Guosheng Securities fined 290,000 yuan, new account openings suspended for 3 months
On September 24, 2026, Guosheng Securities and six current and former executives received advance penalty notices from the Jiangxi Securities Regulatory Bureau for major deficiencies in brokerage business management, failures in account real-name verification, and information security violations. The company faces a 290,000 yuan fine, a three-month suspension on new account openings, and corrective orders. Six individuals face fines of 80,000 to 180,000 yuan each.
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Guosheng Securities and Executives Receive Administrative Penalty Notice from Jiangxi Regulator
On September 24, Guosheng Securities announced that it and several current and former executives, including Vice President Liu Guoning, received an Administrative Penalty Notice (Gan Penalty Character [2026] No. 8) from the Jiangxi Securities Regulatory Bureau. The company is accused of major deficiencies in brokerage business management, serious faults in implementing account real-name verification, and severe violations of information security regulations. The proposed penalties include a warning and a fine of 290,000 yuan for the company; warnings and fines of 180,000 yuan each for Kuang Wenbang and Wu Die; 170,000 yuan for Lu Xiuran; 100,000 yuan each for Liu Guoning and Lu Guo; and 80,000 yuan for Zhou Minglai. The notice was reported by Southern Finance Network.
Read sourceChina Securities Regulator Fines Guosheng Securities 290,000 Yuan, Suspends New Account Openings for 3 Months
Guosheng Securities Co., Ltd. (002670.SZ) announced that it received an investigation notice from the China Securities Regulatory Commission (CSRC) on July 31, 2026, regarding suspected violations of account实名制 (real-name system) and other regulations under the Securities Brokerage Business Management Measures. On September 24, 2026, the company and related individuals received an advance notice of administrative penalties from the Jiangxi Securities Regulatory Bureau. The bureau proposes to fine Guosheng Securities 290,000 yuan and issue a warning. Additionally, six individuals are to be fined between 80,000 and 180,000 yuan each. The company is also facing administrative regulatory measures including a corrective order, a three-month suspension on opening new securities accounts (during which it cannot add new brokerage clients), and an order to discipline responsible personnel. These actions will be recorded in the securities and futures market integrity archive.
Read sourceChina's Jiangsu Securities Regulator Proposes Fining Guosheng Securities $40,000, Suspending New Accounts
On September 24, 2026, Guosheng Securities announced that it and related parties received a 'Notice of Advance Administrative Penalty' and a 'Notice of Advance Administrative Regulatory Measures' from the Jiangxi Securities Regulatory Bureau. The regulator proposes to issue a warning, impose a fine of 290,000 yuan (approximately $40,000), order corrective actions, and suspend the opening of new securities accounts for three months. This action follows an investigation initiated on July 31, 2026, when the China Securities Regulatory Commission (CSRC) filed a case against the company for suspected violations of account real-name registration rules. The penalties are not yet final as they are proposed in advance notices, allowing the company to respond before a final decision is made.
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China's Guosheng Securities Fined, Ordered to Halt New Account Openings for Three Months
On September 24, Guosheng Securities (002670.SZ) announced that it and related individuals received a 'Prior Notice of Administrative Penalty' and a 'Prior Notice of Administrative Regulatory Measures' from the Jiangxi Securities Regulatory Bureau. The bureau found that the company had major deficiencies in brokerage business control, serious faults in implementing real-name account requirements, and severe violations of information security regulations. As a result, the bureau plans to issue a warning and impose a fine of 290,000 yuan on the company, and fines ranging from 80,000 to 180,000 yuan on six responsible individuals including Kuang Wenbang, Wu Die, Lu Xiuran, Liu Guoning, Lu Guo, and Zhou Minglai. Additionally, the bureau intends to take administrative regulatory measures including ordering corrective actions, suspending the opening of new securities accounts for three months, and ordering the company to discipline relevant personnel.
Read sourceChina's Guosheng Securities Fined 290,000 Yuan, New Account Suspension for 3 Months
On September 24, 2026, Guosheng Securities announced that it and related parties received a 'Notice of Prior Administrative Penalty' and a 'Notice of Prior Administrative Regulatory Measures' from the Jiangxi Securities Regulatory Bureau. The regulator proposes to impose a warning and a fine of 290,000 yuan on the company, order it to rectify violations, and suspend the opening of new securities accounts for three months. This action follows an investigation initiated by the China Securities Regulatory Commission (CSRC) on July 31, 2026, due to suspected violations of account real-name system regulations. The penalty is based on the findings of that investigation.