记者丨 易妍君 见习记者刘夏菲 编辑丨巫燕玲 罚款300万元、撤销业务牌照，行业年内"最严罚单"宣告了一家28年老牌投顾机构的主业终 结，也加速了行业深度洗牌、规范化专业化发展的进程。 近日，证监会官网披露一则行政处罚决定书：对北京中方信富投资管理咨询有限公司（以下简 称中方信富） 处以300万元罚款，并撤销其证券投资咨询业务许可 ；对其时任法定代表人、董 事长张松给予警告并罚款60万元， 同时采取6年证券市场禁入措施。 而招致此番重罚的根源，则是公司在合规底线上的一再失守。处罚书显示，中方信富及张松主 要存在两大违法事实：一是未按照规定保存有关文件和资料；二是向证券监管部门报送的文 件、资料有虚假陈述。 事实上，此次对中方信富的"重拳出击"，仅是近年来投顾行业监管趋严的一个缩影。 同花顺iFinD数据显示，按处罚日期计，截至11月19日， 年内监管部门已对45家证券投资咨询 机构开出67份行政处罚单 ，受罚主体不乏天相财富、启明星、百瑞赢等知名持牌机构。 业内人士指出，违法成本与收益的倒挂，催生了部分投顾机构的侥幸心理。随着行业严监严管 趋势渐明，以往依赖"忽悠式"营销、忽视合规内控的粗放模式已难以为继。专 ...

Core Viewpoint - The severe penalty imposed on Beijing Zhongfang Xinfu Investment Management Consulting Co., Ltd. marks a significant turning point in the investment consulting industry, highlighting the increasing regulatory scrutiny and the push towards professionalization and standardization within the sector [1] Summary by Relevant Categories Regulatory Actions - The China Securities Regulatory Commission (CSRC) has imposed a fine of 3 million yuan on Zhongfang Xinfu and revoked its securities investment consulting business license [1] - The company's chairman, Zhang Song, received a warning and a fine of 600,000 yuan, along with a 6-year ban from the securities market [1] Violations - Zhongfang Xinfu was found to have committed two major violations: failure to properly maintain required documents and materials, and submitting false statements in documents to the regulatory authorities [1] Industry Trends - This penalty is part of a broader trend of increasing regulatory actions within the investment consulting industry, with 45 firms facing 67 administrative penalties by November 19 of the current year [1] - Notable firms such as Tianxiang Wealth, Qimingxing, and Bai Ruiying have also been penalized, indicating a widespread crackdown on compliance failures in the industry [1]