Personnel SFC Licences and HKMA Registrations (ID 25368732)

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) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2026-07-09	-
China Chengxin (Asia Pacific) Credit Ratings Company Limited	Rep	Providing credit rating services	2024-01-19	2026-03-27
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2022-05-18	2023-12-09
	Rep	Dealing in securities	2022-05-13	2023-12-09
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2021-04-29	2022-04-19
	Rep	Dealing in securities	2021-04-29	2022-04-19
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Dealing in securities	2020-11-03	2021-04-29
	Rep	Advising on corporate finance	2020-11-03	2021-09-15

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.