Decision on the Measures to Issue a Warning Letter to Guoxin Securities Co., Ltd.

MaticHoleFiller · 2026-03-28T00:05:43+00:00

(Source: Chongqing Securities Regulatory Bureau)Source: Chongqing Securities Regulatory BureauGuoxin Securities Co., Ltd.:Upon investigation, your company, as the trustee of corporate bonds, has failed to diligently perform the duties of supervising the use of bond fundraising funds, violating Article 7 of the "Measures for the Administration of Corporate Bond Issuance and Trading" (CSRC Order No. 113) and the first paragraph of Article 6 of the same measures (CSRC Order No. 180).According to Article 58 of the "Measures for the Administration of Corporate Bond Issuance and Trading" (CSRC Order No. 113) and Article 68 of the same measures (CSRC Order No. 180), our bureau has decided to issue a warning letter as an administrative regulatory measure, which will be recorded in the integrity file of the securities and futures market. Your company should seriously learn from this lesson, strengthen the study of relevant laws and regulations, and improve

MaticHoleFiller

2026-03-28 00:05:43

(Source: Chongqing CSRC)

Source: Chongqing CSRC

China Galaxy Securities Co., Ltd.:

Upon investigation, it has been found that as the trustee for corporate bond issuance, your company has failed to diligently and faithfully perform its supervisory duties regarding the use of funds raised from the bond issuance, thereby violating Article 7 of the《Measures for the Administration of the Issuance and Trading of Corporate Bonds》(CSRC Order No. 113) and Article 6, Paragraph 1 of the《Measures for the Administration of the Issuance and Trading of Corporate Bonds》(CSRC Order No. 180).

Pursuant to Article 58 of the《Measures for the Administration of the Issuance and Trading of Corporate Bonds》(CSRC Order No. 113) and Article 68 of the《Measures for the Administration of the Issuance and Trading of Corporate Bonds》(CSRC Order No. 180), our bureau has decided to take administrative regulatory measures against your company in the form of issuing a warning letter, and to record it in the integrity archive for the securities and futures market. Your company shall earnestly draw lessons, strengthen the study of relevant laws and regulations, improve its level of compliance in bond business practice, and take effective measures to prevent any illegal or non-compliant conduct. Your company shall, within 30 days from the date of receipt of this decision, submit a written rectification report to our bureau.

If you are not satisfied with these regulatory measures, you may file an application for administrative reconsideration with the China Securities Regulatory Commission within 60 days from the date of receipt of this decision; you may also bring a lawsuit in a people’s court with jurisdiction within 6 months from the date of receipt of this decision. During the period of reconsideration and litigation, the above regulatory measures shall not be suspended.

Chongqing CSRC

March 10, 2026

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