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Brokerage Feels Stocks Regulator’s Wrath Over Poor Risk Management

2019年05月22日 20:21 来源于 财新网
Guorong Securities hit with temporary ban on bond trading, product approvals after investigation reveals operational failures
China’s Securities Regulator has announced a punishment for the Inner Mongolia-based securities firm Guorong Securities, which has been heavily involved in the pledged shares business. Photo: IC Photo

* The CSRC’s ban will last for six months for bond trading and one year for asset management filings

* An investigation earlier this year found that the brokerage had failed to act on a significant number of warnings flagged by its risk management system

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