同花顺：子公司收到行政监管措施决定书_老虎社区_美港股上老虎

同花顺：子公司收到行政监管措施决定书

华尔街见闻2021-12-28

浙江同花顺云软件有限公司收到中国证券监督管理委员会浙江监管局《行政监管措施决定书》。经浙江监管局核查，云软件公司存在如下违规行为：一是开发并销售的荐股软件由未登记为证券投资顾问的人员主导；二是部分营销、服务人员存在夸大、虚假宣传以及变相承诺收益，部分提供投资建议人员未登记为证券投资顾问，个别营销人员私下收取客户费用；三是在业务推广环节，在未对客户进行风险评测的情况下，即向客户推荐具体软件，...

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福尼索
·2021-12-29
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Youn7276
·2021-12-28
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