Personnel Hong Kong SFC License Details (ID 81825)

Personnel Hong Kong SFC License Details (ID 81825)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-02-09	-
	Rep	Asset management	2026-02-09	-
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	RO	Advising on futures contracts	2025-08-06	2025-12-28
	RO	Advising on securities	2025-08-06	2025-12-28
	RO	Asset management	2025-08-06	2025-12-28
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2025-08-06	2025-12-28
	RO	Asset management	2025-08-06	2025-12-28
	RO	Dealing in securities	2025-08-06	2025-12-28
	Rep	Dealing in securities	2016-06-07	2025-08-06
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2015-07-24	2025-08-06
	Rep	Advising on securities	2015-07-24	2025-08-06
	Rep	Asset management	2015-07-24	2025-08-06
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2015-07-24	2020-12-09
	Rep	Advising on securities	2015-07-24	2020-12-09
	Rep	Asset management	2015-07-24	2020-12-09
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2015-07-24	2025-08-06
	Rep	Asset management	2015-07-24	2025-08-06
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-04-19	2015-06-26
Guotai Junan FX Limited	Rep	Leveraged foreign exchange trading	2011-06-08	2015-06-26