SFC Imposes 10-Month Ban on Former Guosen Exec By Editors, Regulation Asia Published on 24th April 2019 The 10-month ban on Su Xiqiang, former head of Guosen's retail brokerage, was a result of improper handling of third-party fund deposits, and a lack of AML controls.To continue reading... Sign in Password * Remember me Lost your password? Get access Get access immediately by purchasing a 12 month subscription, or register today to get access to a free 5-article trial: Register Subscribe To discuss subscription options with our team please email: [email protected] Related:AML, Brokerage, Guosen Securities, responsible officer, SFC, Suspicious transactions, third party deposits Recommended for you HKMA Publishes Cases Studies on AML/CFT Regtech Adoption PBOC Proposes to Tighten Oversight of Non-bank Payments Firms Financial Crime 2021: Digital ID, Due Diligence, Sanctions