Personnel Hong Kong SFC License Details (ID 71137)

Personnel Hong Kong SFC License Details (ID 71137)

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	2022-12-12	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-12-12	-
	Rep	Dealing in securities	2022-12-12	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2020-12-23	2022-12-12
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2020-12-23	2022-12-12
	RO	Dealing in securities	2020-12-23	2022-12-12
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-02-27	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-02-27	2020-12-23
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2019-02-01	2020-12-23
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2019-02-01	2020-12-23
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2017-03-08	2019-01-18
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2017-03-08	2019-01-18
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-05-12	2017-01-27
	Rep	Advising on securities	2010-08-02	2017-01-27
	Rep	Dealing in securities	2010-08-02	2017-01-27