These are the details that were found for SFC licence holder AXC175 on the SFC website.
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Key for Role: RE = Representative, RO = Responsible Officer
| Institution | Role | Activity | Start date | End date |
|---|---|---|---|---|
| Guotai Junan Assets (Asia) Limited | RE | Dealing in Securities | 2014-01-15 | 2017-09-17 |
| Guotai Junan Assets (Asia) Limited | RE | Asset Management | 2014-11-03 | 2017-09-17 |
| Yuanta Securities (Hong Kong) Company Limited | RE | Dealing in Securities | 2012-06-14 | 2014-01-03 |
| Polaris Securities (Hong Kong) Limited | RE | Dealing in Securities | 2011-04-27 | 2014-01-03 |
| China Everbright Assets Management Limited | RE | Advising on Securities | 2017-11-01 | |
| China Everbright Assets Management Limited | RE | Asset Management | 2017-11-01 |
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