Personnel Hong Kong SFC License Details (ID 2659032)

Personnel Hong Kong SFC License Details (ID 2659032)

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 SECURITIES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2022-12-15	-
	RO	Advising on securities	2019-01-15	-
	RO	Dealing in securities	2019-01-15	-
GUOTAI JUNAN FUND MANAGEMENT LIMITED	RO	Dealing in securities	2017-11-27	2020-09-30
	RO	Advising on securities	2017-11-27	2021-04-01
	RO	Asset management	2017-11-27	2024-02-06
GUOTAI JUNAN ASSETS (ASIA) LIMITED	RO	Advising on securities	2017-03-31	-
	RO	Asset management	2017-03-31	-
	RO	Dealing in securities	2017-03-31	-
	Rep	Advising on securities	2016-11-15	2017-03-31
	Rep	Asset management	2016-11-15	2017-03-31
	Rep	Dealing in securities	2016-11-15	2017-03-31