Due to problems in the off-exchange derivatives business, Caitong Securities and the company's general assistant were named by the Zhejiang Securities Regulatory Bureau.

Guotai Junan Securities Co., Ltd. was ordered by the Zhejiang Securities Regulatory Bureau to correct issues related to its over-the-counter derivatives business. On November 7th, the Zhejiang Securities Regulatory Bureau announced its decision to take corrective measures against Guotai Junan Securities Co., Ltd. According to the investigation, the over-the-counter derivatives business of Guotai Junan Securities has the following problems: inadequate management mechanism for the underlying assets, failure to timely adjust the underlying assets, insufficient annual review of investor qualifications, and ineffective management of business management system permissions and passwords. In accordance with the provisions of the "Regulatory Measures for Securities Companies and Securities Investment Fund Management Companies" and the "Information Technology Management Measures for Securities Fund Management Institutions", the Zhejiang Securities Regulatory Bureau decided to issue a corrective supervisory measure against Guotai Junan Securities. "Guotai Junan Securities should take this as a warning, thoroughly rectify the above-mentioned problems, take effective measures to improve the internal control and compliance management level of the over-the-counter derivatives business, and submit a written rectification report to our bureau within 30 days from the date of receiving this decision." stated the Zhejiang Securities Regulatory Bureau.