According to Article 41 of the Measures for the Administration of Appropriateness of Securities and Futures Investors, an operating institution shall be given a warning and imposed a fine of less than 30,000 yuan under any of the following circumstances; Give a warning to the directly responsible person in charge and other directly responsible personnel, and impose a fine of less than 30,000 yuan: ① Violation of Article 10 of these Measures, failure to conduct detailed classified management of ordinary investors as required; (two) in violation of the provisions of article eleventh and article twelfth of these measures, the investor category is not converted as required; (three) in violation of the provisions of article thirteenth of these measures, the investor evaluation database has not been established or updated. (four) in violation of the provisions of article fifteenth of these measures, do not know the information of the products sold or the services provided, or fail to fulfill the classification obligations as required; (five) in violation of the provisions of Article 16 and Article 17 of these measures, failing to classify the risk level of products or services as required; 6 in violation of the provisions of article twenty-fifth, not in accordance with the provisions of the audio and video recording, or take supporting logo arrangements; (seven) in violation of the provisions of article twenty-ninth, not in accordance with the requirements to develop or implement the corresponding internal management system and related institutional mechanisms; In violation of the provisions of article thirtieth, not according to the provisions of the corresponding self-examination; Pet-name ruby in violation of the provisions of article thirty-second, not according to the provisions of the proper preservation of relevant information; (10) Violating the provisions of Article 6, Article 18 to Article 24, Article 26, Article 27 and Article 33 of these Measures, which does not constitute the circumstances stipulated in Articles 135 and 137 of the Securities Investment Fund Law, Articles 83 and 84 of the Regulations on the Supervision and Administration of Securities Companies, and Articles 66 and 67 of the Regulations on the Administration of Futures Trading.