Personnel Hong Kong SFC License Details (ID 70962)

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 FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-07-10	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2019-07-10	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2018-09-10	2019-07-10
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2018-09-10	2019-07-10
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-06-19	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-06-19	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-04-24	2018-09-10
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-04-24	2018-09-10
BOA INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2017-11-14	2018-04-09
	RO	Dealing in securities	2017-11-14	2018-04-09
	Rep	Dealing in futures contracts	2017-10-09	2017-11-14
	Rep	Dealing in securities	2017-10-09	2017-11-14
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2012-02-23	2014-11-24
	Rep	Dealing in futures contracts	2005-10-13	2017-10-04
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-05-19	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-05-19	2017-10-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-01-28	2004-04-28
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Providing automated trading services	2003-04-01	2003-08-14
	Rep	Dealing in futures contracts	2003-04-01	2004-04-28
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-14
	Rep	Advising on securities	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Providing automated trading services	2003-04-01	2003-08-14
	Rep	Dealing in securities	2003-04-01	2004-04-28