All posts tagged "Guosen Securities"
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408AML / KYCSFC 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.
April 24, 2019 -
935AML / KYC
SFC Fines Guosen Securities $1.94mn for AML Breaches
The Hong Kong unit of Guosen Securities failed to make enquiries into or report thousands of suspicious third party deposits.
February 19, 2019
