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Kaiyuan Securities

Controversies

Controversies tied to this brand in public sources. A listing is not a finding of fault.

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  1. 2026

    Data Center Failure Unreported, Misleading Advisory Marketing, Inadequate Ongoing Supervision Trigger Warnings from Multiple Local CSRC Bureaus

    In August 2026, the Shaanxi Securities Regulatory Bureau issued a warning letter to Kaiyuan Securities because a failure at its Xi'an IDC data center was not reported in a timely manner; its Chongqing branch was warned for misleading marketing in advisory business and providing suggestions to clients without signed agreements; in September, the Xiamen Securities Regulatory Bureau issued another warning letter for inadequate ongoing supervision.

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