Due to multiple violations in conducting investment advisory services, Huiyan Zhituo Guangzhou Branch was named by regulators.

NightAirdropper · 2026-02-28T03:13:01+00:00

The Guangdong Securities Regulatory Bureau found that Huiyan Zhituo Guangzhou Branch engaged in multiple violations in securities investment advisory services, such as incomplete service records, illegal live broadcast activities, unregistered personnel, and inadequate suitability management. In response, it has decided to strengthen compliance inspections and issue a warning to the person in charge, Wang Ruoyu.

NightAirdropper

2026-02-28 03:13:01

Abstract generation in progress

Beijing Business Daily (Reporter Li Haiyuan) — On February 25, the Guangdong Securities Regulatory Bureau announced that, after investigation, Huiyan Zhituo Technology Co., Ltd. Guangzhou Branch (hereinafter referred to as “Huiyan Zhituo Guangzhou Branch”) was found to have multiple violations in its securities investment advisory business.

Incomplete records of advisory services and compliance management.
Some securities investment advisors conducted online live broadcasts with definitive judgments on market trends, provided specific investment advice on individual stocks, and failed to display the advisor’s name and registration number.
Some employees not registered as securities investment advisors with the China Securities Industry Association provided investment advice to clients.
Inadequate suitability management, failing to carefully assess clients’ financial situations and risk tolerance.
Service promises not matching actual conditions.

The Guangdong Securities Regulatory Bureau pointed out that these behaviors violated multiple regulations. According to relevant rules, it has decided to impose administrative regulatory measures on Huiyan Zhituo Guangzhou Branch, including ordering increased internal compliance inspections and submission of compliance inspection reports. The bureau also mentioned that Wang Ruoyu, as the person in charge of Huiyan Zhituo Guangzhou Branch, is responsible for the violations and has decided to issue a warning letter as a supervisory measure.

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