Personnel Hong Kong SFC License Details (ID 67825)

Personnel Hong Kong SFC License Details (ID 67825)

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
LIS Investment Services Limited	RO	Advising on securities	2009-09-08	-
	Rep	Advising on securities	2008-07-09	2009-09-08
	RO	Advising on securities	2008-01-09	2008-07-09
ASSET DYNAMIC MANAGEMENT LIMITED	Rep	Advising on securities	2006-09-28	2008-01-08
	Rep	Asset management	2006-09-19	2008-01-08
GUOTAI JUNAN ASSETS (ASIA) LIMITED	RO	Asset management	2003-10-23	2006-03-07
	Rep	Advising on securities	2003-04-01	2003-09-26
	Rep	Asset management	2003-04-01	2003-10-23
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-26
	Rep	Advising on securities	2003-04-01	2003-09-26
	Rep	Asset management	2003-04-01	2003-09-26
	Rep	Dealing in securities	2003-04-01	2006-03-07