Guohai Securities

Guohai Securities Co., Ltd. (国海证券) is a Chinese securities company headquartered in Nanning, Guangxi. It is one of the leading full-service securities firms in China's southwestern region and is listed on the Shenzhen Stock Exchange under the ticker 000750. The company traces its origins to 1988 and has grown into a comprehensive financial services group whose business lines include securities brokerage, wealth management, investment banking, asset management, proprietary trading, margin financing and securities lending, and fund distribution. As a securities brand, Guohai Securities serves individual investors, institutional clients and corporate issuers. Its retail-facing operations include branch-based brokerage and a mobile securities trading app that provides market data, trading, account services and wealth-management products. Its institutional and corporate businesses cover equity and bond underwriting, mergers and acquisitions advisory, fixed-income trading, research and asset management. Guohai Securities is associated with the Guangxi region and maintains a network of branches and securities service outlets across China, with a particularly strong presence in its home market. The firm is regulated by the China Securities Regulatory Commission (CSRC) and operates within the framework of China's securities industry. The company has expanded through organic growth and strategic initiatives, including the establishment of subsidiaries in areas such as asset management, futures and private equity investment. Its brand is recognized among Chinese retail investors through its trading platform and branch network, and among institutional participants through its research and investment banking activities. This dossier describes Guohai Securities as a commercial securities brand and corporate entity. It does not cover unrelated namesakes.

Guohai Securities traces its origins to 1988, when securities business operations that would later form the company were established in Guangxi. Over the following decades, the firm developed into a full-service securities company serving China's capital markets. The company is headquartered in Nanning, Guangxi, and is listed on the Shenzhen Stock Exchange under the stock code 000750. Its listing provided access to public capital markets and supported the expansion of its brokerage, investment banking and asset management businesses. Guohai Securities has built a nationwide network of branches and securities service outlets, with a particularly strong presence in Guangxi and southwestern China. The firm has expanded its product and service range to include margin financing and securities lending, fund distribution, research and proprietary trading. In the digital era, Guohai Securities has invested in its mobile trading platform and online services, allowing retail investors to trade securities, access market information and manage wealth products through its app. The company has also established subsidiaries in areas such as asset management, futures and private equity investment to broaden its financial services footprint. As a regulated securities firm in China, Guohai Securities operates under the supervision of the China Securities Regulatory Commission and participates in the development of China's multi-tiered capital markets.

• 1988

  Origins of Guohai Securities' securities business in Guangxi.

• Listed on the Shenzhen Stock Exchange under ticker 000750.

• Securities brokerage

• Wealth management

• Investment banking

• Asset management

• Margin financing and securities lending

• Guohai Securities mobile trading app

• 2024

  Failure to properly supervise the Jintongling fraud project; sponsor institution and personnel subject to regulatory measures

  In 2024, as accountability continued in the Jintongling fraud case, Soochow Securities, Sealand Securities, and others received warnings, Huaxi Securities had its sponsor qualification suspended for six months, and relevant sponsor representatives were restricted or warned. Each brand entry lists its own professional responsibilities.

  Source

• 2016

  Risk incident involving bond proxy holding with a fake seal; related business restricted for one year

  In December 2016, former employees of Sealand Securities conducted bond proxy holdings in the company's name, leaving approximately RMB 20 billion in outstanding contracts, and disputes arose over the authenticity of the seals and liability. A 2017 regulatory inspection found chaotic internal controls, leading to a one-year suspension of the related business and accountability for those involved.

  Source

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• 2020-06-08

  Guohai Securities files stock-repurchase contract breach lawsuit[5]国海证券就股票质押回购合同违约提起诉讼finance.sina.com.cn

  Reported: 2020-06-08

  Guohai Securities filed suit against individuals over an alleged breach of a stock pledge repurchase transaction contract; the Nanning Intermediate People's Court accepted the case on June 8, 2020.

• 2020-01-22

  Guohai Securities assigns deputy president to perform president duties[6]国海证券由副总裁代为履行总裁职务finance.sina.com.cn

  Reported: 2020-01-21

  Guohai Securities assigned deputy president Lu Kai to perform the duties of president for no more than six months.

• 2020-01-17

  Guohai Securities president Liu Shian resigns[7]国海证券总裁刘世安辞职tech.sina.com.cn

  Reported: 2020-01-21

  Guohai Securities' board received president Liu Shian's written resignation application on January 17; the report says he applied to resign for personal reasons.

• 2019-12-21

  Guohai Securities wins three awards at the China Finance Storm Awards[8]国海证券荣获第十七届中国财经风云榜三项大奖finance.sina.com.cn

  Reported: 2019-12-30

  At the 17th China Finance Storm Awards ceremony, Guohai Securities won the 2019 Securities Brand Award, the 2019 Securities Technology Finance Innovation Award, and the 2019 Securities Outstanding Asset Management Award.

1. 1Guohai Securities official websiteghzq.com.cn
2. 2Failure to properly supervise the Jintongling fraud project; sponsor institution and personnel subject to regulatory measuresthepaper.cn
3. 3Risk incident involving bond proxy holding with a fake seal; related business restricted for one yearyicai.com
4. 4Risk incident involving bond proxy holding with a fake seal; related business restricted for one yearjiemian.com
5. 5国海证券就股票质押回购合同违约提起诉讼finance.sina.com.cn
6. 6国海证券由副总裁代为履行总裁职务finance.sina.com.cn
7. 7国海证券总裁刘世安辞职tech.sina.com.cn
8. 8国海证券荣获第十七届中国财经风云榜三项大奖finance.sina.com.cn