Guosen Securities Co., Ltd. controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2026
Warning from the National Association of Financial Market Institutional Investors over False Information in Bond Bookbuilding and Issuance
In June 2026, the National Association of Financial Market Institutional Investors issued a warning to Guosen Securities for publishing false information during bond bookbuilding and issuance and for disrupting pricing and issuance order, and required comprehensive rectification.
2024
Warning Letter over Deficiencies in Stock Pledge, Relief, and Private Fund Management
In April 2024, the Shenzhen Securities Regulatory Bureau identified deficiencies at Guosen Securities in due diligence for stock pledges, the use of relief products, and the management of private fund subsidiaries and information barriers, and issued warning letters to the company and relevant responsible persons.
2024
Asset Management Products Used as Channels and Inadequate Rectification, New Filings Suspended for 3 Months
In July 2024, the Shenzhen Securities Regulatory Bureau determined that Guosen Securities' asset management business lacked active management and that its rectification was inadequate, ordered it to correct the problems, and suspended new filings for private asset management products for 3 months; exceptions and restrictions applied to the continuation of existing products.
2019
Hong Kong AML and third-party-deposit enforcement
The Hong Kong Securities and Futures Commission reprimanded Guosen Securities (HK) Brokerage Company Limited and imposed a HK$15.2 million fine. The regulator identified failures in anti-money-laundering and counter-terrorist-financing controls when the brokerage handled third-party deposits. The deposits reportedly involved approximately 10,000 transactions totaling about HK$5 billion for more than 3,500 clients between November 2014 and December 2015.