Regulatory Radar Weekly Report 2026-09-10 ~ 2026-09-17: Summary of China Financial Regulatory Penalties

Weekly Overview

This week (2026-09-10 ~ 2026-09-17), five regulatory channels published a total of 32 penalty/disciplinary records: 24 from NFRA, 6 from AMAC, and 2 from SSE.

As of this issue, LynxRegulus Regulatory Radar has cumulatively collected 351 records, of which 25 have completed structured parsing of the full text (penalty amounts and involved parties).

This Week’s Details

Date	Source	Type	Title	Link
2026-09-16	NFRA	Administrative Penalty	Guizhou Financial Regulatory Bureau — Administrative Penalty Information Disclosure (Gui Jin Fa Jue Zi [2026] No. 42-50)	Original
2026-09-16	NFRA	Administrative Penalty	Shanghai Regulatory Bureau of NFRA — Administrative Penalty Information Disclosure (Hu Jin Fa Jue Zi [2026] No. 135, 136)	Original
2026-09-16	NFRA	Administrative Penalty	Qiannan Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure (Qian Nan Jin Fa Jue Zi [2026] No. 30-31)	Original
2026-09-16	NFRA	Administrative Penalty	Leshan Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-15	NFRA	Administrative Penalty	Jiangsu Financial Regulatory Bureau — Administrative Penalty Information Disclosure	Original
2026-09-15	NFRA	Administrative Penalty	Qiannan Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure (Qian Nan Jin Fa Jue Zi [2026] No. 28-29)	Original
2026-09-15	NFRA	Administrative Penalty	Hainan Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-15	NFRA	Administrative Penalty	Dalian Regulatory Bureau of NFRA — Administrative Penalty Information Disclosure (Da Jin Fa Jue Zi [2026] No. 64)	Original
2026-09-15	NFRA	Administrative Penalty	Jinzhou Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure List	Original
2026-09-15	NFRA	Administrative Penalty	Benxi Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure List	Original
2026-09-11	NFRA	Administrative Penalty	Yili Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure List	Original
2026-09-11	SSE	Letter of Criticism	Decision on Issuing a Letter of Criticism to CTG Huamao International Logistics Co., Ltd. and Relevant Responsible Parties	Original
2026-09-11	NFRA	Administrative Penalty	Wuzhong Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure (Wu Jin Fa Jue Zi [2026] No. 3)	Original
2026-09-11	NFRA	Administrative Penalty	Ningbo Regulatory Bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-11	NFRA	Administrative Penalty	Huai’an Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-11	SSE	Regulatory Warning	Decision on Issuing a Regulatory Warning to Relevant Responsible Parties of CTG Huamao International Logistics Co., Ltd.	Original
2026-09-11	NFRA	Administrative Penalty	Beijing Regulatory Bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-11	NFRA	Administrative Penalty	Shenzhen Financial Regulatory Bureau — Administrative Penalty Information Disclosure List	Original
2026-09-11	NFRA	Administrative Penalty	Changzhou Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure	Original
2026-09-11	NFRA	Administrative Penalty	Jiangmen Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure List	Original
2026-09-11	NFRA	Administrative Penalty	Liangjiang Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure List	Original
2026-09-11	NFRA	Administrative Penalty	Guang’an Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-11	NFRA	Administrative Penalty	Liupanshui Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure (Liu Jin Jian Fa Jue Zi [2026] No. 3-4)	Original
2026-09-11	AMAC	Disciplinary Action — Market Institution	Disciplinary Decision (Taizhou WoYuan Private Equity Fund Management Co., Ltd.)	Original
2026-09-11	AMAC	Disciplinary Action — Market Institution	Disciplinary Decision (Guangzhou Xueqiu Investment Management Co., Ltd.)	Original
2026-09-11	AMAC	Disciplinary Action — Individual	Disciplinary Decision (Xu Mingqi)	Original
2026-09-11	AMAC	Disciplinary Action — Individual	Disciplinary Decision (Xie Lingjun)	Original
2026-09-11	AMAC	Disciplinary Action — Individual	Disciplinary Decision (Jin Peijun)	Original
2026-09-11	AMAC	Disciplinary Action — Individual	Disciplinary Decision (Li Changmin)	Original
2026-09-10	NFRA	Administrative Penalty	Shihezi Financial Regulatory Sub-bureau — Administrative Penalty Information Disclosure List	Original
2026-09-10	NFRA	Administrative Penalty	Wenzhou Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure	Original
2026-09-10	NFRA	Administrative Penalty	Baise Regulatory Sub-bureau of NFRA — Administrative Penalty Information Disclosure (Bai Jin Fa Jue Zi [2026] No. 7, 8)	Original

Data Notes

Data sources: China Securities Regulatory Commission (CSRC), Shanghai Stock Exchange (SSE), Shenzhen Stock Exchange (SZSE), National Financial Regulatory Administration (NFRA) — including all local regulatory bureaus/sub-bureaus — and Asset Management Association of China (AMAC). All are officially published by the respective institutions.
Items classified as 「regulatory measures / regulatory letters」 are self-regulatory actions by the exchanges and do not involve fines. Items classified as 「administrative penalties」 may include fines; amounts are as stated in the original disclosure documents.
This report is automatically aggregated and generated by the LynxRegulus pipeline and published every Monday, covering the previous week’s full set of public disclosures.