Personnel Hong Kong SFC License Details (ID 74203)

Personnel Hong Kong SFC License Details (ID 74203)

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
AJ Futures Limited	RO	Dealing in futures contracts	2019-07-08	-
AJ Asset Management Limited	RO	Advising on securities	2018-08-28	-
	RO	Asset management	2018-08-28	-
AJ Securities Limited	RO	Advising on securities	2018-07-20	-
	RO	Dealing in securities	2018-01-03	-
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2013-06-19	2017-09-05
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2011-08-17	2017-09-05
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2009-08-12	2011-08-12
	Rep	Dealing in securities	2009-05-29	2011-08-12