According to news from the Liaoning Securities Regulatory Bureau, Liaoning Hongli Investment Consulting Co., Ltd. has been ordered to rectify due to multiple issues including personnel management, marketing compliance, client suitability, and management of New Media platforms. Specific problems include failure to timely deregister leaving personnel, improper marketing promotion, lack of investor signatures on agreements, and lack of review on New Media platforms, which violate relevant securities regulations. The Securities Regulatory Bureau requires the company to submit a rectification report within 30 days, improve internal management and control, ensure compliant operation, and protect investor rights. If dissatisfied with the decision, an application for reconsideration or litigation may be filed within the specified time frame.
辽宁弘历投资咨询被责令整改 存管理漏洞
Liaoning Hongli Investment Consulting has been ordered to rectify due to management loopholes.
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