SZSE: Takes self-regulatory measures such as trading suspension against investors related to Guotou Silver LOF

CryptocurrencySniper · 2026-01-30T11:45:25+00:00

From January 23 to January 30, 2026, the Shenzhen Stock Exchange conducted multiple regulatory actions on listed companies and market trading, penalized violations, and implemented self-discipline measures. Supervision was carried out on abnormal trading behaviors, risk warnings were issued regarding fund product premiums, and verbal warnings and conversations were given to members for violations.

CryptocurrencySniper

2026-01-30 11:45:25

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I. Listed Company Regulatory Developments (January 23, 2026 - January 29, 2026)

From January 23 to January 29, 2026, our exchange imposed disciplinary actions on 2 cases of violations involving information disclosure and regulatory compliance; issued regulatory letters to 4 cases involving violations of information disclosure and regulatory compliance. This week, 13 inquiry letters and 65 other letters were issued.

II. Market Trading Regulation Developments (January 26, 2026 - January 30, 2026)

From January 26 to January 30, 2026, our exchange took self-regulatory measures against a total of 261 cases of abnormal securities trading behaviors, involving market manipulation, false reporting, and other irregular trading scenarios; conducted investigations into 16 major issues of listed companies, and reported 4 suspected illegal and regulatory violations to the CSRC.

Recently, fund products such as “Guotou Silver LOF” have exhibited excessive premiums. Fund companies have issued multiple risk warnings and suspension announcements due to premium risks, but the premium rates of related fund products continue to rise. Some investors engaged in abnormal trading behaviors that affected the normal trading order of funds. Our exchange has taken regulatory measures such as suspending trading for relevant investors in accordance with regulations.

III. Member Regulation Developments (January 26, 2026 - January 30, 2026)

This week, regarding violations by sponsor representatives in stock issuance and listing applications, our exchange issued verbal warnings to a sponsor representative of a member; based on on-site inspections of some members, we took regulatory measures such as meetings and conversations with a member whose client trading behavior management was inadequate.

(Source: Shenzhen Stock Exchange)

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