Personnel Hong Kong SFC License Details (ID 81815)

Personnel Hong Kong SFC License Details (ID 81815)

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 FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2020-12-16	2022-01-09
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2020-12-16	2022-01-09
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-04-21	2022-01-09
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-04-21	2022-01-09
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	-	2004-06-28
	Rep	Advising on securities	-	2004-06-28
	Rep	Asset management	-	2004-06-28
	Rep	Providing automated trading services	-	2004-06-28
	Rep	Dealing in securities	-	2006-04-07
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Advising on futures contracts	-	2004-06-28
	Rep	Asset management	-	2004-06-28
	Rep	Dealing in futures contracts	-	2006-04-07
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	-	2004-06-28
	Rep	Advising on securities	-	2004-06-28
	Rep	Asset management	-	2004-06-28
	Rep	Providing automated trading services	-	2004-06-28
	Rep	Dealing in securities	-	2006-04-07