GUOSEN SECURITIES

{"webSite":[{"url":"https://www.guosen.com.cn/gs/","type":1,"isLegal":true}],"influenceRank":"D","ico":"https://eimgjys.fxeyee.com/ico/3043596946/FXT3043596946_881851.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/3043596946/FXT3043596946_292432.png_wiki-template-global","shortName":"GUOSEN SECURITIES","establishYear":2020,"score":"1.46","tradeEnvRank":null,"isCommentProtect":true,"searchCount":39,"summary":{"content":"{brokers name}是一家中國交易商，成立於2020年，在2023年有1條監管機構披露信息，客戶服務：支持中文（簡體），主要服務中國，{brokers name}的影響力主要分佈在愛沙尼亞，影響力平均指數為4.13，綜合評級為D，天眼評分給{brokers name}打了1.46分。"},"advantage":{"advantages":[],"disadvantages":["不受任何監管機構監管","多條曝光信息","有監管機構負面信息披露"]},"highLight":{"regulatorCountry":[],"tradingPlatformType":null,"fundstransferType":null,"enterCondition":null,"maxLever":null,"transactionType":null,"allowCryptocurrency":false,"allowEATransaction":false,"accountNames":null},"safety":{"content":"{brokers name}未查到相關金融機構的監管，{brokers name}總部位於中國，成立於2020年。 {brokers name}安全嗎？","regulators":null,"level":0,"badState":null,"regulatoryDisclosure":{"total":1,"regulatorInfo":[{"RegInfo":{"fullName":"香港證券及期貨事務監察委員會","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":"香港證券及期貨事務監察委員會（SFC）於 1989 年成立，是一家獨立的法定機構，負責監管香港的證券及期貨市場的運作。 《證券及期貨條例》及附屬法例賦予證監會調查、糾正及紀律處分權力。 SFC獨立於香港特別行政區政府運作，而經費主要來自交易徵費及牌照費用。證監會作為國際金融中心的金融監管機構，一直致力於加強和維護香港證券及期貨市場的廉潔穩健，從而令投資者和業界的利益得到保障。","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":"罰款","Reason":"國信在處理客戶資產及提供客戶帳戶結單方面違反監管規定","RegId":"202301131018365183","Content":"證監會譴責國信證券（香港）經紀有限公司違反監管規定並處以罰款280萬元\n2022年12月21日\n\n\n\n證券及期貨事務監察委員會（證監會）譴責國信證券（香港）經紀有限公司（國信）並處以罰款280萬元，原因是國信在處理客戶資產及提供客戶帳戶結單方面違反監管規定（註1）。\n\n證監會的調查發現，在2021年1月1日至2021年3月7日期間，國信為取得財務融通，依賴1,009名客戶有效期已屆滿的常設授權，將他們的證券抵押品再質押給某家銀行作為抵押品。\n\n證監會亦發現，在2020年5月至2020年11月期間，國信向930名客戶提供資料不完整和不正確的月結單。\n\n國信的缺失違反了《證券及期貨（客戶證券）規則》（《客戶證券規則》）、《證券及期貨（成交單據、戶口結單及收據）規則》（《成交單據規則》）及《操守準則》（註2及3）。\n\n證監會在決定採取上述紀律處分時，已考慮到所有相關情況，包括：\n\n國信就其違反《客戶證券規則》及《成交單據規則》的情況採取了補救行動，並主動向證監會作出匯報；\n上述事件看似是個別事件；\n並無證據顯示國信的監管違規行為令客戶蒙受損失；及\n國信與證監會合作解決證監會的關注事項，及接受其調查結果和紀律行動。\n完\n\n備註：\n\n國信根據《證券及期貨條例》獲發牌經營第1類（證券交易）、第2類（期貨合約交易）、第4類（就證券提供意見）及第5類（就期貨合約提供意見）受規管活動的業務。\n《證券及期貨事務監察委員會持牌人或註冊人操守準則》。\n\n有關紀律行動聲明載於證監會網站\n\n最後更新日期 2022年12月21日","Title":"證監會譴責國信證券（香港）經紀有限公司違反監管規定並處以罰款280萬元","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 name}的客戶服務支持3種語言、1個地區，您可以通過電話、郵箱、即時通訊軟件與他們聯繫，並收到大部分的相關回答，但是等待時間可能會比較長。","customerServiceDetail":[{"LanguageName":"中文（簡體）","TraderInvestType":6,"TypeName":"微信","Content":"gx002736"},{"LanguageName":"中文（簡體）","TraderInvestType":1,"TypeName":"客服電話","Content":"+156 95536"},{"LanguageName":"中文（簡體）","TraderInvestType":3,"TypeName":"郵箱","Content":"19007@guosen.com.cn"}]},"influenceInfo":{"content1":"{brokers name}的影響力主要分佈在愛沙尼亞，影響力平均指數為4.13，綜合評級為D，詳細信息如下：","content2":"{brokers name}的市場策略：搜索來源Baidu 64.07%、Bing 18.23%、Google 15.84%、Sogou.com 1.12%、Syndicated 0.36%、其他 0.38%。"},"exposure":{"total":1,"items":[{"code":"202102053942934044","traderCode":"3043596946","language":"zh-cn","originalTitle":"騙了","originalContent":"不讓出金，賬戶被凍結了，還讓我交保證金，這時才知道被騙","translateTitle":"","tranlateContent":"","time":"2021-02-05 15:00:42","wikiTimestamp":0}]},"comment":{"Total":0,"CommentTotal":0,"AveageScore":0,"Items":null},"traderCode":"3043596946"}