Personnel Hong Kong SFC License Details (ID 81705)

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
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	RO	Advising on futures contracts	2014-03-31	2022-09-19
	RO	Advising on securities	2014-03-31	2022-09-19
	RO	Asset management	2014-03-31	2022-09-19
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2014-03-31	2022-09-19
	RO	Advising on securities	2014-03-31	2022-09-19
	RO	Asset management	2014-03-31	2022-09-19
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2014-03-31	2022-09-19
	RO	Asset management	2014-03-31	2022-09-19
	RO	Dealing in securities	2014-03-31	2022-09-19
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2014-01-20	2014-03-31
	Rep	Advising on securities	2014-01-20	2014-03-31
	Rep	Asset management	2014-01-20	2014-03-31
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2014-01-20	2014-03-31
	Rep	Advising on securities	2014-01-20	2014-03-31
	Rep	Asset management	2014-01-20	2014-03-31
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2014-01-20	2014-03-31
	Rep	Asset management	2014-01-20	2014-03-31
	Rep	Dealing in securities	2014-01-20	2014-03-31
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	RO	Advising on futures contracts	2011-10-28	2014-01-01
	RO	Dealing in securities	2011-10-28	2014-01-01
	RO	Advising on securities	2011-01-04	2014-01-01
	RO	Asset management	2011-01-04	2014-01-01
	Rep	Advising on securities	2011-01-03	2011-01-04
	Rep	Asset management	2011-01-03	2011-01-04
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2010-05-20	2010-12-16
	RO	Advising on securities	2010-05-20	2010-12-16
	RO	Asset management	2010-05-20	2010-12-16
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	RO	Advising on futures contracts	2009-03-19	2010-12-16
	RO	Advising on securities	2009-03-19	2010-12-16
	RO	Asset management	2009-03-19	2010-12-16