国信证券

{"webSite":[{"url":"https://www.guosen.com.cn/gs/","type":1,"isLegal":true}],"influenceRank":"D","ico":"https://eimgjys.fxeyee.com/ico/637321619342907457/FXT637321619342907457_186591.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/637321619318220114/FXT637321619318220114_635608.jpg_wiki-template-global","shortName":"国信证券","establishYear":2020,"score":"1.46","tradeEnvRank":null,"isCommentProtect":true,"searchCount":39,"summary":{"content":"{brokers name}是一家中国交易商，成立于2020年，在2023年有1条监管机构披露信息，客户服务：支持中文(简体)，主要服务中国，{brokers name}的影响力主要分布在爱沙尼亚，影响力平均指数为4.13，综合评级为D，天眼评分给{brokers name}打了1.46分。"},"advantage":{"advantages":["在线客服支持"],"disadvantages":["不受任何监管机构监管","多条曝光信息","有监管机构负面信息披露"]},"highLight":{"regulatorCountry":[],"tradingPlatformType":null,"fundstransferType":null,"enterCondition":null,"maxLever":null,"transactionType":null,"allowCryptocurrency":false,"allowEATransaction":false,"accountNames":null},"safety":{"content":"{brokers name}未查到相关金融机构的监管 ，{brokers name}总部位于中国，成立于2020年。{brokers name}安全吗？","regulators":null,"level":0,"badState":null,"regulatoryDisclosure":{"total":1,"regulatorInfo":[{"RegInfo":{"fullName":"香港证券及期货事务监察委员会","ShortName":"SFC","ico":"https://eimgjys.fxeyee.com/ico/637420877909626096/FXR637420877909626096_835021.png_wiki-template-global","hico":"https://eimgjys.fxeyee.com/hico/637420878039001073/FXR637420878039001073_545335.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/637420877831970149/FXR637420877831970149_812383.png_wiki-template-global","flag":"https://img.souhei.com.cn/flag/938dc2a6340e2586/344.png_wiki-template-global","desc":"香港证券及期货事务监察委员会（SFC）于 1989 年成立，是一家独立的法定机构，负责监管香港的证券及期货市场的运作。 《证券及期货条例》及附属法例赋予证监会调查、纠正及纪律处分权力。SFC独立于香港特别行政区政府运作，而经费主要来自交易征费及牌照费用。 证监会作为国际金融中心的金融监管机构，一直致力于加强和维护香港证券及期货市场的廉洁稳健，从而令投资者和业界的利益得到保障。","banner":"https://img.souhei.com.cn/bg/638049704309225724/FXR638049704309225724_151151.jpg_wiki-template-global","bannerV2":"https://img.souhei.com.cn/bg/638049704309225724/FXR638049704309225724_151151.jpg_wiki-template-global","code":"1562730434","country":"香港","bgColor":"#2E5299","regulatorColor":"#CBD7EE"},"DisclosureDetail":[{"CategoryName":"罚款","Reason":"国信在处理客户资产及提供客户帐户结单方面违反监管规定","RegId":"202301131018365183","Content":"证监会谴责 国信证券（香港）经纪有限公司违反监管规定并处以罚款280万元2022年12月21日证券及期货事务监察委员会（证监会）谴责 国信证券（香港）经纪有限公司（国信）并处以罚款280万元，原因是国信在处理客户资产及提供客户帐户结单方面违反监管规定（注1）。证监会的调查发现，在2021年1月1日至2021年3月7日期间，国信为取得财务融通，依赖1,009名客户有效期已届满的常设授权，将他们的证券抵押品再质押给某家银行作为抵押品。证监会亦发现，在2020年5月至2020年11月期间，国信向930名客户提供资料不完整和不正确的月结单。国信的缺失违反了《证券及期货（客户证券）规则》（《客户证券规则》）、《证券及期货（成交单据、户口结单及收据）规则》（《成交单据规则》）及《操守准则》（注2及3）。证监会在决定采取上述纪律处分时，已考虑到所有相关情况，包括： 国信就其违反《客户证券规则》及《成交单据规则》的情况采取了补救行动，并主动向证监会作出汇报； 上述事件看似是个别事件； 并无证据显示国信的监管违规行为令客户蒙受损失；及国信与证监会合作解决证监会的关注事项，及接受其调查结果和纪律行动。完备注： 国信根据《证券及期货条例》获发牌经营第1类（证券交易）、第2类（期货合约交易）、第4类（就证券提供意见）及第5类（就期货合约提供意见）受规管活动的业务。 《证券及期货事务监察委员会持牌人或注册人操守准则》。有关纪律行动声明载于证监会网站最后更新日期2022年12月21日","Title":"证监会谴责国信证券（香港）经纪有限公司违反监管规定并处以罚款280万元","category":"3","RegTime":"2022-12-21T00:00:00","RuleName":"名称匹配","Tag":{"TagName":"Sanction","Color":"#9B273A","Category":"3","Language":"en","Logo":"https://img.fx696.com/test/bg/638017088565349598/FXR638017088565349598_235021.png_wiki-template-global"},"CreateTime":"2023-01-13T10:18:37","wiki_timestamp":1671580800000}]}]}},"openAccount":null,"tradeEnv":{"TotalDescribe":null,"name":null,"logo":null,"Grade":null,"SpeedGrade":null,"FastestSpeed":null,"FastestSpeed_Open":null,"FastestSpeed_Close":null,"SlowestSpeed":null,"SlowestSpeed_Open":null,"SlowestSpeed_Close":null,"SpeedOverRate":null,"SlipGrade":null,"AveSlip":null,"MaxSlip":null,"MaxSlip_Positive":null,"MaxSlip_Negative":null,"SlipOverRate":null,"CostGrade":null,"AveCost_wh":null,"AveCost_xau":null,"CostOverRate":null,"SwapGrade":null,"AveLongSwap_wh":null,"AveShortSwap_wh":null,"AveLongSwap_xau":null,"AveShortSwap_xau":null,"SwapOverRate":null,"OffLineGrade":null,"AveReconnectNum":null,"AveReconnectTime":null,"OffLineOverRate":null,"AveSpeed":null,"SpeedDescribe_new":null,"SpeedDescribefast_new":null,"SpeedDescribefastopen_new":null,"SpeedDescribefastclose_new":null,"SpeedDescribeslow_new":null,"SpeedDescribeslowopen_new":null,"SpeedDescribeslowclose_new":null,"SlipDescribe_new":null,"SlipDescribemax_new":null,"SlipDescribemax1_new":null,"SlipDescribemax2_new":null,"CostDescribe_new":null,"CostDescribe1_new":null,"CostDescribe2_new":null,"SwapDescribe_new":null,"SwapDescribe1_new":null,"SwapDescribe2_new":null,"OffLineDescribe_new":null,"color":null,"DayTime":null,"TotalTraders":null,"Totalcount":null,"totalbanlance":null,"Sort":null,"SpeedSort":null,"SlipSort":null,"CostSort":null,"SwapSort":null,"OffLineSort":null,"SpeedDescribe":null,"SpeedDescribefast":null,"SpeedDescribefastopen":null,"SpeedDescribefastclose":null,"SpeedDescribeslow":null,"SpeedDescribeslowopen":null,"SpeedDescribeslowclose":null,"SlipDescribe":null,"SlipDescribemax":null,"SlipDescribemax1":null,"SlipDescribemax2":null,"CostDescribe":null,"CostDescribe1":null,"CostDescribe2":null,"SwapDescribe":null,"SwapDescribe1":null,"SwapDescribe2":null,"OffLineDescribe":null,"TotalBrokers":null},"softwareInfo":null,"customerService":{"content":"{brokers 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