证监会日前更新披露的一则行政处罚决定书显示，证监会对青岛大摩投资咨询机构违法行为进行了立案 调查，青岛大摩证券投资有限公司等当事人未按照规定保存且毁损有关文件和资料，向证券监管部门报 送的文件存在重大遗漏。 证监会决定，对青岛大摩处以300万元罚款，并处撤销证券投资咨询业务许可。同时，证监会对4名相关 责任人给予警告，并分别处以60万元、50万元、40万元、30万元的罚款。 11月，证监会还曾对北京中方信富投资管理咨询有限公司处以300万元罚款，并撤销证券投资咨询业务 许可。 故意删除服务记录数据 漏报营业收入4.85亿元 经查明，青岛大摩等当事人未按照规定保存且毁损有关文件和资料。 2020年以来，青岛大摩济南分公司通过微信公众号"大摩指数"提供课程售卖及观看、发送资讯及互动聊 天等投资咨询服务，并通过第三方公司等引流方或推广公司为投教课程提供互联网引流推广服务。青岛 大摩未按照规定保存上述业务推广、服务记录等有关资料，且故意删除数据库中相关服务记录的部分数 据。相关业务涉及众多客户，金额较大，情节严重。 向证券监管部门报送的文件存在重大遗漏。青岛大摩即墨分公司与青岛大摩济南分公司均为青岛大摩分 支机构。2 ...

【导读】证监会对大摩投资处以300万元罚款，并处撤销证券投资咨询业务许可 又一家证券投资咨询机构，被"摘牌"！ 12月19日，证监会官网公布的行政处罚决定书显示，证监会对青岛大摩证券投资有限公司（以下简称大摩投资）处以300万元罚款，并处撤销证券投资咨 询业务许可。同时，证监会对4名相关责任人给予警告，并分别处以60万元、50万元、40万元、30万元的罚款。 经查，大摩投资未按照规定保存且毁损有关文件和资料，向证券监管部门报送的文件存在重大遗漏，相关违法行为情节严重。 故意删除服务记录数据 漏报营业收入4.85亿元 经查明，大摩投资等当事人存在以下违法事实： 一是未按照规定保存且毁损有关文件和资料。 经查，2020年以来，大摩投资济南分公司通过微信公众号"大摩指数"提供课程售卖及观看、发送资讯及互动聊天等投资咨询服务，并通过第三方公司等引 流方或推广公司为投教课程提供互联网引流推广服务。大摩投资未按照规定保存上述业务推广、服务记录等有关资料，且故意删除数据库中相关服务记录 的部分数据。相关业务涉及众多客户，金额较大，情节严重。 二是向证券监管部门报送的文件存在重大遗漏。大摩投资即墨分公司与大摩投资济南分公司均 ...

【导读】证监会对大摩投资处以 300 万元罚款，并处撤销证券投资咨询业务许可 中国基金报记者 晨曦 又一家证券投资咨询机构，被 " 摘牌 " ！ 12 月 19 日，证监会官网公布的行政处罚决定书显示，证监会对青岛大摩证券投资有限公司 （以下简称大摩投资）处以 300 万元罚款， 并处 撤销证券投资咨询业务许可。同时，证监 会对 4 名相关责任人给予警告，并分别处以 60 万元、 50 万元、 40 万元、 30 万元的罚 款。 经查，大摩投资未按照规定保存且毁损有关文件和资料，向证券监管部门报送的文件存在重 大遗漏，相关违法行为情节严重。 故意删除服务记录数据 一是未按照规定保存且毁损有关文件和资料。 经查， 2020 年以来，大摩投资济南分公司通过微信公众号 " 大摩指数 " 提供课程售卖及观 看、发送资讯及互动聊天等投资咨询服务，并通过第三方公司等引流方或推广公司为投教课 程提供互联网引流推广服务。大摩投资未按照规定保存上述业务推广、服务记录等有关资 料，且故意删除数据库中相关服务记录的部分数据。相关业务涉及众多客户，金额较大，情 节严重。 二是向证券监管部门报送的文件存在重大遗漏。大摩投资即墨分公司与 ...

此外，黄小锋作为爱赢投顾总经理、舒春龙作为爱赢投顾开福区分公司总经理，对上述违规事项负有主要责任，未按照相关规定勤勉尽责，被湖南证监局采 取出具警示函的行政监管措施，并记入证券期货市场诚信档案。 北京商报讯（记者 刘宇阳）12月15日，湖南证监局发布公告表示，经查，湖南爱赢证券投资顾问有限公司（以下简称"爱赢投顾"）及其开福区分公司存在 公司合规管理与内控机制不健全；新增业务场所未报告、对人员资质和执业行为管理不到位；落实湖南证监局于2025年3月27日下发的责令改正的监管措施 不到位；营销服务过程中存在承诺或暗示收益、相关风险提示不充分、虚假不实或误导性宣传的情形；个别营销人员冒用他人信息为客户提供服务，部分无 资质人员提供投资建议；部分投资建议没有相关依据；投诉处理机制不健全等问题。 湖南证监局指出，上述行为违反了相关规定，决定对爱赢投顾采取责令改正并暂停新增客户6个月的监管措施。在暂停期间，公司总部、各分支机构不得签 约新客户、老客户服务期结束后不得续约、不得以"投资者教育"等名义变相开展投资咨询业务。 湖南证监局表示，爱赢投顾应采取有效措施对上述违规行为予以整改，并严肃内部追责。整改期间需每月向湖南证 ...

但繁荣背后，对产业全景认知缺失导致的信息不对称问题也日益突出：企业仍困惑于AI落地场景的路 径选择，投资者难辨技术泡沫下的真实价值，政策制定者需更精准的产业数据用以支撑决策。 针对产业发展的核心痛点，项目主办方基于"扎实的产业调研实践"与"独特的资本视角解读"，系统梳理 了AI+药物研发、AI+医疗器械、AI+医疗服务三大赛道的发展现状，并在图谱中构建起覆盖"技术-场景- 资本"的完整分析框架。 在调研阶段，项目组深入复星医药、深势科技、微创机器人、仁济医院等25家标杆企业与医疗机构，通 过实地走访挖掘一手数据，收录了手术机器人、康养机器人、AI新药研发、AI医疗服务等多个领域行 业领跑者的典型案例，全面呈现AI技术在国内医疗健康产业落地的真实图景。 作为证监会批准的证券投资咨询机构，汇正财经的加入为图谱注入了关键的资本维度价值。其研究团队 不仅全程参与企业调研，更结合对产业周期的深刻研判，提出"结构性分化下的价值聚焦"观点——当前 市场正以"可规模化收入"和"清晰盈利路径"为核心标尺进行价值筛选，为投资者识别具备核心竞争力与 成长潜力的优质标的提供了更具参考价值的决策支撑。 凝聚了各方智慧，这份图谱将为AI ...

来源：市场资讯 （来源：券研社） 概述：顾问通过举办线上或线下的讲座和研讨会，吸引潜在客户参与，展示自己的专业知识，从 而赢得客户信任并获取新客户。 具体做法： 举办投资、退休规划、税务规划等主题的公开讲座和研讨会。 提供实用的财务知识、投资技巧或市场分析，吸引目标客户参与。 6. 高净值客户的私人俱乐部和圈子（Private Clubs and Networks for High-Net-Worth Individuals） 美国证券投资顾问获客的途径多种多样，依赖于顾问的专业声誉、市场定位以及客户需求。以下是美国 证券投资顾问常用的十大获客途径的详细解读： 1. 推荐和口碑营销（Referral and Word of Mouth） 2. 社交媒体和网络（Social Media and Networking） 3. 内容营销（Content Marketing） 4. 讲座和研讨会（Seminars and Webinars） 概述：推荐和口碑是证券投资顾问最重要的获客途径之一。优秀的顾问通过为现有客户提供卓越 的服务，获得客户的信任和满意，从而获得更多客户的推荐。 具体做法： 鼓励现有客户向家人、朋友 ...

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed a fine of 3 million yuan on Zhongfang Xinfeng, a third-party investment advisory firm, and revoked its securities investment consulting business license, marking it as the first firm to receive such a severe penalty in 2023 [2][4]. Summary by Sections Regulatory Actions - Zhongfang Xinfeng was fined 3 million yuan and had its securities investment consulting business license revoked due to severe violations, including failure to maintain required documentation and submitting false statements to regulatory authorities [2][4]. - The firm's legal representative, Zhang Song, received a warning and a fine of 600,000 yuan, along with a six-year ban from the securities market [4]. Violations - The firm failed to properly retain marketing service records for 13 clients from 2021 to 2023 and did not maintain complete records for 221 clients in 2020 [2][3]. - Zhongfang Xinfeng falsely reported to the Beijing Securities Regulatory Bureau about not acquiring new clients during a corrective period, while actually adding 223 new clients [3][4]. - The firm’s reported revenue and net profit figures for 2021 and 2022 did not match the audited financial statements [3][4]. Industry Impact - Following the revocation of Zhongfang Xinfeng's license, the number of licensed third-party investment advisory firms in China will decrease from 78 to 77 [5]. - The firm’s website is currently inaccessible, and its official WeChat account has not been updated since October 31 [5]. - Other firms, such as Shanghai Zhenghua and Fujian Tianxin, have also faced similar penalties in the past for serious violations, indicating a trend of strict regulatory enforcement against non-compliance [5][6].

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed severe penalties on Beijing Zhongfang Xinfeng Investment Management Consulting Co., Ltd. (Zhongfang Xinfeng) and its chairman Zhang Song for serious violations, including failure to maintain required documentation and submitting false materials, leading to a fine of 3 million yuan and the revocation of its core securities investment consulting license [1][2]. Summary by Sections Violations and Penalties - Zhongfang Xinfeng's violations are characterized as systemic and severe, with a history of non-compliance over several years, including the failure to maintain complete marketing service records for 13 clients from 2021 to 2023 and missing records for 221 clients in 2020 [2][3]. - The company was found to have submitted false materials to regulators, including a false statement regarding the addition of new clients during a suspension period, where it actually added 223 clients [2][3]. Business Impact - The revocation of Zhongfang Xinfeng's securities investment consulting license means it can no longer conduct related advisory business, marking a significant operational setback for the firm, which has been in the industry since 1997 [3]. - The company currently employs only 32 staff members, indicating a relatively small scale within the national context of licensed securities investment consulting firms [3]. Historical Context of Violations - Zhongfang Xinfeng has faced multiple regulatory penalties over the past five years for various compliance issues, including misleading marketing practices and inadequate internal controls [4][5][6][7][8][9][10][11]. - The CSRC has previously penalized the company for similar violations, indicating a pattern of non-compliance that has persisted despite prior warnings [4][5][6][7][8][9][10][11]. Industry Implications - The case of Zhongfang Xinfeng serves as a warning to the securities investment consulting industry about the importance of compliance, as regulatory scrutiny is expected to increase [12]. - The trend of revoking licenses for severe violations is not isolated, with other firms facing similar fates, suggesting a shift towards stricter enforcement of compliance standards within the industry [12].

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed significant penalties on Beijing Zhongfang Xinfeng Investment Management Consulting Co., Ltd. (Zhongfang Xinfeng) and its chairman Zhang Song for serious violations, including failure to maintain required documentation and submitting false materials to regulators, highlighting the regulatory body's zero-tolerance approach to compliance in the securities investment consulting industry [1][2][3]. Summary by Sections Regulatory Actions - Zhongfang Xinfeng was fined 3 million yuan, and its securities investment consulting license was revoked, marking a significant enforcement action against a long-established firm [1][4]. - Chairman Zhang Song received a warning, a fine of 600,000 yuan, and a six-year ban from the securities market, reflecting the regulatory emphasis on holding management accountable for compliance failures [4][5]. Violations and Findings - The CSRC's investigation revealed systematic violations, including the failure to properly maintain marketing service records for 13 clients from 2021 to 2023 and missing records for 221 clients in 2020 [2][3]. - Zhongfang Xinfeng submitted false statements regarding client acquisition during a regulatory suspension, claiming no new clients were added while actually onboarding 223 clients [3]. - The company also falsified financial data in regulatory reports for 2021 and 2022, with discrepancies between reported revenues and audited figures [3]. Historical Context - Zhongfang Xinfeng has a history of compliance issues, having received multiple penalties over the past five years for various violations, including misleading information and inadequate compliance management [5][6][7][8][9][10][11]. - Other firms in the industry have faced similar fates, with notable cases of license revocation for severe violations, indicating a trend of increasing regulatory scrutiny [11][12]. Industry Implications - The case of Zhongfang Xinfeng serves as a warning to the securities investment consulting industry, signaling the end of lax compliance practices and the necessity for robust internal controls and professional investment capabilities to survive in a stricter regulatory environment [12].

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 need for compliance and professionalism [1][2][7] Regulatory Actions - The China Securities Regulatory Commission (CSRC) fined Zhongfang Xinfu 3 million yuan and revoked its securities investment consulting license due to serious compliance failures [1][7] - The penalties reflect a broader trend of tightening regulations in the investment consulting sector, with 67 administrative penalties issued to 45 firms in 2023 alone [2][10] Violations Identified - Zhongfang Xinfu's violations included failure to maintain required documentation and submitting false information to regulatory authorities [4][5] - Specific issues included not preserving marketing service records for 13 clients and falsely reporting the addition of 223 new clients during a suspension period [5][6] Industry Trends - The investment consulting industry is experiencing a significant shake-up, with a shift towards stricter compliance and professional standards as a result of increased regulatory oversight [2][12] - The reliance on misleading marketing tactics is becoming unsustainable, as firms are now required to focus on professional research capabilities and robust compliance management [12][13] Historical Context - Zhongfang Xinfu, established in 1997, was one of the early players in the investment consulting market, but has faced multiple regulatory issues in recent years, indicating systemic compliance failures [8][11] - The trend of regulatory actions has seen four licensed consulting firms expelled from the market in the past three years due to serious violations [11][14] Future Implications - The recent penalties signal a shift in the regulatory landscape, emphasizing the importance of compliance and internal controls within investment consulting firms [13][14] - The industry is expected to undergo further consolidation as firms that fail to adapt to the new regulatory environment may face similar consequences [14]