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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.

Organisations

• Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司
• Guosen Securities (HK) Financial Holdings Company, Limited 國信證券(香港)金融控股有限公司
• Guosen Securities Company Limited 國信證券股份有限公司

Topics

• Money laundering

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