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"Investor Protection, Clear Rules, Risks" Case - Stay away from illegal investment advice and establish a rational investment philosophy

(Summary description)The Securities Law, the Regulations on the Supervision and Administration of Securities Companies and other relevant laws and regulations clearly stipulate the obligations that consulting organizations and consultants should perform in the process of conducting securities and futures investment consulting business and the professional standards that must be observed.

"Investor Protection, Clear Rules, Risks" Case - Stay away from illegal investment advice and establish a rational investment philosophy

(Summary description)The Securities Law, the Regulations on the Supervision and Administration of Securities Companies and other relevant laws and regulations clearly stipulate the obligations that consulting organizations and consultants should perform in the process of conducting securities and futures investment consulting business and the professional standards that must be observed.

Information

The Securities Law, the Regulations on the Supervision and Administration of Securities Companies and other relevant laws and regulations clearly stipulate the obligations that consulting organizations and consultants should perform in the process of conducting securities and futures investment consulting business and the professional standards that must be observed. However, there are still many lawless elements posing as formal investment advisory agencies and fictitious professional wealth management clerk to provide accurate investment advice, help investors to obtain high return on investment income as a bait, defraud investors' trust, and implement illegal securities investment consultation. And other activities.

Wang, a legal representative of an investment management company in Shanghai, knows that the company does not have the qualification to engage in securities investment consulting business, and conducts securities investment consulting business for the public without the approval of the competent national authorities. During the period, the company received a consulting fee of approximately RMB 90,000, and received a handling fee of RMB 760,000. Wang’s behavior constitutes an illegal business operation, violating Article 225 of the Criminal Law of the People’s Republic of China, and was finally sentenced to two years in prison by the Zhabei District People’s Court of Shanghai, suspended for two years, fined RMB 80,000, and confiscated. All illegal gains.

In another case related to illegal investment consultation, after being dismissed by an investment management group in Beijing, Wang was erected himself in the security room of a primary school in Shijingshan District, Beijing from February 2016 to September 2016. The identity of the salesman of the wealth management company, through the signing of a false lending consultation and service agreement, deceived Guo to make a payment to his personal account, and defrauded the investment financial management of 340,000 yuan, during which he returned to Guomou 52,000 yuan in the form of rebates. The People’s Court of Shijingshan District of Beijing believes that Wang’s purpose of illegal possession is to defraud other people’s finances during the process of signing and performing the contract. The amount is huge and constitutes a crime of contract fraud, which is ultimately in accordance with Article 224 of the Criminal Law of the People’s Republic of China. The relevant regulations were sentenced to a four-year and three-month imprisonment of Wang, and the victim was reimbursed by Guo for more than 280,000 yuan and fined 5,000 yuan.

Article 122 of China's Securities Law stipulates: “No unit or individual may operate a securities business without the approval of the securities regulatory authority under the State Council.” In the above two cases, the criminals fabricated and fabricated the so-called profession. Investment consultant qualification, use high income to defraud investors' trust, and then defraud investors' property through false transactions. Therefore, investors must always be vigilant in the process of investment consultation to improve their awareness of risk prevention.

First, we must polish our eyes and carefully check whether the relevant institutions have the qualifications for securities investment consulting business approved by the China Securities Regulatory Commission. Investors can check the list of legal institutions and personnel through the website of China Securities Industry Association. When investing in consulting, they should also carefully check whether the business license of the institution includes “securities investment consulting”. The China Securities Industry Association website has a public information column for illegal counterfeiting agencies, which investors can pay attention to.

The second is to be highly vigilant and never send money to the other party's personal account. Legal securities investment advisory agencies generally charge consulting service fees through company-specific collection accounts. Investors should be extra cautious for securities advisory activities that require money to be credited to personal bank accounts. Investors can consult with securities investment companies. If abnormal circumstances are found, they should be reported to the relevant regulatory authorities in a timely manner.

The third is to rational investment, improve risk prevention awareness and self-protection ability. Investors should consciously stay away from the illegal investment advisory institutions that are tempted by high returns, abandon the concept of riches overnight, and never be blinded by the false information of high-income and high-returning illegal elements, and always maintain a rational investment mentality.

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