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The Chongqing Securities Regulatory Bureau issued a decision to order the Chongqing Branch of Shaanxi Jufeng Investment Information Co., Ltd. to make corrections and suspend the supervision measures for adding new customers. After investigation, our bureau found that your branch has the following violations: First, it is not in the Chinese securities industry. Personnel registered by the Association as securities investment advisors provide securities investment advice to clients; secondly, when securities investment advisors provide securities investment advisory services to clients, they fail to inform clients of the names and registration codes of investment advisors; thirdly, securities investment advisors business promotion and client solicitation Irregular behavior and misleading marketing promotions about investment advisory service capabilities and past performance. In accordance with the provisions of Article 32 of the “Interim Regulations”, your branch is hereby ordered to make corrections and to suspend new customers for 12 months from the date of receipt of this decision. (Securities Times)
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