Personnel Hong Kong SFC License Details (ID 117578)

Personnel Hong Kong SFC License Details (ID 117578)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Guotai Junan FX Limited	Rep	Leveraged foreign exchange trading	2020-11-24	-
GUOTAI JUNAN ASSETS (ASIA) LIMITED	Rep	Asset management	2018-10-10	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-10-10	-
	Rep	Dealing in futures contracts	2018-10-10	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-10-10	-
	Rep	Dealing in securities	2018-10-10	-
WEST BULL SECURITIES LIMITED	Rep	Asset management	2018-07-20	2018-08-01
RSI ASSET MANAGEMENT LIMITED	Rep	Asset management	2017-09-21	2018-07-20
WEST BULL SECURITIES LIMITED	Rep	Dealing in securities	2017-09-21	2018-08-01
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-01-06	2016-11-09
	Rep	Advising on securities	2013-08-29	2016-11-09
	Rep	Dealing in securities	2013-08-29	2016-11-09
	Rep	Dealing in futures contracts	2009-09-01	2010-07-24
	Rep	Advising on securities	2009-05-07	2010-07-24
	Rep	Dealing in securities	2009-04-09	2010-07-24
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2008-07-16	2008-11-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2008-07-16	2008-11-20
	Rep	Dealing in securities	2008-07-16	2008-11-20
Rakuten Securities Hong Kong Limited	Rep	Leveraged foreign exchange trading	2005-12-16	2006-08-01