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Guosheng Securities Fined 290,000 Yuan, Faces 3-Month New Account Suspension Over Account Real-Name Violations
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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.
Source report
September 24, 2026 — Guosheng Securities announced today that it has received a preliminary penalty notice from the Jiangsu branch of the China Securities Regulatory Commission (CSRC) regarding violations of account实名制 (real-name registration) rules.
Key Developments
- July 31, 2026: The company received a CSRC investigation notice for suspected violations of account real-name registration requirements.
- September 24, 2026: Guosheng Securities and related parties received two notices from the Jiangsu CSRC office:
- Administrative Penalty Notice (preliminary)
- Administrative Regulatory Measure Notice (preliminary)
Proposed Penalties
The CSRC intends to impose the following measures on the company:
- Warning and a fine of 290,000 yuan
- Order to rectify the violations
- Suspension of new securities account openings for three months
Source
金十数据Eastern