证券投资咨询机构违规情况屡禁不止，更有机构被撤销业务许可。近日，中国证监会发布的行政处罚决 定书显示，北京中方信富投资管理咨询有限公司（以下简称"中方信富"）存在违法行为，被处以300万 元的罚款，并撤销证券投资咨询业务许可。值得关注的是，中方信富及旗下子公司近年来也多次收到监 管函。而监管部门对于证券投资咨询机构违规的处罚力度也正在加大，公开信息显示，截至11月16日， 年内监管部门已对证券投资咨询机构开出68份监管函，处罚措施包括责令改正、警示、罚款、责令停止 接受新业务等。 被摘牌机构再添一例 证券投资咨询行业严监管态势延续。11月14日，中国证监会官网更新信息显示，对中方信富及其时任法 定代表人、董事长张松出具行政处罚决定书。 根据中方信富年初发布的内容，其在全国范围内拥有10位首席投顾以及博士、硕士和本科以上的逾80位 分析师团队。产品包括：中方智投智能风控系统、品牌投资顾问、斗牛财经——互联网金融服务平台、 中方智投——智能化投顾服务平台、基金类资产管理产品。 不过，在实际运营中，中方信富并未像其宣传般专业，该机构及旗下子公司更在近年来多次遭监管处 罚。例如，2025年4月，中方信富深圳分公司因业 ...

Core Viewpoint - The frequent violations by licensed securities investment consulting firms highlight the need for a fundamental reshaping of industry values rather than merely reducing the number of penalties [1][9]. Regulatory Actions - As of June 22, the China Securities Regulatory Commission (CSRC) and local securities regulatory bureaus issued 45 regulatory letters to 40 licensed securities investment consulting firms, with over half of these firms being named [5]. - Multiple firms, including Jinzheng Investment Consulting and Fujian Zhongxun Securities Research, have been ordered to suspend new client acquisitions for 3 to 6 months due to violations such as inadequate internal controls and misleading marketing practices [2][3][4]. Common Violations - Common issues among the firms include inadequate internal systems, misleading marketing, promises of investment returns, and unregistered personnel providing investment advice [5][8]. - The industry has seen a pattern of violations, with many firms failing to provide reasonable bases for investment advice and lacking adequate risk warnings [6]. Industry Challenges - Factors contributing to the high incidence of violations include profit-driven motives, lack of professional training among staff, and the rapid development of the industry outpacing regulatory frameworks [7]. - Intense competition within the industry has led some firms to lower service standards and resort to non-compliant practices to attract clients [7]. Recommendations for Improvement - Establishing a correct industry value system and enhancing internal management are crucial for improving service quality and compliance [10]. - Firms should focus on long-term investment principles, strengthen compliance training, and develop robust internal oversight mechanisms to detect and correct violations [10][12]. Regulatory Enhancements - There is a call for stricter regulatory measures and faster responses to violations, including the use of modern technology for dynamic monitoring of firms [12]. - Increased penalties for violations are suggested to create a more effective deterrent against non-compliance [11][12].