醒狮_证监会坚决查处证券投资咨询机构违法违规行为

????证监会微信公众号消息,近期,针对部分证券投资咨询机构(以下简称咨询机构)发生的不当营销和违规经营问题,证监会加大执法检查力度,整肃行业纪律,集中查处了一批个案。2018年,对58家咨询机构或其分支机构采取行政监管措施,其中对35家采取责令暂停新增客户的行政监管措施。对依法应予以行政处罚的,已实施行政处罚或启动立案稽查程序。  下一步,证监会将会同行业协会,继续保持高压监管态势,加大检查执法和自律管理的力度,对存在违法违规行为的咨询机构,综合运用行政监管措施、行政处罚以及纪律处分等手段,从严查处和追究有关机构和人员的责任;情节严重的,撤销业务许可;涉嫌犯罪的,依法移送司法机关追究刑事责任。  咨询机构应当遵守法律法规的规定,遵循客观、公正和诚实信用的原则,恪尽职守,勤勉尽责,切实保护投资者合法权益;不得对服务能力和过往业绩进行虚假、不实、夸大、误导性的营销宣传;不得承诺投资收益;不得与投资者约定分享投资收益或者分担投资损失;咨询机构从事证券投资咨询业务的人员应当具备从业资格。  证监会提醒广大投资者注意,在接受证券投资咨询服务前,应当核实服务机构及人员是否持有合法资格及是否存在被限制业务情况。具体信息可在证监会网站“监管信息公开目录”和中国证券业协会网站查询,其中已被证监会采取暂停新增客户行政监管措施的机构或被协会采取暂停执业纪律处分的人员已经明确列示。投资者在接受证券投资咨询服务时,发现咨询机构存在违法违规行为的,可以拨打相关热线电话进行投诉举报。

zheng jian hui wei xin gong zhong hao xiao xi, jin qi, zhen dui bu fen zheng quan tou zi zi xun ji gou yi xia jian cheng zi xun ji gou fa sheng de bu dang ying xiao he wei gui jing ying wen ti, zheng jian hui jia da zhi fa jian cha li du, zheng su hang ye ji lv, ji zhong cha chu le yi pi ge an. 2018 nian, dui 58 jia zi xun ji gou huo qi fen zhi ji gou cai qu xing zheng jian guan cuo shi, qi zhong dui 35 jia cai qu ze ling zan ting xin zeng ke hu de xing zheng jian guan cuo shi. dui yi fa ying yu yi xing zheng chu fa de, yi shi shi xing zheng chu fa huo qi dong li an ji cha cheng xu.   xia yi bu, zheng jian hui jiang hui tong hang ye xie hui, ji xu bao chi gao ya jian guan tai shi, jia da jian cha zhi fa he zi lv guan li de li du, dui cun zai wei fa wei gui xing wei de zi xun ji gou, zong he yun yong xing zheng jian guan cuo shi xing zheng chu fa yi ji ji lv chu fen deng shou duan, cong yan zha chu he zhui jiu you guan ji gou he ren yuan de ze ren qing jie yan zhong de, che xiao ye wu xu ke she xian fan zui de, yi fa yi song si fa ji guan zhui jiu xing shi ze ren.   zi xun ji gou ying dang zun shou fa lv fa gui de gui ding, zun xun ke guan gong zheng he cheng shi xin yong de yuan ze, ke jin zhi shou, qin mian jin ze, qie shi bao hu tou zi zhe he fa quan yi bu de dui fu wu neng li he guo wang ye ji jin xing xu jia bu shi kua da wu dao xing de ying xiao xuan chuan bu de cheng nuo tou zi shou yi bu de yu tou zi zhe yue ding fen xiang tou zi shou yi huo zhe fen dan tou zi sun shi zi xun ji gou cong shi zheng quan tou zi zi xun ye wu de ren yuan ying dang ju bei cong ye zi ge.   zheng jian hui ti xing guang da tou zi zhe zhu yi, zai jie shou zheng quan tou zi zi xun fu wu qian, ying dang he shi fu wu ji gou ji ren yuan shi fou chi you he fa zi ge ji shi fou cun zai bei xian zhi ye wu qing kuang. ju ti xin xi ke zai zheng jian hui wang zhan" jian guan xin xi gong kai mu lu" he zhong guo zheng quan ye xie hui wang zhan cha xun, qi zhong yi bei zheng jian hui cai qu zan ting xin zeng ke hu xing zheng jian guan cuo shi de ji gou huo bei xie hui cai qu zan ting zhi ye ji lv chu fen de ren yuan yi jing ming que lie shi. tou zi zhe zai jie shou zheng quan tou zi zi xun fu wu shi, fa xian zi xun ji gou cun zai wei fa wei gui xing wei de, ke yi bo da xiang guan re xian dian hua jin xing tou su ju bao.

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