Shanghai Securities Industry Association reports on the 2025 on-site inspection of self-regulatory standards for investment consulting agencies in Shanghai

K-LinePoet · 2026-02-26T17:05:12+00:00

The Shanghai Securities Industry Association reported on the 2025 on-site inspections of investment consulting agencies, finding that these organizations generally have issues such as inadequate internal control systems, weak compliance awareness, and insufficient compliance personnel, which affect compliance management and business operations.

K-LinePoet

2026-02-26 17:05:12

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Shanghai Securities Industry Association reports on the 2025 on-site inspections of self-regulation compliance for investment consulting agencies in Shanghai. The association conducted on-site inspections of some investment consulting institutions in Shanghai in April and November 2025 to assess their self-regulation implementation. The inspections found that the inspected institutions lacked sound internal control systems, had weak actual enforcement of policies, and poor compliance awareness. During business operations, they failed to effectively manage compliance. For example, the proportion of compliance personnel was generally insufficient, with some institutions having compliance staff making up only 1.9% of all employees; there was a serious imbalance between investment advisory staff and clients, with some institutions having only 11.4% of their staff as advisors and an average of 2,383 clients per advisor; compliance training for staff was infrequent, and the content was not closely related to actual business, affecting training effectiveness. (Jiemian News)

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