Guosen Securities (HK) Financial Holdings Company, Limited 國信證券(香港)金融控股有限公司
SFC fines Guosen Securities HK$2.8m over regulatory breaches
| Statement of Disciplinary Action
SFC, 21-Dec-2022
Largely due to inadequate testing of buggy software.
SFC, 21-Dec-2022
Largely due to inadequate testing of buggy software.
SFC bans Joanna Chu Lai Wa, ex-RO of Guosen Securities, for 1 year
SFC, 23-Jun-2020
For turning a blind eye to third-party deposits into client accounts.
SFC, 23-Jun-2020
For turning a blind eye to third-party deposits into client accounts.
SFC bans Su Xiqiang, ex-RO of Guosen Securities (HK) Brokerage Co Ltd for 10 months
SFC, 23-Apr-2019
SFC, 23-Apr-2019
SFC fines Guosen Securities (HK) HK$15.2m for breaches of AML requirements
SFC, 18-Feb-2019
The firm processed over 2200 suspicious third-party deposits (i.e. not made by clients but into their accounts) totalling over HK$2.3bn in 14 months up to Dec-2015.
SFC, 18-Feb-2019
The firm processed over 2200 suspicious third-party deposits (i.e. not made by clients but into their accounts) totalling over HK$2.3bn in 14 months up to Dec-2015.
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