GF Securities Dalian Zhongshan Road Branch Receives Warning Letter for Inadequate Compliance Management

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Summary · why it matters

On October 9, according to an announcement issued by the Dalian Regulatory Bureau of the China Securities Regulatory Commission, GF Securities Dalian Zhongshan Road Securities Branch was issued a warning letter for inadequate compliance management and for submitting materials containing misleading statements and material omissions.

Impact on assets 1

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GF Securities Co Ltd
000776
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GF Securities' Dalian Zhongshan Road branch received a CSRC warning letter for inadequate compliance management and misleading/missing materials.