Personnel Hong Kong SFC License Details (ID 73668)

Personnel Hong Kong SFC License Details (ID 73668)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2022-06-13	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2018-12-20	-
	Rep	Dealing in futures contracts	2016-12-09	2018-12-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2016-02-29	-
	Rep	Dealing in securities	2015-09-25	2016-02-29
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-09-17	2014-12-12
CHINA RISE SECURITIES ASSET MANAGEMENT COMPANY LIMITED	RO	Dealing in securities	2014-02-18	2014-04-09
	Rep	Dealing in securities	2014-01-28	2014-02-18
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2010-08-11	2014-01-16
	Rep	Dealing in securities	2009-04-09	2010-08-11
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-09-07	2008-02-15