Guosheng Securities (002670.SZ) and related parties received administrative penalty decisions and administrative supervision measures decisions

Zhitong Finance App News, Guosheng Securities (002670.SZ) issued an announcement. On November 11, 2026, the company and related parties received the “Administrative Penalty Decision” ([2026] No. 8) issued by the Jiangxi Securities Regulatory Bureau and the “Decision on Measures Ordering Corrections to Guosheng Securities Co., Ltd., Suspending the Opening of New Securities Accounts for 3 Months and Ordering the Punishment of Related Personnel” ([2026] No. 46), “Decision on Adopting Measures to Correct Zhang Changsheng” ([2026] No. 34) Appropriate candidate selection measures Decision”.

Among them, the main content of the “Administrative Penalty Decision” shows that the parties involved have the following illegal facts: First, Guosheng Securities brokerage business control is seriously flawed, relevant brokerage service management measures are lacking, related brokerage business control systems are not implemented in place, and related information technology services are provided in violation of regulations. Second, Guosheng Securities made a major mistake in implementing the real-name account system. In the process of verifying abnormal transactions, it failed to effectively perform duties such as using the real-name account system and managing abnormal transactions. Third, Guosheng Securities seriously violates information security regulations. The related hidden risks may have a great impact on the smooth operation of the securities and futures industry network and information security, and has failed to fulfill reporting obligations in accordance with the regulations.

The act of Guosheng Securities brokerage business with major flaws violates Article 27 (1) of the “Regulations on the Supervision and Administration of Securities Companies” (Order No. 653 of the State Council), section 33 (1), and section 39 (1) of the “Measures for the Administration of Securities Brokerage Business” (Securities Regulatory Commission Order No. 204, same below), constituting a situation stipulated in Article 45 (1) of the “Measures for the Administration of Securities Brokerage Business”. Lu Guo, general manager of the Wealth Management Department at the time, Kuang Wenbang, general manager of the Ningbo Sangtian Road Sales Department, and Wu Die, head of the Zhejiang branch, were the supervisors directly responsible for these illegal acts. Lu Xiuran, then head of the Information Technology Department, was the other directly responsible personnel.

Guosheng Securities's act of implementing the real-name account system violates section 3 of the “Regulations on Strengthening the Management of Securities Brokerage Business” (Securities Regulatory Commission Notice (2010) No. 11), section 25 of the “Measures for the Administration of Securities Brokerage Business”, section 24 of the “Administrative Measures on Securities Registration and Settlement” (Securities Regulatory Commission Order No. 147), and section 25 of the “Administrative Measures on Securities Registration and Settlement” (Securities Regulatory Commission Order No. 197), which constitutes a situation stipulated in section 45 (1) of the “Measures for the Administration of Securities Brokerage Business”. Liu Guoning, then vice president of the brokerage business management department and wealth management department, was directly responsible for the above illegal acts. Zhou Minglai, then general manager of the brokerage business management department, Kuang Wenbang, general manager of the Ningbo Sangtian Road Sales Department, and Wu Die, head of the Zhejiang branch, were other persons directly responsible for these offenses.

Guosheng Securities's serious violation of information security regulations violates section 31 of the “Securities and Futures Industry Information Security Management Measures” (Securities and Futures Commission Order No. 82) and section 36 of the “Securities and Futures Industry Network and Information Security Management Measures” (Securities and Futures Commission Order No. 218, same below), constituting a situation stipulated in section 62 (2) of the “Securities and Futures Industry Network and Information Security Management Measures”. Lu Xiuran, then general manager of the Information Technology Department, was the person in charge directly responsible for the above illegal acts.