11月，证监会宣布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。 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。 经查明，大摩投资等当事人存在以下违法事实： 【深圳商报讯】（记者 陈燕青）12月19日，证监会宣布，对青岛大摩证券投资有限公司（下称大摩投 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，分 别处以60万元、50万元、40万元、30万元的罚款。 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为大摩投 资分支机构。2022年9月至2024年8月，大摩投资通过证监会机构监管相关信息系统逐月报送的相关财务 报表中，未包含大摩投资即墨分公司、大摩投资济南分公司财务数据，导致相关财务数据存在重大遗 漏。上述事项所涉财务期间为2022年8月至2024年7月，累计漏报营业收入4.85亿元，相关行为持续时间 长、涉案金额大，情节严重。 在听证中，大摩投资及其代理人以及4名责任人均提出申辩意见，希望免于处罚或从轻、减轻处罚。不 过，相 ...

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed administrative penalties on Qingdao Morgan Securities Investment Co., Ltd. for serious violations, including the destruction of important documents and significant omissions in submitted reports [2][4]. Group 1: Violations Identified - Qingdao Morgan Securities failed to properly maintain and intentionally destroyed relevant documents and materials related to its investment consulting services, which involved numerous clients and significant amounts of money [3][4]. - The company reported significant omissions in financial data submitted to the CSRC, specifically failing to include financial data from its branches, resulting in a cumulative underreporting of operating income amounting to 485 million yuan from August 2022 to July 2024 [3][4]. Group 2: Penalties Imposed - The CSRC has decided to impose a fine of 3 million yuan on Qingdao Morgan Securities and revoke its securities investment consulting business license [5][6]. - Individual penalties include a warning and a fine of 600,000 yuan for the operations supervisor, 500,000 yuan for the legal representative, 400,000 yuan for the technical staff responsible for data deletion, and 300,000 yuan for the compliance officer [6].

深圳商报·读创客户端记者 陈燕青 记者注意到，在被撤销牌照之前大摩投资已多次被监管处罚。去年8月，青岛证监局曾对大摩投资采取 责令暂停新增客户6个月的监管措施。去年12月，山东证监局对大摩投资济南分公司采取责令改正措 施。 据统计，截至目前，证监会及各地证监局、基金业协会等今年已对投资咨询公司开出近80张罚单，涉及 50家机构，罚单数量已超过去年全年。 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为大摩投 资分支机构。2022年9月至2024年8月，大摩投资通过证监会机构监管相关信息系统逐月报送的相关财务 报表中，未包含大摩投资即墨分公司、大摩投资济南分公司财务数据，导致相关财务数据存在重大遗 漏。上 ...

专题：北京公募基金高质量发展系列活动启动 新时代、新基金、新价值 近日，在北京证监局指导下，北京证券业协会携手北京公募基金管理人、基金销售机构、基金评价机构 及多家主流媒体，共同启动"北京公募基金高质量发展系列活动"。活动以"新时代·新基金·新价值——北 京公募基金高质量发展在行动"为主题，旨在贯彻落实《推动公募基金高质量发展行动方案》，打造北 京金融高质量发展新名片。 值得注意的是，京东肯特瑞还将展台与线上平台深度联动。现场参观者体验后，可通过京东金融APP继 续学习完整的投教课程，实现"线下体验、线上深化"的投教服务闭环。这种线上线下融合的创新模式， 突破了传统投教活动的时间和空间限制，使投教服务更加普惠、便捷。 京东肯特瑞相关负责人表示，作为第三方基金代销平台，京东肯特瑞不仅是连接投资者与优质产品的桥 梁，更是投资者教育的第一线守护者。平台依托京东的技术优势，将大数据、人工智能等技术与投教内 容深度融合。借助服贸会这一国家级平台，通过有温度、有创意的互动方式，有效触达广大市民，帮助 大家树立长期投资、价值投资和理性投资的理念。 业内专家认为，京东肯特瑞在服贸会上的创新展示，体现了金融科技与投资者教育的深 ...

Group 1 - The Beijing Securities Regulatory Bureau, in collaboration with the Beijing Securities Association and various financial institutions, launched a series of activities aimed at promoting high-quality development of public funds in Beijing, themed "New Era, New Fund, New Value" [1] - The activities include an interactive financial education section at the 2025 China International Fair for Trade in Services, showcasing various fund management companies and their educational initiatives [1][3] - JD Kentrui Fund, as a third-party fund distribution platform, emphasizes its role in investor education and aims to integrate technology with financial education to enhance public financial literacy [5][7] Group 2 - JD Kentrui Fund has created engaging educational materials and interactive experiences to simplify complex financial concepts for the public, attracting significant participation at the event [3] - The platform has established a seamless online and offline educational service model, allowing participants to continue their learning through the JD Finance app after the event [5] - Industry experts recognize JD Kentrui's innovative approach as a new paradigm for investor education, highlighting the importance of digital, scenario-based, and interactive methods in enhancing the effectiveness of financial education [7]

Core Viewpoint - The capital market serves as a "barometer" of the national economy and a "pool" for the wealth of millions of families, emphasizing the importance of investor education to promote rational decision-making among investors [1] Group 1: Investor Education Initiatives - The "Spark Plan" for investor education was launched on May 15, 2024, with the support of various financial institutions and regulatory bodies, aiming to gather resources and wisdom from across the market to enhance investor education [1] - The plan has formed a cross-industry alliance with over 100 member units, addressing the fragmentation in the investor education sector and promoting a collaborative ecosystem [1] Group 2: Innovative Communication Strategies - The "Spark Plan" has introduced diverse communication methods to overcome traditional limitations in investor education, hosting various activities that focus on innovative content delivery [2] - Notable initiatives include the "Building Financial Literacy" campaign, which attracted 66 institutions and 129 submissions, achieving over 10 million views and enhancing investors' financial awareness [2] - The "Financial Strong Nation Lecturer Competition" engaged over 1,000 lecturers from more than 100 financial institutions, creating engaging and informative courses on capital market topics [2] Group 3: Long-term Operational Framework - The "Spark Plan" has established a long-term operational platform that continuously produces quality educational content and activities, receiving widespread recognition from regulatory bodies and market institutions [3] - The initiative was awarded as a "2024 Typical Case of Social Responsibility" by Chinese economic media, highlighting its significant social value [3] - Moving forward, the plan aims to create regular activities and enhance technological empowerment, exploring new educational formats such as AI tools and interactive games to improve investor education quality [3]