古鰲科技(300551.SZ)：控股子公司東高科技收到行政監管措施決定書
格隆匯6月18日丨古鰲科技(300551.SZ)公佈，近日，公司控股子公司東高(廣東)科技發展有限公司(以下簡稱"東高科技")收到中國證券監督管理委員會廣東監管局下發的[2024]58號《關於對東高(廣東)科技發展有限公司採取責令暫停新增客户監管措施的決定》(以下簡稱"行政監管措施決定書")，該文件的具體內容如下：
"經查，我局發現你公司存在以下違規行為：一是被採取責令暫停新增客户措施期間存在新增客户行為，反映出你公司內部控制不健全，合規管理不到位。二是業務推廣及投顧服務過程中存在暗示收益的情況，向客户提供的投資建議缺乏合理依據，未在中國證券業協會登記註冊為"投資顧問"的人員向客户提供投資建議，向客户提供投資建議時未吿知證券投資顧問的姓名及其登記編碼等內容。三是提供證券投資顧問服務未與客户簽訂證券投資顧問協議。未嚴格評估客户風險承受能力，個別客户缺少風險測試及適當性評估結果確認書。
上述行為違反了《證券、期貨投資諮詢管理暫行辦法》(證委發[1997]96號)第四條和《證券投資顧問業務暫行規定》(證監會公吿[2020]66號)第三條、第七條、第十二條第一款第二項、第十四條第一款、第十五條、第十六條、第十九條及第二十四條的規定。按照《證券法》第一百七十條第二款和《證券投資顧問業務暫行規定》第三十二條的規定，我局決定對你公司採取責令暫停新增客户的監督管理措施，責令你公司自收到本決定書之日起暫停新增客户6個月。
你公司應立即開展全面整改工作，進一步加強內部控制，切實提高合規管理水平。暫停新增客户期滿後，你公司應當完成整改並向我局提交書面整改報吿，我局將對整改情況進行核查驗收。
如果對本監督管理措施不服，可以在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請，也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟，複議與訴訟期間，上述監管措施不停止執行。"
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