Guosheng Securities fined 290,000 yuan as two Chinese firms face penalties

Sep 25, 2026 01:26 (31d ago)

Two Chinese securities firms, including Guosheng Securities, received regulatory penalties on September 24.
The combined fines totaled 2.35 million yuan, while Guosheng was fined 290,000 yuan and suspended from opening new securities accounts for three months.
The penalties involved inadequate account real-name registration and other issues; Guosheng also received a regulatory warning from the CSRC’s Jiangxi bureau.

Two Chinese securities firms received regulatory penalties on September 24 for inadequate implementation of the account real-name registration system and other issues. The combined fines totaled 2.35 million yuan, approximately $350,000; Guosheng Securities accounted for a 290,000 yuan fine, approximately $43,000, and also received a warning and a three-month suspension on opening new securities accounts from the CSRC’s Jiangxi bureau.