Personnel SFC Licences and HKMA Registrations (ID 25564714)

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 FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2026-09-17	-
	RO	Dealing in futures contracts	2026-09-17	-
Guotai Junan FX Limited	RO	Leveraged foreign exchange trading	2026-09-17	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2025-12-18	-
	RO	Dealing in securities	2025-12-18	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2024-06-18	2026-09-17
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2024-01-23	2025-12-18
	Rep	Dealing in securities	2024-01-23	2025-12-18
BOCHK Asset Management Limited	Rep	Advising on securities	2020-12-17	2024-01-15
	Rep	Asset management	2020-12-17	2024-01-15
	Rep	Dealing in securities	2020-12-17	2024-01-15

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.