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Investor protection around to protect rights and interests to prevent risks

Release time:

2024-03-21

In order to thoroughly study and implement Xi Jinping's thought of socialism with Chinese characteristics in the new era, practice the concept of investor-oriented, and earnestly do a good job in investor education and publicity, the company actively responded to the notice on carrying out special activities for investor protection education and publicity issued by Henan Securities Regulatory Bureau, and carried out investor protection education and publicity activities. Now list three on the prevention of atypical cases, to remind investors to pay attention to investment risks, rational investment, prudent investment!

Case 1: Illegal securities investment advisory business through stock recommendation software

Case Brief: A company in Shenzhen independently developed the so-called big data stock selection strategy. Through the company's website, APP, WeChat public number and other channels, it packaged into service products such as "trading limit xxx", "master xxx" and "early trading xxx" and charged subscription service fees to investors on a monthly or annual basis. After paying, investors can receive the corresponding stock recommendation tips through websites, APP and WeChat public numbers. The company has not obtained the qualification of securities investment consulting business, and its various service products provide customers with suggestions on the selection of specific securities investment varieties or the timing of trading. It belongs to the software product with the function of securities investment consulting service, that is, "stock recommendation software", and its behavior constitutes illegal engagement in securities investment consulting business. After the incident, the company was subject to administrative penalties by the securities regulatory authorities, and the company and related responsible personnel confiscated a total of more than 10 million yuan.

Warning: "Stock recommendation software" refers to software products, software tools or terminal equipment with the functions of providing investment analysis opinions, price forecasts, selection of investment varieties, advice on the timing of buying and selling, and other securities investment analysis, forecasts or recommendations involving specific securities investment varieties. Selling or providing "stock recommendation software" to investors and directly or indirectly obtaining economic benefits belongs to engaging in securities investment consulting business and shall be approved by the CSRC. Without the approval of the CSRC, the use of "stock recommendation software" to provide services for securities trading and related activities is illegal to engage in securities investment consulting business. The majority of investors in the purchase of stock software, please verify whether the other party has the securities investment advisory business qualifications. Legal institutions can be found on the websites of China Securities Regulatory Commission and China Securities Association.

Case 2: Fraud under the guise of off-site funding

Case Brief: A company has set up a distribution platform through Internet websites, APP, etc. to solicit investors through platforms such as Internet, telephone, QQ, WeChat, tremolo, Little Red Riding Book, etc., claiming to be firm offer trading and fund custody. It has also set up activities such as registration and welfare, no interest for first distribution, cash for deposit or cash reward for recommend customers, etc. to induce investors to register, deposit and recruit new customers. After verification, the allocation platform to collect investors to allocate funds, did not actually forward the customer transaction entrusted to the exchange, if investors suffer losses, the amount of losses directly collected by the platform, such as the platform all investors into the amount of money or profit amount is large, the allocation platform also has the risk of "running away. The company's above-mentioned behavior is suspected of fraud under the guise of illegal securities and futures activities, and investors are advised to report the case to the public security organs.

Warning: Except for securities companies, no unit or individual may engage in securities financing and securities lending business. Some over-the-counter funding platforms set up virtual disks to provide highly leveraged funding and various incentive activities as bait to induce investors to deposit money, but in fact commit fraud crimes.

Case 3: Fraud by counterfeit practitioners in the name of software usage fees

Case brief: Li mou, who claims to be a staff member of xx securities (legal securities company), forged the employment certificate through the information of employees publicized by relevant associations, soliciting investors to claim that they can use the fast trading channel of the securities company for a fee to rob the trading board. after investors pay a large amount of usage fees, they actually still use xx securities general client for trading, and the securities company does not charge for the business of using the fast trading channel. Li a fictitious related business and forged certificates to defraud investors of funds related acts suspected of fraud. Relevant securities companies and investors have reported to the public security organs.

Warning: if the majority of investors receive phone messages claiming to be the staff of securities companies, fund companies, futures companies and training institutions to recommend business and refund fees, they should not be credulous. They should not install documents and APP software of unknown origin at will, and do not click on links of unknown origin. The information of legal securities business institutions and their employees can be inquired through the websites of China Securities Regulatory Commission, China Securities Association, China Securities Investment Fund Industry Association and China Futures Association. Found such suspected fraud crime clues, should immediately report to the public security organs.

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