Personnel Hong Kong SFC License Details (ID 81782)

Personnel Hong Kong SFC License Details (ID 81782)

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
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	Advising on futures contracts	2021-11-25	2024-01-01
	RO	Advising on securities	2021-11-25	2024-01-01
	RO	Asset management	2021-11-25	2024-01-01
	RO	Dealing in futures contracts	2021-11-25	2024-01-01
	RO	Dealing in securities	2021-11-25	2024-01-01
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2010-11-26	2020-10-31
Guotai Junan FX Limited	RO	Leveraged foreign exchange trading	2010-10-21	2020-10-31
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	-	2004-02-25
	RO	Asset management	-	2004-02-25
	RO	Dealing in futures contracts	-	2020-10-31
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-02-25
	Rep	Advising on securities	-	2004-02-25
	Rep	Asset management	-	2004-02-25
	Rep	Dealing in securities	-	2020-10-31