话”

Core Viewpoint - The article highlights the regulatory penalties imposed on Huiyan Zhito, a consulting firm, by the Shanxi Securities Regulatory Bureau due to multiple violations, including misleading marketing practices and inadequate compliance controls [1][3][5]. Group 1: Regulatory Actions - On January 16, the Shanxi Securities Regulatory Bureau issued five fines against Huiyan Zhito and its responsible personnel for seven violations, including misleading promotional content and non-compliance in live streaming operations [1][3][5]. - Huiyan Zhito has been ordered to rectify its practices and is prohibited from acquiring new clients for three months, during which it must report its corrective actions monthly to the regulators [6]. Group 2: Specific Violations - The violations identified include misleading promotional content that implied guaranteed returns, lack of reasonable basis for investment advice, and failure to disclose potential investment risks adequately [5]. - Additionally, unregistered personnel provided investment advisory services, and there were issues with compliance management and employee conduct [5]. Group 3: Accountability of Management - The regulatory actions also target the management of Huiyan Zhito, with key executives being required to participate in regulatory discussions due to their responsibility for the violations [7]. - Specific individuals, including the chairman and other senior management, are held accountable for the firm's compliance failures, emphasizing the importance of governance in regulatory adherence [7]. Group 4: Previous Penalties - Prior to the recent penalties, Huiyan Zhito faced a significant fine of 1.8 million yuan for using misleading marketing phrases such as "buying randomly guarantees profit" [2][8]. - The firm has a history of regulatory issues, with multiple branches previously penalized for similar violations, indicating a pattern of non-compliance [8].