A sword shows advisory company is undeserved sale, violate compasses manage those who reach a branch to violate the problem such as compasses to superintend punish activity, pulling open heavy curtain.
On May 14, bureau of Beijing card inspect expresses in government-owned net, be aimed at the posture that violates compasses tall hair, bureau of Beijing card inspect is active and active, much arrange develops simultaneously, check with the spot is checked and be being informed against for grasper, concentration develops a series of punish activities, from severe investigate 2 negotiable securities to invest advisory orgnaization (next abbreviation " advisory company " ) break the law violate compasses act, allot administration to superintend measure to 6 orgnaizations, obtain favorable result.
Not complete count discovers reporter of certificate business China, since this year, the card inspect bureau of and other places of Beijing, Shanghai, Dalian, already opened those who go out 9 cases to be aimed at advisory company to superintend at least punish sheet, superintendency measure includes to issue administration to punish a decision book, instruct time-out to add a client newly, issue caution case to wait.
Superintend hit out severe check two orgnaizations
According to announcement of bureau of Beijing card inspect, current, advisory company of Beijing area under administration adds up to 18, advisory company branch 13. Since 2018, area under administration seeks advice from what the company reachs its branch to inform against complain frequency hair, exceed 200 sheet, main report is undeserved sale, violate compasses manage reach a branch to violate the problem such as compasses.
For this, near future of bureau of Beijing card inspect hits out quickly, tell limited company of investment information science and technology to Shanghai negotiable securities (next abbreviation " Shanghai negotiable securities is connected " ) Beijing branch and Dalian Hua Xun invest Inc. (next abbreviation " Dalian Hua Xun " ) Beijing branch breaks the law violate check of compasses behavior put on record and administrative punishment, strong punish seeks advice from market chaos to resemble, purge industry discipline, purify market environment.
Join two case, bureau of Beijing card inspect summed up the 3 big move that violate compasses punish in the light of advisory company.
It is focusing superintendency difficulty, take the lead in punishing advisory company branch. Advisory company is violated compasses establish a large number of branches, negligence joins compasses government, popularize business blindly, solicit a client wantonly, inform against complain numerous, make current superintendency difficult point.
For this, bureau of Beijing card inspect is violated with the branch compasses manage for breach, to consulting a company the branch makes check of put on record and administrative punishment inside rate preexistence system, strong awe seeks advice from company and branch.
2 it is to punish severely undeserved sale, diligence of aggrandizement advisory orgnaization is responsible duty. Current, partial advisory orgnaization is solicit a client, negligence sale joins compasses government, release the information of affirmatory accrual or misdirect investor in great quantities, had made disease of advisory orgnaization dense.
For example, shanghai negotiable securities connects Beijing branch to ever was sent in great quantities for many times " seek the 60% profit that keep a copy only " , " a day board either blow " the sale word art that waits for height of content height likeness, mode to unite, misdirect market investor, touch superintendency bottom line, bureau of Beijing card inspect is fast to this put on record, severity is investigated, consolidate market order in time.
3 it is to uphold superintendency authority, to overtly agreeing but covertly opposing behavior carries high-pressured state. The fluky to hold psychology, advisory company that does not cooperate investigation, maintaining 0 tolerant attitudes from beginning to end, increase execute the law strength, investigate stoutly.
For example, bureau of Beijing card inspect discovers Shanghai negotiable securities connects Beijing branch to escape superintend, the assault before the spot is checked deletes the service data in 30 mobile phones, occupy selective examination scale of mobile phone amount is as high as 56% ; And branch of Beijing of Dalian China dispatch already was being issued hair administration superintends measure, during its suspend adding a client newly, specific requirement must not begin new client to send the case that considers a service, still offer for new client cast consider a service, sign up for send false material... bureau of Beijing card inspect is fast to this put on record, fast summary manages, maintain first " damage relevant document and data " behavior, carry out administration to punish stoutly, strong uphold superintendency authority.
Bureau of inspect of much ground card leaves at least go out 9 cases to punish sheet
According to announcement of bureau of inspect of each district card, not complete count discovers reporter of certificate business China, since this year, bureau of inspect of card of and other places of Beijing, Shanghai, Dalian, already opened those who go out 9 cases to be aimed at advisory company to superintend at least punish sheet, superintendency measure includes to issue administration to punish a decision book, instruct time-out to add a client newly, issue caution case to wait.
Specific in light of, 9 the Communist Party of China that punish sheet include 3 to instruct time-out to add a client newly, 2 are issued administrative punishment decides a book, 2 are issued caution case, 1 is instructed correct, 1 is instructed correct reach increase to interior joins compasses examination number and carry sex compasses to check a report.
Among them, on May 5, shanghai negotiable securities connects Beijing branch to be issued by bureau of Beijing card inspect administrative punishment decides a book, because of,part " to investor acceptance accrual, transmission false or misdirect investor information " , "Damage relevant document and data " be in fine with 500 thousand yuan with 300 thousand yuan. Notable is, be in early this year on Feburary 22, bureau of Shanghai card inspect with respect to Ceng Yin " in beginning negotiable securities to invest advisory business course, the sale that did not save partial product leaves mark material " , instruct Shanghai negotiable securities to connect correct reach increase to interior joins compasses examination number and carry sex compasses to check a report.
And on April 26, branch of Beijing of Dalian China dispatch because " the document that sends to superintendency orgnaization newspaper, data has false statement " be in with 250 thousand amerce. And since 2017, this orgnaization is done by 6 ground superintendency orgnaization at least provenance punishs a decision, the problem involves false conduct propaganda, inside do not accuse to reach the designated position wait for many respects.
3 large hole wait for problem focusing fill
The course combs announcement of bureau of relevant card inspect further, reporter of certificate business China discovers, problem of advisory company main presence can differentiate for 3 respects:
The first, undeserved sale. The basis superintends investigation, personnel of a few sale invests advisory business promotion and client to solicit a process in negotiable securities in, existence undertakes to serving ability and associate with outstanding achievement the sale of sex of false, disloyal, misdirect is publicized, appear even the circumstance such as affirmatory accrual; Also have sale personnel for outstanding achievement, recommend risk grade prep above actively to average investor its risk bears the product of ability or service; Content of table of article of individual perhaps sale is involved cast consider the sensitive content such as product earnings.
The 2nd, inside accuse to be not worth. The company offers link to be put in archives leaving mark to be short of in business promotion, service lose a case; Investment was not informed when company investment adviser offers negotiable securities to invest advisory service to the client advisory full name, recommend reason zephyr danger to hint; The branch is put in independent business group, fail to assure to add up to photograph of dimensions of compasses management and risk control and service means, business to suit; Negotiable securities investment studies the report makes those who invest a proposal related advisory basis, did not show what negotiable securities considers to report to release person, issue date to the client; Even individual contract did not press a regulation to remove in the agreement in serving an agreement consultative provision.
The 3rd, aptitude is short of break. The personnel that main body provides negotiable securities to invest advisory service to the client partly now does not have negotiable securities investment to seek advice hold job seniority, did not register in association of trade of Chinese negotiable securities register invest adviser for negotiable securities; And when advisory company offers negotiable securities to invest advisory service to the client through the channel such as small letter, APP, existence is not fair show or inform a client to invest advisory and real full name and negotiable securities investment to seek advice hold industry code case.
Hua Na some appears on the market public figure of business of certificate business manager tells a reporter, existing law laws and regulations is very stringent to dropping the demand that consider, even if be,have normal aptitude hold a card to cast consider, always also should notice to want to undertake to the client complete risk announces, the risk should be accorded with to add up to rule requirement when offerring investment to suggest, and can offer a proposal but cannot replace a client to do business absolutely the operation.
High pressure lasts, superintendency clew risk
In fact, superintend the violates compasses much hair trend to consulting a company to have early be aware of. According to the data that card inspect can release on January 11, 2018, card inspect can seek advice from an orgnaization to 58 in all or its branch adopts administration to superintend measure, adopt the administration that charges time-out to add a client newly to superintend measure to 35 among them. Give to answering lawfully administration is punished, already implemented administrative punishment or program of check of the put on record that start.
According to the relevant provision of existing law laws and regulations, advisory orgnaization ought to abide by the regulation of legal laws and regulations, follow the principle of objective, justice and honest credence, scrupulously and respectfully fulfil his duty to defend, assiduous and responsible, cogent protection investor closes right increase; The sale that must not have sex of false, disloyal, exaggerated, misdirect to serving ability and associate with outstanding achievement is publicized; Do not get affirmatory yield; Must not share yield to perhaps partake with investor agreement investment loss; The personnel that advisory orgnaization is engaged in negotiable securities investing advisory business ought to be had from job seniority.
Card inspect still can warn broad investor, before accepting negotiable securities to invest advisory service, ought to check service orgnaization and personnel whether lawful qualification reachs hold to whether exist to be restricted business situation. Material information can be met in card inspect website " superintendency information publishs list " inquire with website of association of trade of Chinese negotiable securities, the orgnaization that already can be adopted to suspend adding client administration newly to superintend measure by card inspect among them or the time-out that be adopted by association hold the personnel of disciplinary treatment arranges trade already clearly show. When investor is accepting negotiable securities to invest advisory service, discover advisory orgnaization existence violates those who violate compasses act, also can dial relevant hotline to undertake complaining informing against.
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