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China's CSRC imposes restrictions on GF Securities over risk management failures

China's securities regulator restricted GF Securities Co. Ltd. from expanding its over-the-counter derivatives business and adding new types of business for six months after finding deficiencies in risk management and control of its Hong Kong unit.

The China Securities Regulatory Commission imposed the regulatory restrictions on the brokerage after it found that GF Holdings (Hong Kong) Co. Ltd. did not have sufficient control of risks relating to new business and that its risk control system failed to fully cover its risk data. Further, the CSRC found deficiencies in GF Holdings' compliance management and said it submitted inaccurate data to the regulator.

GF Securities said it will proactively adopt rectification measures in accordance with the regulatory requirements.