SFC Imposes 10-Month Ban on Former Guosen Exec

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...


Get access to Regulation Asia

Regulation Asia delivers the latest news, research and analysis on regulation across banking and capital markets.

Sign up for a free trial or subscribe now. Please click on one of the buttons below.

Free Trial Subscribe

To discuss our subscription options
please email subscriptions@regulationasia.com

To Top