Dec 28, 2021 08:39 PM (GMT+8) · EqualOcean
Financial Associated Press, Dec. 28 - tonghuashun announced that after verification by Zhejiang regulatory bureau, cloud software company has the following violations: first, the stock recommendation software developed and sold is dominated by personnel who are not registered as securities investment advisers; Second, some marketing and service personnel exaggerate, falsely publicize and promise income in disguise. Some personnel who provide investment advice are not registered as securities investment consultants, and some marketing personnel privately charge customers' fees; Third, in the business promotion link, without risk assessment of customers, i.e. recommending specific software to customers, there are loopholes in investor suitability management; Fourth, it failed to report the change of the company's principal to Zhejiang regulatory bureau on time; Fifthly, "Tongshun" is a public platform for providing investment consulting services. As the operating entity, cloud software company fails to fulfill the compliance management responsibility for the investment consulting services involved in "Tongshun".
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