On December 28, Hithink Royalflush Information Network Co.Ltd(300033) (300033) announced that its subsidiary Zhejiang Hithink Royalflush Information Network Co.Ltd(300033) cloud Software Co., Ltd. (hereinafter referred to as ” Hithink Royalflush Information Network Co.Ltd(300033) cloud”) received the decision on regulatory measures from Zhejiang securities regulatory bureau.
After verification by Zhejiang regulatory bureau, Hithink Royalflush Information Network Co.Ltd(300033) cloud company develops and sells stock recommendation software led by personnel who are not registered as securities investment consultants; In addition, some marketing and service personnel exaggerate, falsely publicize and promise income in disguise. Some personnel providing investment advice are not registered as securities investment consultants, and some marketing personnel privately charge customers’ fees; In addition, in the business promotion process, without risk assessment on customers, i.e. recommending specific software to customers, there is a loophole in investor suitability management; And failed to report the change of the company’s principal to Zhejiang regulatory bureau on time.
Finally, Zhejiang regulatory bureau said that “Tongshun” is a public platform for providing investment consulting services, and Hithink Royalflush Information Network Co.Ltd(300033) cloud, as the operation subject, failed to fulfill the compliance management responsibility for the investment consulting services involved in “Tongshun”. The above-mentioned acts violate some provisions of the Interim Measures for the administration of securities and futures investment consulting, the Interim Provisions on securities investment consulting business and the Interim Provisions on strengthening the supervision of using “stock recommendation software” to engage in securities investment consulting business.
Business information shows that Hithink Royalflush Information Network Co.Ltd(300033) cloud was established in 2001 and is wholly owned by listed companies. Hithink Royalflush Information Network Co.Ltd(300033) cloud was involved in a service contract dispute. According to the relevant judgment documents, the plaintiff claimed that Hithink Royalflush Information Network Co.Ltd(300033) provided automatic stock speculation software for big financial stock speculation, involving stock speculation on behalf of the plaintiff, and the court ruled that the plaintiff did not provide sufficient evidence. The operation of big financial software on stocks and funds is controlled by Hithink Royalflush Information Network Co.Ltd(300033) . The case involved Hithink Royalflush Information Network Co.Ltd(300033) former employee Wang mouming,
For Wang mouming’s behavior, the court found that the previous decision of Zhejiang Securities Regulatory Bureau on the punishment measures of Hithink Royalflush Information Network Co.Ltd(300033) cloud made it clear that Wang mouming did not have the professional qualification of securities investment consulting but privately provided securities investment consulting services to customers, while the contract between the plaintiff and Hithink Royalflush Information Network Co.Ltd(300033) made it clear that users should not teach funds and account secrets to platforms or staff, Therefore, Wang mouming’s behavior is not a duty behavior. The court rejected the plaintiff’s application for retrial.
In 2018, Zhejiang securities regulatory bureau pointed out that Wang mouming did not have the practice qualification of securities investment consulting but privately provided securities investment consulting services to customers from April 2016 to January 2017. Violated the Interim Provisions on securities investment consulting business and asked Hithink Royalflush Information Network Co.Ltd(300033) Yun to make a decision to punish Wang mouming in accordance with the relevant systems and regulations of the unit.
Hithink Royalflush Information Network Co.Ltd(300033) according to the cloud official website, software products include price investment supremacy, financial master, wealth pioneer, Tongshun housekeeper and big research. The annual fee ranges from 16880 yuan to 80000 yuan, and the advanced version of intelligent investment management system is less than 500 yuan per month.
In October, the wholly-owned subsidiary of Hithink Royalflush Information Network Co.Ltd(300033) received the decision on regulatory measures from Zhejiang securities regulatory bureau. On the morning of October 28, Zhejiang Securities Regulatory Bureau found that ” Hithink Royalflush Information Network Co.Ltd(300033) ” app was abnormal, and Zhejiang Hithink Royalflush Information Network Co.Ltd(300033) Network Technology Co., Ltd. (hereinafter referred to as ” Hithink Royalflush Information Network Co.Ltd(300033) ” network “) did not immediately report the abnormality of the information system,. Due to inadequate information security risk management and other reasons, Zhejiang regulatory bureau decided to take the supervision and management measures of issuing a warning letter to Hithink Royalflush Information Network Co.Ltd(300033) network and record it in the integrity file of the securities and futures market. On that day, some users of Hithink Royalflush Information Network Co.Ltd(300033) app had login exceptions, and the data was not updated for a short time.
(blue whale Finance)
