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北京中方信富投资管理咨询有限公司：
经查，你公司部分员工长期以你公司名义在某第三方网络直播间开展网络业务直播，你公司对此未进行合规管理。
上述行为违反了《证券投资顾问业务暂行规定》（以下简称《暂行规定》）第三条和第九条的规定。按照《暂行规定》第三十三条的规定，我局决定对你公司采取责令改正的监管措施，你公司应在收到本决定之日起，立即开展全面整改工作，严格落实《暂行规定》等相关规定，切实提高公司合规管理水平。你公司应于一个月内完成整改并提交书面整改报告。
如果对本监督管理措施不服，可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复议申请，也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间，上述监督管理措施不停止执行。
中国证监会北京监管局
2021年10月27日
