SFC fines Guosen Securities HK$2.8m over regulatory breaches
SFC
SFC, 21-Dec-2022
Largely due to inadequate testing of buggy software.
機構
SFC bans Joanna Chu Lai Wa, ex-RO of Guosen Securities, for 1 year
SFC, 23-Jun-2020
For turning a blind eye to third-party deposits into client accounts.
機構
人物
SFC restricts accounts at 14 brokers for suspected manipulation of Smartac (0395)
SFC, 25-Jun-2019
機構
SFC bans Su Xiqiang, ex-RO of Guosen Securities (HK) Brokerage Co Ltd for 10 months
SFC, 23-Apr-2019
機構
人物
SFC fines Guosen Securities (HK) HK$15.2m for breaches of AML requirements
SFC, 18-Feb-2019
The firm processed over 2200 suspicious third-party deposits (i.e. not made by clients but into their accounts) totalling over HK$2.3bn in 14 months up to Dec-2015.