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Announcement No. 11 [2019] of the China Securities Regulatory Commission—Announcement on Reaching an Administrative Reconciliation Agreement between the China Securities Regulatory Commission, Goldman Sachs (Asia) L.L.C. and Beijing Gao Hua Securities Company Limited [Effective]
中国证券监督管理委员会公告(2019)11号――关于中国证券监督管理委员会与高盛(亚洲)有限责任公司、北京高华证券有限责任公司达成行政和解协议的公告 [现行有效]

Announcement of the China Securities Regulatory Commission 


(No. 11 [2019]) (〔2019〕11号)

According to the Implementation Measures for the Pilot Program of Administrative Reconciliation (Order No. 114 of the China Securities Regulatory Commission), the China Securities Regulatory Commission (“CSRC”) reached an administrative reconciliation agreement on April 23, 2019 with nine administrative reconciliation applicants from Goldman Sachs (Asia) L.L.C. (hereinafter referred to as “Goldman Sachs Asia”) and Beijing Gao Hua Securities Company Limited (hereinafter referred to as “Gao Hua Securities”) over the handling of the following matters: 根据《行政和解试点实施办法》(证监会令第114号),中国证券监督管理委员会(以下简称中国证监会)与高盛(亚洲)有限责任公司(以下简称高盛亚洲)、北京高华证券有限责任公司(以下简称高华证券)以及高盛亚洲和高华证券的相关工作人员等9名行政和解申请人(以下简称申请人)于2019年4月23日就下列事项的处理达成行政和解协议:
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