current position:Home>A Guiyang Business Department of capital securities received a warning letter, and the investment consultant assistant worked without a certificate

A Guiyang Business Department of capital securities received a warning letter, and the investment consultant assistant worked without a certificate

2022-06-24 06:09:19Bring shame on oneself


source : China Economic Net

China economic net Beijing 2 month 16 - The decision on issuing a warning letter to the Guiyang Dusi Road Securities Business Department of Capital Securities Co., Ltd. announced on the website of the Guizhou regulatory bureau of the China Securities Regulatory Commission today shows that , Guiyang Dusi Road Securities Business Department of Capital Securities Co., Ltd. employs employees who have not obtained the qualification of securities investment consultant as investment consultant assistants , And the assessment and management in accordance with the relevant measures for the management of investment consulting business of Capital Securities Co., Ltd . meanwhile , The sales department has the situation that the marketing personnel hand over the employee QR code to others to help open an account .

The above acts violate 《 Measures for compliance management of securities companies and securities investment fund management companies 》( SFC Order No 166 Amendment No ) Article 3 the 、《 Interim Provisions on investment advisory business 》( The SFC announced 〔2020〕66 Number ) Article 7. 、 Relevant provisions of Article 8 . according to 《 Measures for compliance management of securities companies and securities investment fund management companies 》 Article 32 、《 Interim Provisions on investment advisory business 》 Relevant provisions of Article 32 , Guizhou regulatory bureau of China Securities Regulatory Commission has taken the supervision and management measures of issuing warning letters to Guiyang Dusi Road Securities Business Department of Capital Securities Co., Ltd .

Relevant provisions :

《 Measures for compliance management of securities companies and securities investment fund management companies 》 Article 3 the : The compliance management of a securities fund operating institution shall cover all businesses , Various departments 、 Branches 、 Subsidiaries and all staff at all levels , Through decision 、 perform 、 supervise 、 Feedback and other links .

《 Measures for compliance management of securities companies and securities investment fund management companies 》 Article 32 : The securities fund operating institution violates the provisions of these measures , The CSRC may issue a warning letter 、 Order regular reports 、 Order correction 、 Regulatory talks and other administrative regulatory measures ; To the director who is directly responsible 、 The supervisors 、 Senior management and other responsible personnel , A warning letter may be issued 、 Order to attend the training 、 Order correction 、 Regulatory talks 、 Administrative supervision measures such as being identified as inappropriate candidates .

The securities fund operating institution violates the provisions of these measures, resulting in the company's unsound governance structure 、 Imperfect internal control , Directors who are directly responsible to the securities fund management institution and its directors 、 The supervisors 、 Senior management and other persons directly responsible , according to 《 Law of the people's Republic of China on securities investment funds 》 Article 24 、《 Regulations on the supervision and administration of securities companies 》 Article 70 administrative supervision measures shall be taken .

《 Interim Provisions on investment advisory business 》 Article 7. : A person who provides securities investment advisory services to clients , It shall have the practicing qualification of securities investment consulting , And registered as a securities investment consultant with the China Securities Association . A securities investment adviser may not be registered as a securities analyst at the same time .

《 Interim Provisions on investment advisory business 》 Article 8. : securities company 、 A securities investment consulting institution shall formulate a management system for securities investment consultants , Strengthen the registration of securities investment advisers 、 Responsibilities 、 Management of practice behavior .

《 Interim Provisions on investment advisory business 》 Article 32 : Securities investment advisers shall not broadcast 、 TV 、 The Internet 、 Newspapers and other public media , Make a purchase 、 Investment advice on selling or holding specific securities .

The following is the original :

【 Administrative supervision measures 】 Decision on Issuing warning letter to Guiyang Dusi Road Securities Business Department of Capital Securities Co., Ltd

Guiyang Dusi Road Securities Business Department of Capital Securities Co., Ltd :

After the check , Your business department may employ employees who have not obtained the practicing qualification of securities investment consultant as investment consultant assistants , And the assessment and management in accordance with the relevant measures for the management of investment consulting business of Capital Securities Co., Ltd . meanwhile , There is a situation in your sales department that the marketing personnel hand over the employee QR code to others to help open an account .

The above acts violate 《 Measures for compliance management of securities companies and securities investment fund management companies 》( SFC Order No 166 Amendment No ) Article 3 the 、《 Interim Provisions on investment advisory business 》( The SFC announced 〔2020〕66 Number ) Article 7. 、 Relevant provisions of Article 8 . according to 《 Measures for compliance management of securities companies and securities investment fund management companies 》 Article 32 、《 Interim Provisions on investment advisory business 》 Relevant provisions of Article 32 , We hereby take the supervision and management measures of issuing a warning letter to your business department .

If you are not satisfied with the supervision and management measures , It can be from the date of receipt of this decision 60 Submit an application for administrative reconsideration to the China Securities Regulatory Commission within days , Or from the date of receipt of this decision 6 Bring a lawsuit to the people's court with jurisdiction within months . During reconsideration and litigation , The above supervision and management measures shall not be suspended .

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