Zhongxin Jingwei, December 21 -- On the 21st, the Hunan Securities Regulatory Bureau disclosed its decision to order Yingya Investment Consulting to take corrective administrative supervision measures.
Screenshot**: Hunan Securities Regulatory Bureau** (the same below).
The Hunan Securities Regulatory Bureau said that after investigation, Yingya Investment Consulting had the following problems: imperfect internal control and compliance management;Inadequate IT governance;Individual persons who are not registered as investment advisers in the China ** Industry Association provide investment advice to clients;Misleading marketing claims in the process of business promotion;The risk warning of investment advice provided to individual clients is not in place;Individual employees fail to inform customers in a timely manner after leaving the company;Unfair treatment of customers in business promotion. The above facts are proved by evidence such as fact confirmation, company description, WeChat screenshots, etc.
The above behavior violates Articles 3, 7, 8, 19 and 24 of the Interim Provisions on Investment Advisory Business (CSRC Announcement No. 66 of 2020) and Articles 4 and 5 of the Interim Provisions on Strengthening the Supervision of the Use of "Stock Recommendation Software" to Engage in ** Investment Advisory Business (CSRC Announcement No. 66 of 2020). In accordance with the provisions of Article 32 of the Interim Provisions on Investment Consulting Business and Article 6 of the Interim Provisions on Strengthening the Supervision of the Use of "Stock Recommendation Software" to Engage in Investment Consulting Business, the Hunan Securities Regulatory Bureau decided to take administrative supervision measures against the company to order corrections.
On the same day, the Hunan Securities Regulatory Bureau also disclosed the decision on taking regulatory measures against Huang Lei, and the Hunan Securities Regulatory Bureau said that the above behavior violated the regulations, and Huang Lei, as the person in charge of Yingya ** Investment Consulting, bears leadership responsibility for the above violations. In accordance with Article 32 of the Interim Provisions on Investment Advisory Business and Article 6 of the Interim Provisions on Strengthening the Supervision of the Use of "Stock Recommendation Software" to Engage in Investment Consulting Business, the Hunan Securities Regulatory Bureau requested Huang Lei to go to the Hunan Supervision Bureau of the China ** Regulatory Commission (No. 459, North Station Road, Furong District, Changsha City, Hunan Province) to accept a regulatory interview.
According to the National Enterprise Credit Information Publicity System, Yingya Investment Consulting*** changed its name on July 3, 2023, and the business scope of the current stock manager **Investment Consulting*** is **Investment Consulting;Call Center;Category 1 Value-added telecommunications services;Internet information services;The second category of value-added telecommunications services, etc. The legal representative is Huang Lei.
Screenshot**: National Enterprise Credit Information Publicity System**.
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