Personnel Hong Kong SFC License Details (ID 2459552)

Personnel Hong Kong SFC License Details (ID 2459552)

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
NIVALIS PARTNERS LIMITED	Rep	Advising on securities	2024-08-20	-
	Rep	Asset management	2024-08-20	-
GUOTAI JUNAN ASSETS (ASIA) LIMITED	RO	Advising on securities	2016-05-20	2023-12-31
	RO	Asset management	2016-05-20	2023-12-31
	RO	Dealing in securities	2016-05-20	2023-12-31
	Rep	Advising on securities	2016-04-08	2016-05-20
	Rep	Asset management	2016-04-08	2016-05-20
	Rep	Dealing in securities	2016-04-08	2016-05-20
GUOTAI JUNAN FUND MANAGEMENT LIMITED	Rep	Advising on securities	2015-08-07	2016-03-29
	Rep	Asset management	2015-08-07	2016-03-29
	Rep	Dealing in securities	2015-08-07	2016-03-29