Soochow Securities

Founded in 1993 and headquartered in Suzhou, Soochow Securities is a comprehensive securities company offering brokerage, investment banking, asset management, and other services.

A regionally leading full-service securities firm

Product categories. Securities brokerage · Investment banking · Asset management

• 2025

  Penalty of RMB 13.3644 Million for Negligent Sponsorship of Gome Communication and Zixin Pharmaceutical Projects

  In January 2025, the CSRC issued its final penalty against Soochow Securities for failing to exercise due diligence in two private placement projects. The firm was fined and had RMB 13.3644 million confiscated, while four responsible individuals were separately penalized. The company said it accepted the penalty and would strengthen internal controls.

  Source

• 2024

  Regulatory Measures Against the Sponsor and Its Personnel for Inadequate Supervision of the Jintongling Fraud Project

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

  Source

• 2020

  Court dismisses customer’s claim against Dongwu Securities

  A customer filed a lawsuit against Dongwu Securities, alleging that the firm had improperly operated his account and seeking compensation. The court reviewed the claim and found it to be unreasonable and insufficiently supported by evidence. As a result, the court dismissed all of the customer’s requests. The event was reported on March 26, 2020.

  Source

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• 2021-06-09

  Liu Fan resigns as supervisor of Dongwu Securities[5]刘凡辞去东吴证券监事职务nbd.com.cn

  Dongwu Securities announced on the evening of June 9 that supervisor Liu Fan had submitted a written resignation, citing a work adjustment.

• 2020-11-28

  Dongwu Securities won two awards at the national investor-education animation competition[6]东吴证券在全国投教动漫大赛中获两项大奖prnasia.com

  Reported: 2020-11-30

  Dongwu Securities' investor-education team received the bronze award in the comics category and an excellence award in the video category at the second National Investor Education Animation Competition.

• 2020-09

  Soochow Securities launches online private-fund signing service[7]东吴证券上线私募基金电子化签约服务finance.sina.com.cn

  Reported: 2020-09-07

  Soochow Securities launched the China Securities Easy Sign electronic signing system for its distribution of private funds, enabling the associated process to be handled online.

• 2020-06-29

  Apex Software and Soochow Securities launch A5 Xinchuang edition[8]顶点软件与东吴证券A5信创版上线finance.sina.com.cn

  Reported: 2020-07-06

  Apex Software and Soochow Securities jointly developed the distributed, fully self-controlled securities core trading system A5 Xinchuang edition, which went live on June 29, 2020.

• Unconfirmed

  Dongwu Securities launches online ChiNext permission service[9]东吴证券上线创业板权限线上开通业务sc.stock.cnfol.com

  Dongwu Securities enabled online opening of ChiNext permissions through its Dongwu Xiucai app and other proprietary platforms, including upgrades for existing ChiNext clients under the registration-based system.

• Unconfirmed

  Court dismisses customer’s claim against Dongwu Securities[4]Court dismisses customer’s claim against Dongwu Securitiesfinance.sina.com.cn

  Reported: 2020-03-26

  A customer sued Dongwu Securities, alleging improper operation of his account and seeking compensation. The court found his claim unreasonable and insufficiently supported by evidence, and dismissed all of his requests.

1. 1Penalty of RMB 13.3644 Million for Negligent Sponsorship of Gome Communication and Zixin Pharmaceutical Projectsthepaper.cn
2. 2Penalty of RMB 13.3644 Million for Negligent Sponsorship of Gome Communication and Zixin Pharmaceutical Projectsm.eeo.com.cn
3. 3Regulatory Measures Against the Sponsor and Its Personnel for Inadequate Supervision of the Jintongling Fraud Projectthepaper.cn
4. 4Court dismisses customer’s claim against Dongwu Securitiesfinance.sina.com.cn
5. 5刘凡辞去东吴证券监事职务nbd.com.cn
6. 6东吴证券在全国投教动漫大赛中获两项大奖prnasia.com
7. 7东吴证券上线私募基金电子化签约服务finance.sina.com.cn
8. 8顶点软件与东吴证券A5信创版上线finance.sina.com.cn
9. 9东吴证券上线创业板权限线上开通业务sc.stock.cnfol.com