Personnel Hong Kong SFC License Details (ID 81353)

Personnel Hong Kong SFC License Details (ID 81353)

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 SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2024-04-05	-
GUOTAI JUNAN CAPITAL LIMITED	RO	Advising on corporate finance	2023-12-29	-
	Rep	Advising on corporate finance	2023-09-07	2023-12-29
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2023-09-07	2024-04-05
China Securities (International) Corporate Finance Company Limited	RO	Advising on corporate finance	2014-07-28	2023-07-17
	RO	Dealing in securities	2014-07-28	2023-07-17
	Rep	Advising on corporate finance	2014-03-21	2014-07-28
	Rep	Dealing in securities	2014-03-21	2014-07-28
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2007-09-21	2013-07-10
	Rep	Dealing in securities	2007-09-21	2013-07-10