Decision on the Measures to Issue a Warning Letter to Guoxin Securities Co., Ltd.

MaticHoleFiller · 2026-03-29T01:12:48+00:00

Chongqing Securities Regulatory Bureau issues a warning letter to Guoxin Securities for failing to comply with regulatory requirements and fulfill its supervision responsibilities over bond fundraising funds. Guoxin Securities needs to enhance its legal awareness, submit a rectification report, and may file a reconsideration or lawsuit.

MaticHoleFiller

2026-03-29 01:12:48

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On March 26, the Chongqing Securities Regulatory Bureau announced its decision to issue a warning letter to Guosen Securities Co., Ltd. After investigation, it was found that Guosen Securities, as the trustee for corporate bonds, failed to diligently perform its supervisory duties regarding the use of bond fundraising, violating Article 7 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 113) and the provisions of the first paragraph of Article 6 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 180). The Chongqing Securities Regulatory Bureau decided to take administrative regulatory measures against Guosen Securities by issuing a warning letter.

Guosen Securities Co., Ltd.:

After investigation, it was found that your company, as the trustee for corporate bonds, failed to diligently perform its supervisory duties regarding the use of bond fundraising, violating Article 7 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 113) and the provisions of the first paragraph of Article 6 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 180).

In accordance with Article 58 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 113) and Article 68 of the “Administrative Measures for the Issuance and Trading of Corporate Bonds” (CSRC Order No. 180), our bureau has decided to take administrative regulatory measures against your company by issuing a warning letter, which will be recorded in the integrity file of the securities and futures market. Your company should seriously learn from this lesson, strengthen the study of relevant laws and regulations, improve the practice level of bond business, and take effective measures to avoid illegal activities. The company should submit a written rectification report to our bureau within 30 days from the date of receiving this decision.

If you are dissatisfied with this supervisory measure, you may apply for an administrative reconsideration to the China Securities Regulatory Commission within 60 days from the date of receiving this decision, or file a lawsuit in a competent people’s court within 6 months from the date of receiving this decision. The above supervisory measures will not be suspended during the reconsideration and litigation period.

Chongqing Securities Regulatory Bureau

March 10, 2026

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