Legal analysis: "financial management on behalf of customers" belongs to the business scope that can only be engaged after approval. On the one hand, enterprises that fail to register for industrial and commercial changes in time will face a fine of 6,543.8+0,000 yuan but 6,543.8+0,000 yuan from the company registration authority; On the other hand, those who are serious even face the punishment of revoking their business licenses. Where the registered items of the company change and the relevant change registration is not handled in accordance with the provisions of these Regulations, the company registration authority shall order it to register within a time limit; Failing to register within the time limit, a fine ranging from 6,543,800 yuan to 6,543,800 yuan will be imposed. Among them, the change of business scope involves projects that must be approved by laws, administrative regulations or the State Council decisions, and the business license is revoked if the relevant business activities are not approved.

Legal basis: Securities Law of People's Republic of China (PRC).

Article 40 Employees of securities trading places, securities companies, securities registration and settlement institutions, staff of securities supervision and administration institutions and other personnel who are prohibited from participating in stock trading by laws and administrative regulations shall not hold, buy or sell stocks or other securities with equity nature directly or under a pseudonym or in the name of others, or accept stocks or other securities with equity nature donated by others during their term of office or within the statutory time limit. When becoming a person listed in the preceding paragraph, the stocks or other securities with equity nature that he has held must be transferred according to law. Employees of securities companies that implement the equity incentive plan or employee stock ownership plan may hold or sell their own shares or other securities with equity nature in accordance with the provisions of the the State Council Securities Regulatory Authority.

Article 104 Employees of securities trading places, securities companies, securities registration and settlement institutions and securities service institutions who have been dismissed due to illegal or disciplinary acts, as well as employees of state organs who have been dismissed, shall not be employed as employees of stock exchanges.

Article 136 If employees of a securities company violate the trading rules by executing the instructions of their securities company or taking advantage of their positions in securities trading activities, the securities company where they work shall bear full responsibility. Employees of securities companies shall not accept the entrustment of customers to buy or sell securities without permission.