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System Certification
The third publicity month against illegal securities and Futures
2022-08-15浏览量:1340

1、 Guard against illegal stock recommendation activities under the name of "investor education"


Recently, the number of illegal stock recommendation activities under the banner of "investor education" has increased. On the surface, it appears that it is to popularize financial management knowledge and teach stock trading skills, but in fact it is illegal to engage in securities investment consulting activities, which is very confusing and deceptive. Lawless elements promote "investor education" courses to investors by making phone calls and adding wechat friends. The courses include explaining stock knowledge, analyzing and predicting the market, teaching stock trading techniques, recommending stocks and guiding trading points. The prices range from several hundred yuan to tens of thousands of yuan. For the courses with high prices, "teachers" provide stock recommendation services and "hands-on guidance" through live broadcast and other means. The actual situation is that these "investor education" institutions and their packaged "teachers" do not have securities practice qualifications and relevant professional abilities at all. Most of them deceive investors according to the prepared scripts, induce them to buy courses and operate according to the instructions. When investors lose money, there are special scripts to lure them to continue to pay fees for upgrading courses. There are also some lawless elements who, after investors purchase the "investor education" course, let investors download their stock trading software, open an account in the software and transfer the stock trading funds, and operate according to the guidance of the "teacher". However, it is easy to recharge and difficult to withdraw, and it is difficult for investors to get back the principal.


At present, China investor.com (www.investor. Gov.cn) and the securities and futures investor education base licensed by the CSRC (the list can be queried on China investor.com) provide public welfare investor education services to the society. Please clear your eyes, carefully identify, and stay away from illegal stock recommendation activities in the name of "investor education". If you need securities investment consulting services, please select securities companies and securities investment consulting institutions with securities investment consulting licenses (the list can be inquired under the column of "regulatory objects" on the website of China Securities Regulatory Commission). If you are infringed by illegal stock recommendation activities, please report to the local securities regulatory bureau or the public security organ.


2、 Risk warning of "illegal stock recommendation" activities on the network live broadcast platform


In recent years, the number of "illegal stock recommendation" through traditional media such as TV, radio, newspapers and periodicals has been greatly reduced, but the number of "illegal stock recommendation" through online live broadcasting platforms has increased. It is mainly manifested in that: individuals or institutions open live broadcast rooms on the network live broadcast platform, become "anchor", "broadcaster" and "circle master", regard themselves as "stock god", "big V" and "teacher", claim to have senior investment background and magical actual performance, and attract eyeballs by "sharing stock trading skills", "locking bull stocks" and "recommending black horse stocks", Use the names of "expert guidance", "big guy's watch" and "famous experts talking about stocks" to promote and induce investors to recharge to buy virtual coins or gifts on platforms such as "gold coins" and "flowers", and let investors continue to pay through various projects such as "live subscription", "paid articles" and "paid question and answer". This kind of live broadcast stock recommendation is a new skill, which is highly attractive. The title of the broadcaster is changeable and the identity is secret, which is often difficult for investors to see through.


The above-mentioned institutions and individuals often advertise on portal websites, financial websites, microblogs, stock bars, Tiktok, etc., gather popularity, reserve live broadcast addresses, and channel to the live broadcast platform; After investors are induced, they usually sign agreements for guiding stock speculation, investment consulting contracts, and charge high consulting fees or guidance fees, or even agree on a high proportion of income sharing.


According to the relevant provisions of the state, the charges for online live stock recommendation belong to securities investment consulting activities. Without permission, no institution or individual may engage in such activities. The broadcaster on the live broadcast platform who provides stock recommendation services with compensation and has not obtained the qualification for securities investment consulting, or has obtained the qualification for securities investment consulting but has not practised in securities investment consulting institutions or securities companies, is suspected of illegally engaging in securities investment consulting business; If the above-mentioned live broadcast platform operating institution has not obtained the qualification for securities investment consulting business, it is suspected of illegally operating securities business or providing convenience for illegal activities.


It is hereby reminded that investors should obtain securities investment suggestions through securities companies or legal securities investment consulting institutions. The list of the above legal securities institutions can be inquired on the websites of China Securities Regulatory Commission and Securities Industry Association; Please do not cooperate with unqualified institutions and individuals and stay away from "illegal stock recommendation" to avoid loss of interests.


At the same time, remind all online live broadcast platforms that those who have not obtained the qualification of securities investment consulting business are not allowed to engage in any live stock recommendation activities; Those who have obtained the qualification for securities investment consulting business shall not provide convenience for unqualified institutions and individuals to engage in live stock recommendation.


3、 Risk warning of OTC individual stock option trading


Recently, some Internet platforms attract customers through websites, wechat official account, groups and other means to provide investors with over-the-counter individual stock option trading services. Investors do not need to open securities accounts, nor do they need to conduct video authentication. They can complete registration by providing only ID number and bank account. After determining the operation target, call and put direction, holding period, and accepting the option quotation (i.e. premium), the investor can buy the option and become the right party of the option. Taking the call option as an example, if the price of individual shares on the exercise date is higher than the agreed price and the increase amount is greater than the premium, the investor will make profits; If the rising amount is less than the premium or the individual stocks fall, the investor will lose part or all of the premium.


These platforms do not have corresponding financial business qualifications, the internal control and compliance mechanism is not sound, the requirements for royalties are too high, and the third-party custody mechanism of funds is lacking, which has obvious potential risks. In addition, these platforms often use misleading propaganda terms such as "high leverage", "limited loss but unlimited profit" and "no need to cover positions for losses", which unilaterally emphasize or even exaggerate the benefits of individual stock options and weaken or even do not prompt the risks of individual stock options. There are great risks for investors to participate in the OTC individual stock option trading through these platforms. If there are fraud or "run away" and other risk events on the platform, it is difficult to protect their own rights and interests. Investors should be highly vigilant, not credulous and not participate, so as not to be deceived and suffer losses.


4、 Beware of the trap of "wechat stock recommendation"


Recently, the relevant dispatched offices of the CSRC found in their daily supervision that some lawless elements used wechat, Weibo, etc. to attract customers, claiming that they could provide stock information and trading time to obtain high profits and charge high fees or shares. After preliminary investigation, it is found that the activities of recommending stocks through wechat in the market are increasing, and the impact is also increasing. For example, an organization claiming to be "XX investment" publishes information every morning before the opening of the market and during the closing of the market at noon through its wechat circle of friends, claiming that it intends to raise a certain stock. After paying a certain fee to the organization, the investor can know in advance the information about the purchase and sale of the stock through wechat or telephone. The fees paid by investors range from 15800 yuan to 58800 yuan.


Through wechat, Weibo and other tools, lawless elements wantonly solicit customers, and use the stock price as bait to cheat the information fees or membership fees paid by investors, or use the funds of investors to accept the stocks they control. It is very tempting and deceptive. These illegal elements usually have no fixed place of business, and they flee or commit crimes across regions. It is difficult to obtain evidence by conventional means of investigation. We hereby remind investors that only securities companies and securities investment consulting institutions that have obtained the qualification of securities investment consulting business with the permission of China Securities Regulatory Commission can engage in securities investment consulting business. Legal institutions may conduct inquiries and verification on the websites of China Securities Regulatory Commission and China Securities Association. If it is found that there are illegal institutions or individuals engaged in stock recommendation activities through wechat, please do not participate, so as to avoid property loss. If you have been involved in being cheated, please collect the evidence materials and report to the local public security organ in time.






Securities Department publicity




May 6, 2022


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