中證(zheng)(zheng)網(wang)訊（記者 昝(zan)秀麗(li)）重(zhong)(zhong)慶證(zheng)(zheng)監(jian)局網(wang)站7月12日發布對陜(shan)西巨豐投(tou)(tou)資(zi)(zi)(zi)資(zi)(zi)(zi)訊有(you)限責(ze)任公司(si)重(zhong)(zhong)慶分公司(si)采取責(ze)令改正并暫(zan)停新(xin)增(zeng)客(ke)(ke)戶監(jian)管措施的決定(ding)。經查(cha)，重(zhong)(zhong)慶證(zheng)(zheng)監(jian)局發現該公司(si)分公司(si)存(cun)在以下違規(gui)行(xing)為：一(yi)是未(wei)在中國(guo)證(zheng)(zheng)券(quan)(quan)業協會登記為證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)的人員向客(ke)(ke)戶提供證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)建議；二是證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)向客(ke)(ke)戶提供證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)服(fu)務(wu)(wu)時，未(wei)向客(ke)(ke)戶告知投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)姓名和(he)登記編碼(ma)；三(san)(san)是證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)業務(wu)(wu)推(tui)廣(guang)和(he)客(ke)(ke)戶招攬行(xing)為不規(gui)范，對投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)服(fu)務(wu)(wu)能力和(he)過往(wang)業績進(jin)行(xing)誤導性的營銷宣傳(chuan)。按照(zhao)《證(zheng)(zheng)券(quan)(quan)投(tou)(tou)資(zi)(zi)(zi)顧(gu)(gu)(gu)問(wen)(wen)業務(wu)(wu)暫(zan)行(xing)規(gui)定(ding)》第三(san)(san)十(shi)二條(tiao)的規(gui)定(ding)，責(ze)令該公司(si)分公司(si)改正，并自收到決定(ding)書之(zhi)日起，暫(zan)停新(xin)增(zeng)客(ke)(ke)戶12個(ge)月。