Controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2024
Orient Securities Receives Warning Letter for Failing to Properly Retain Business Logs of Key Systems
The Shanghai Securities Regulatory Bureau determined that Orient Securities failed to properly retain business logs of important information systems, making it unable to meet the needs of fault analysis and investigation and evidence collection, and issued a warning letter. Progress: regulatory measure. Entity involved: Orient Securities Co., Ltd.
2024
Orient Securities' Overseas Subsidiary Has Deficiencies in Risk Management and Governance
The Shanghai Securities Regulatory Bureau determined that Orient Securities failed to improve the risk indicator system for overseas subsidiaries and failed to implement relevant risk management requirements, and that it also had problems including failing to discuss proposals collectively and failing to conduct departure audits for certain senior executives, and issued a warning letter. Progress: regulatory measure. Entity involved: Orient Securities Co., Ltd.
2024
Repeated Warnings for Inadequate Ongoing Supervision, Improper Rebates by Branches, and Staff Trading for Clients
In March 2026, the Shanghai Securities Regulatory Bureau issued a warning letter to Orient Securities for inadequate verification during its ongoing supervision of the Guangyuyuan restructuring; in August of the same year, the Beijing Securities Regulatory Bureau issued a warning letter because its Beijing Xueyuan Road branch improperly paid rebates to private fund clients. In 2024–2025, its Jiangyin, Shenyang, Deyang, and other branches were warned or ordered to rectify for employees privately trading on clients' behalf and for insufficient investor suitability management; employee Zhang Qin was fined and had funds confiscated totaling RMB 1.8878 million for privately trading on clients' behalf. This reflects weaknesses in compliance management at its branches.