证监会表示，北京中方信富投资管理咨询有限公司(下称"中方信富")未按照规定保存有关文件和资料的行为所 涉客户数量大，相关行为曾被中国证监会行政处罚。中方信富在行政监管措施禁止展业期间私下开展业务、拓 展客户，且向证券监管部门报送虚假报告。上述违法行为情节严重、性质恶劣。 11月14日，证监会发布了一则行政处罚决定书。 2020年2月27日，北京证监局对中方信富出具《关于对北京中方信富投资管理咨询有限公司采取责令暂停新增 客户监管措施的决定》，责令中方信富全面整改，暂停新增客户六个月。2021年12月12日，中方信富向北京证 监局报送《关于整改期间是否新增客户的情况说明》，称在整改期间无新增客户。经查，中方信富存在暂停业 务期间新增223名新客户行为，与中方信富报送的情况说明内容不符。 中方信富报送的2021年12月、2022年12月的证券投资咨询机构监管报表中，中方信富2021年、2022年的"营业 收入-本年累计金额"和"净利润-本年累计金额"与公司经审计的审计报告对应科目数据不符。 2023年2月8日，中方信富向北京证监局报送的自查报告中，关于相关微信公众号的运营及公众号的文章撰写情 况存在虚假陈述。 中 ...

Core Viewpoint - Fujian Securities Regulatory Bureau has issued penalties against Fujian Zhongxun Securities Research Co., Ltd. for multiple violations in its securities investment consulting business, leading to a three-month suspension of new client acquisition [1][5]. Group 1: Violations Identified - The regulatory body identified six specific violations by Zhongxun Securities, including inadequate corporate governance, misleading promotional practices, lack of reasonable basis for investment advice, insufficient risk warnings, unregistered personnel providing advice, and incomplete public disclosure of consulting information [4][7]. - The company was found to have engaged in misleading advertising and made promises of returns, which are common issues among investment consulting firms [7]. Group 2: Regulatory Actions - The Fujian Securities Regulatory Bureau mandated corrective actions and a three-month suspension on acquiring new clients, effective from the date of the regulatory measure [5][6]. - The vice chairman, Lin Huijie, was also warned for disseminating false information through a personal social media account, further highlighting individual accountability within the firm [5][6]. Group 3: Industry Context - The regulatory environment for investment consulting firms has become increasingly stringent, with over 20 penalties issued this year alone for various violations, including misleading marketing and inadequate internal controls [7][9]. - A list of 22 investment consulting firms, including Zhongxun Securities, has been compiled that are currently under suspension for new client acquisition, reflecting a broader trend of regulatory enforcement in the industry [10].