Personnel Hong Kong SFC License Details (ID 2295507)

Personnel Hong Kong SFC License Details (ID 2295507)

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
Changyuan Securities Limited	RO	Advising on securities	2024-11-13	2025-03-10
	RO	Asset management	2024-11-13	2025-03-10
	RO	Dealing in securities	2024-11-13	2025-03-10
SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2020-06-04	2021-06-01
	Rep	Advising on securities	2020-06-04	2021-06-01
SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2020-06-04	2021-06-01
SHANXI SECURITIES INTERNATIONAL LIMITED	RO	Dealing in securities	2020-06-04	2021-06-01
Guosen Securities (HK) Brokerage Company, Limited	RO	Advising on securities	2014-11-04	2019-02-01
	RO	Dealing in securities	2014-11-04	2019-02-01
	Rep	Advising on securities	2014-07-16	2014-11-04
	Rep	Dealing in securities	2014-07-16	2014-11-04
	Rep	Advising on futures contracts	2014-07-16	2019-02-01
	Rep	Dealing in futures contracts	2014-07-16	2019-02-01