Recently, brokerage firms have frequently been subject to administrative supervision measures or administrative penalties by supervisory authorities. On the 10th, 5 more brokerage firms were “named.” The investigation revealed that the matter involved five brokerage firms, Guoxin Securities, CICC, Shenwan Hongyuan, CITIC Securities, and Dongguan Securities. Judging from the content, they also involved various business fields such as brokerage business, brokerage business, and asset management business. Under the tone of strong foundation and strict supervision and control, supervision shows three major characteristics: closer publication, faster implementation, and heavier penalties. (China News)
多地证监局出手，头部券商被密集采取监管措施
Securities Regulatory Bureaus in many places have taken action, and leading brokerage firms have been intensively taking regulatory measures
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