Personnel Hong Kong SFC License Details (ID 81903)

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
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Dealing in securities	2022-04-28	-
	Rep	Dealing in securities	2021-10-08	2022-04-28
GUOYUAN ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2021-06-29	2022-04-19
GUOYUAN CAPITAL (HONG KONG) LIMITED	RO	Dealing in securities	2018-03-01	-
	Rep	Advising on corporate finance	2017-07-26	-
	Rep	Dealing in securities	2017-07-26	2018-03-01
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2016-11-07	2017-05-04
	RO	Dealing in futures contracts	2016-11-07	2017-05-04
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Advising on securities	2016-11-07	2017-06-30
	RO	Dealing in securities	2016-11-07	2017-06-30
Fosun International Securities Limited	Rep	Asset management	2016-02-16	2016-06-30
	RO	Advising on securities	2015-10-26	2016-06-30
	RO	Dealing in securities	2015-10-26	2016-06-30
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-10-10	2015-08-17
	RO	Advising on securities	2012-09-17	2015-08-17
	RO	Dealing in securities	2012-09-17	2015-08-17
	Rep	Advising on securities	2012-08-14	2012-09-17
	Rep	Dealing in securities	2012-08-14	2012-09-17
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	Advising on securities	2010-09-29	2012-06-29
	RO	Dealing in securities	2010-08-30	2012-06-29
	Rep	Dealing in securities	2010-08-23	2010-08-30
IBTS ASIA (HK) LIMITED	RO	Advising on securities	2010-02-18	2010-06-30
	RO	Dealing in securities	2010-02-18	2010-06-30
	Rep	Advising on securities	2010-01-22	2010-02-18
	Rep	Dealing in securities	2010-01-22	2010-02-18
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2007-11-20	2009-10-02
	Rep	Advising on securities	2007-11-02	2007-11-20
Open Securities Limited	RO	Advising on securities	2006-11-13	2009-10-02
	RO	Dealing in securities	2006-11-13	2009-10-02