Broker check
Is Guotai Haitong Securities safe?
Guotai Haitong Securities is a broker licensed by CSRC (verified on the register). Our global rating is Caution, 37 out of 100. Below: why it scores this way, what each regulator means for client protection, and how to verify.
Showing results for Global
Global rating: 37 Caution · evidence 85/100
- Licences verified
- CSRC
- Global score
- 37 / 100
- Evidence
- 85 / 100
- Last checked
- 30 Oct 2026
Why this score
Global rating 37 out of 100, Caution. Last checked 30 Oct 2026.
- Reason
- Regulator fine or enforcement in the last 2 years
- Cap applied
- Score capped at 60: regulator fine or enforcement in the last 2 years
- Regulation
- 22 / 40
- Client protection
- Not yet checked
- Regulatory conduct
- 0 / 25
- Track record
- Not yet checked
- Transparency
- 4 / 5
- Evidence confidence
- 85 / 100
Pillars marked “Not yet checked” are left out of the score rather than counted as zero; they lower evidence confidence instead. Nothing commercial affects a score, verdict or ranking.
What the verdict means
Guotai Haitong Securities is rated "Caution" globally. Verdicts come from a fixed, rule-based method applied identically to every firm.
- Verified
Score 75+, research complete, and an active tier 1 or 2 licence held by the entity serving retail clients.
- CautionThis record
Active, with enough evidence to score, but short of Verified. Read the reason before you deposit.
- High risk
Verified adverse evidence only: a regulator warning, or a licence revoked or suspended in the last 2 years.
- Insufficient data
Not enough verified evidence yet to rate. Not a judgement either way.
- Under review
Our researchers are re-checking this record. No score is shown until they finish.
- Not active
Inactive, redirected or merged. No score is shown.
See the methodology for how scores are built.
Who regulates Guotai Haitong Securities
Active licences verified on the regulator's register in our latest research:
China Securities Regulatory Commission
(CSRC)China
How to verify this yourself
Take a few minutes to check official registers directly:
- 01
Open the CSRC website at www.csrc.gov.cn.
- 02
Search for the firm's name.
- 03
Check that the licensed legal entity matches Guotai Haitong Securities's account terms and that status is current.
- 04
Check permissions cover the instruments you plan to trade.
Alternatives to Guotai Haitong Securities
Comparable brokers with an equal or higher score:
The record
Public verification fields held for this entity:
- Global verdict
- Caution
- Global score
- 37 / 100
- Licences verified
- CSRC
- FCA warning
- None recorded
- Last checked
- 30 Oct 2026
Check the regulator's register before depositing. We take no affiliate commissions from brokers, prop firms or educators, and rated entities cannot be our affiliates. Verdicts are computed from regulator records and are not for sale.
verify.trading provides records and analysis, not investment advice; trading involves significant risk of loss. Absence of a regulatory action is not an endorsement, and absence from a regulator's list is not proof of authorisation.
Guotai Haitong Securities: questions answered
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