Personnel Hong Kong SFC License Details (ID 1852321)

Personnel Hong Kong SFC License Details (ID 1852321)

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
Guosen Securities (HK) Brokerage Company, Limited	RO	Advising on securities	2019-03-05	2020-10-30
	RO	Dealing in securities	2019-03-05	2020-10-30
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	RO	Advising on futures contracts	2014-01-06	2014-10-31
	RO	Advising on securities	2014-01-06	2020-10-30
	RO	Asset management	2014-01-06	2020-10-30
	RO	Dealing in securities	2014-01-06	2020-10-30
	Rep	Dealing in securities	2012-09-21	2014-01-06
	Rep	Advising on securities	2012-02-13	2014-01-06
	Rep	Asset management	2012-02-13	2014-01-06