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"Investor protection · clear rules, risk recognition" case-away from illegal investment consulting to establish a rational investment philosophy

"Investor protection · clear rules, risk recognition" case-away from illegal investment consulting to establish a rational investment philosophy

"Investor protection · clear rules, risk recognition" case-away from illegal investment consulting to establish a rational investment philosophy

2020-04-23 14:20

The Securities Law, Regulations on the Supervision and Administration of Securities Companies and other relevant laws and regulations clearly stipulate the obligations and professional standards that advisory bodies and consultants should perform in the process of conducting securities and futures investment consulting business. However, there are still many criminals posing as formal investment consulting agencies and fictitious professional financial management clerk to provide accurate investment advice and help investors get a high return on investment returns as a bait, deceive investors' trust, and implement illegal securities investment consulting And other activities.

Wang Mou, the 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. Without the approval of the national competent authority, it will conduct securities investment consulting business without permission from the public. During the period, the company charged a consulting fee of approximately RMB 90,000, and received a total of more than RMB 760,000 in integrity operation fees and consulting fees. Wang ’s behavior constituted the crime of illegal operation, in violation of Article 225 of the Criminal Law of the People ’s Republic of China, and was eventually sentenced to two years ’imprisonment by the Shanghai Zhabei District People ’s Court, suspended for two years, with a fine of RMB 80,000 and was confiscated All illegal income.

In another case related to illegal investment consultation, after being dismissed by an investment management group company in Beijing, Wang was fictitiously inventing himself in the security room of a primary school in Shijingshan District, Beijing from February 2016 to September 2016. As a salesperson of a wealth management company, by signing a false lending consultation and service agreement, he deceived Guo to make money in his personal account, and defrauded him of 340,000 yuan in investment and financial management. During the period, he returned Guo 52,000 in the form of cash back. The People ’s Court of Shijingshan District of Beijing believed that Wang Mou defrauded others ’finances during the process of signing and fulfilling the contract for the purpose of illegal possession. The amount was huge, which constituted the crime of contract fraud. Finally, according to Article 224 of the Criminal Law of the People ’s Republic of China According to relevant regulations, Wang was sentenced to four years and three months in prison, and the victim Guo was reimbursed for more than 280,000 yuan, and a fine of 5,000 yuan was imposed.

Article 222 of China ’s Securities Law stipulates: “No unit or individual may engage in securities business without the approval of the State Council ’s securities regulatory authority.” In the above two cases, criminals fabricated and fabricated fictitious so-called specialties Qualifications of investment consultants, use high yields to defraud investors 'trust, and then defraud investors' property through false transactions. Therefore, investors must be vigilant at all times during the investment consultation process to raise awareness of risk prevention.

First, keep your eyes open and carefully check whether relevant institutions have the qualifications to engage in securities investment consulting business as permitted by the China Securities Regulatory Commission. Investors can check the directory of legal institutions and personnel through the website of the China Securities Industry Association. They should also carefully check whether the business scope of the institution ’s business license includes "securities investment consulting" during investment consulting. The website of the China Securities Industry Association has a column for publicizing information on illegal counterfeiting institutions, which investors can pay attention to.

The second is to be highly vigilant and do not send money to the other party's personal account. Legal securities investment advisory agencies generally charge advisory service fees through company-specific collection accounts. Investors should take extra care for securities advisory activities that require money to be entered into personal bank accounts. Investors can consult with securities investment companies, and if abnormal conditions are found, they should report to the relevant regulatory authorities in a timely manner.

The third is to rationally invest to improve risk prevention awareness and self-protection ability. Investors should consciously stay away from illegal investment advisory institutions that are lured by high returns, abandon the concept of overnight riches, and do n’t be blinded by the false information of high returns and high returns of illegal elements, and always maintain a rational investment mentality.

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