Personnel Hong Kong SFC License Details (ID 1978551)

Personnel Hong Kong SFC License Details (ID 1978551)

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 ASSETS (ASIA) LIMITED	RO	Asset management	2025-09-16	-
	Rep	Asset management	2023-02-28	2025-09-16
	RO	Advising on securities	2022-06-21	-
	RO	Dealing in securities	2022-06-21	-
	Rep	Advising on securities	2022-02-16	2022-06-21
	Rep	Dealing in securities	2022-02-16	2022-06-21
GUOTAI JUNAN FUND MANAGEMENT LIMITED	Rep	Dealing in securities	2020-05-15	2020-11-24
	Rep	Advising on securities	2020-04-15	2021-04-29
	Rep	Asset management	2020-04-15	2023-08-18
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2015-03-31	2020-03-20
	Rep	Asset management	2015-03-31	2020-03-20
	Rep	Asset management	2012-11-09	2013-05-17