Hualin Securities announced on September 24 that the company recently received notice from Executive Committee member and Acting Chief Executive Officer Dong Dong that, due to matters unrelated to the company, Dong Dong had received a Prior Notice of Regulatory Interview from the Jiangxi Securities Regulatory Bureau. The Jiangxi Securities Regulatory Bureau determined that Dong Dong, as the then General Manager of the Wealth Management Department of Guosheng Securities and the senior executive in charge of the Brokerage Business Management Department and Wealth Management Department, bore responsibility for the relevant violations, and intends to impose the administrative regulatory measure of a regulatory interview on him, with the matter to be recorded in the securities and futures market integrity archive. The circumstances involved in this prior notice all occurred during Dong Dong's tenure at Guosheng Securities, do not constitute conduct during his tenure at the company, are unrelated to the company's business operations, internal controls, and financial condition, will not have a material adverse impact on the company, and all of the company's business operations are proceeding normally.
Guosheng Financial Holding IncJiangxi Securities Regulatory Bureau found Dong Dong responsible for violations during his tenure as a senior executive at Guosheng Securities, triggering a regulatory interview and integrity-archive record.
ChinaLin Securities Co Ltd