Hong Kong SFC licence institution ADH990, Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司

These are the licence-holders that were found for SFC licence institution ADH990 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAA153 WONG Chung Mun 黃仲文 RE Asset Management 2018-09-05 2018-09-05
AAA153 WONG Chung Mun 黃仲文 RO Asset Management 2018-09-05
AAC295 MAK Chak Hung 麥澤鴻 RE Advising on Securities 2006-06-05 2006-06-13
AAC295 MAK Chak Hung 麥澤鴻 RO Advising on Securities 2007-01-08 2008-11-14
AAC295 MAK Chak Hung 麥澤鴻 RE Asset Management 2006-05-11 2006-06-05
AAC295 MAK Chak Hung 麥澤鴻 RO Asset Management 2006-06-05 2008-11-14
AAV372 CHEUNG Lai Yan 張禮仁 RO Dealing in Securities 2009-09-23 2011-03-08
AAV372 CHEUNG Lai Yan 張禮仁 RO Advising on Securities 2003-04-01 2004-03-30
AAV372 CHEUNG Lai Yan 張禮仁 RO Advising on Securities 2004-11-29 2011-03-08
AAV372 CHEUNG Lai Yan 張禮仁 RO Asset Management 2003-04-01 2011-03-08
ABJ630 LUI David 雷昌年 RE Asset Management 2007-05-04 2011-04-16
ACO429 SHUM Chi Kau, Christ 岑智球 RE Advising on Securities 2003-04-01 2003-12-30
ACO429 SHUM Chi Kau, Christ 岑智球 RE Advising on Securities 2004-11-29 2010-05-03
ACO429 SHUM Chi Kau, Christ 岑智球 RE Asset Management 2003-04-01 2010-05-03
ACY383 WOO Peter 吳培魏 RE Asset Management 2008-11-25 2009-04-01
ACZ857 TANG Davina Tak-wai 鄧德慧 RE Advising on Securities 2006-12-27 2010-04-24
ACZ857 TANG Davina Tak-wai 鄧德慧 RE Asset Management 2006-12-27 2010-04-24
ADJ392 TSANG Kwok Yuk 曾國鈺 RE Asset Management 2018-04-23
ADV914 POON Kai Chung 潘繼宗 RE Asset Management 2017-03-03 2017-08-16
ADV914 POON Kai Chung 潘繼宗 RO Asset Management 2017-08-16
AEJ364 MAN Chi Tak, Judith 文智德 RE Asset Management 2003-10-27 2003-12-12
AFJ091 AU Yiu Fai 區耀輝 RE Dealing in Securities 2011-06-07 2014-07-01
AFJ091 AU Yiu Fai 區耀輝 RE Advising on Securities 2011-06-07 2014-07-01
AFJ091 AU Yiu Fai 區耀輝 RE Asset Management 2011-06-07 2014-07-01
AFP741 YIM Fung 閻峰 RO Dealing in Securities 2009-09-23
AFP741 YIM Fung 閻峰 RO Advising on Securities 2003-04-01 2004-03-30
AFP741 YIM Fung 閻峰 RO Advising on Securities 2004-11-29
AFP741 YIM Fung 閻峰 RO Asset Management 2003-04-01
AHH526 LI Guangjie 李光杰 RE Asset Management 2006-03-08 2018-07-06
AHI943 ZHU Qizhi 朱奇志 RE Asset Management 2005-04-20 2008-06-12
AHI943 ZHU Qizhi 朱奇志 RO Asset Management 2008-06-12 2009-06-01
AID493 SAN TO Hok Kwan 申屠學軍 RE Advising on Securities 2003-04-01 2003-09-26
AID493 SAN TO Hok Kwan 申屠學軍 RE Asset Management 2003-04-01 2003-10-23
AID493 SAN TO Hok Kwan 申屠學軍 RO Asset Management 2003-10-23 2006-03-07
AIL180 TONG Leung Kwing 唐良炯 RE Advising on Securities 2010-06-09 2012-03-08
AIL180 TONG Leung Kwing 唐良炯 RE Asset Management 2010-06-09 2012-03-08
AIX656 JIANG Jinzhi 蔣錦志 RE Asset Management 2005-01-10 2005-05-27
AJD685 LU Shengxi 盧聖喜 RE Asset Management 2003-10-22 2004-03-11
AJD685 LU Shengxi 盧聖喜 RE Asset Management 2006-09-04 2006-09-27
AJF586 ZHAO Danyang 趙丹陽 RE Asset Management 2003-12-24 2005-01-05
AKR460 WU Kaiping 吳凱平 RE Asset Management 2004-07-26 2005-01-26
AKX339 LU Lu 呂露 RE Asset Management 2006-07-10
AKY991 KAN Lai Ping, Pinky 簡麗萍 RE Asset Management 2004-11-11 2006-11-11
ALF377 LUK Chun Kin 陸晉建 RE Asset Management 2011-12-12 2012-09-24
ALS806 YUAN Junping 袁軍平 RO Dealing in Securities 2011-03-07 2017-09-04
ALS806 YUAN Junping 袁軍平 RE Advising on Securities 2008-09-30 2011-03-07
ALS806 YUAN Junping 袁軍平 RO Advising on Securities 2011-03-07 2017-09-04
ALS806 YUAN Junping 袁軍平 RE Asset Management 2005-07-28 2008-09-30
ALS806 YUAN Junping 袁軍平 RO Asset Management 2008-09-30 2017-09-04
ALW291 CHIU Simon Siu Hung 趙少洪 RE Dealing in Securities 2016-04-08 2016-05-20
ALW291 CHIU Simon Siu Hung 趙少洪 RO Dealing in Securities 2016-05-20
ALW291 CHIU Simon Siu Hung 趙少洪 RE Advising on Securities 2016-04-08 2016-05-20
ALW291 CHIU Simon Siu Hung 趙少洪 RO Advising on Securities 2016-05-20
ALW291 CHIU Simon Siu Hung 趙少洪 RE Asset Management 2016-04-08 2016-05-20
ALW291 CHIU Simon Siu Hung 趙少洪 RO Asset Management 2016-05-20
AMC666 MOK Wai Man, Derek 莫偉民 RE Advising on Securities 2008-03-14 2010-12-15
AMC666 MOK Wai Man, Derek 莫偉民 RE Asset Management 2008-01-22 2010-12-15
AMI240 GAN Tian 甘添 RE Asset Management 2005-08-03 2008-02-01
AMR826 KWONG Sau King, Janet 江秀琼 RE Dealing in Securities 2016-04-26
AMR826 KWONG Sau King, Janet 江秀琼 RE Advising on Securities 2016-04-26
AMR826 KWONG Sau King, Janet 江秀琼 RE Asset Management 2016-04-26
AMV035 LAI Billy Yee Piu 黎以標 RE Asset Management 2018-10-10
AMV359 YUEN Pui Sze 袁佩詩 RE Asset Management 2006-05-23
ANA244 YAU Wai Kuen, Stephen 邱偉權 RE Dealing in Securities 2013-12-19 2014-01-27
ANG468 LAU Tat Shing 劉達誠 RE Dealing in Securities 2014-11-19 2017-04-28
ANG468 LAU Tat Shing 劉達誠 RE Asset Management 2015-01-12 2017-04-28
ANL982 LAM Ying 林迎 RE Advising on Securities 2006-11-24 2009-02-26
ANL982 LAM Ying 林迎 RE Asset Management 2006-07-03 2009-02-26
ANR779 HUANG Qijun 黃奇俊 RE Asset Management 2006-07-26 2010-03-12
ANU813 MA Kai 馬凱 RE Advising on Securities 2013-11-11 2015-12-23
ANU813 MA Kai 馬凱 RO Advising on Securities 2015-12-23
ANU813 MA Kai 馬凱 RE Asset Management 2013-11-11 2015-12-23
ANU813 MA Kai 馬凱 RO Asset Management 2015-12-23
ANX203 XIE Liuyi 謝柳毅 RE Asset Management 2006-09-04 2006-09-27
ANX204 LONG Xiaobo 龍 小波 RE Asset Management 2006-09-04 2006-09-27
AOM643 LING Ka Kin 凌嘉鍵 RE Asset Management 2013-05-07 2017-04-28
AOV816 LAW Chi Pang 羅志鵬 RE Asset Management 2007-05-03 2011-05-07
AOV816 LAW Chi Pang 羅志鵬 RE Asset Management 2011-10-17 2014-05-02
APD345 CHEN Yijin 陳義進 RE Advising on Securities 2008-08-29 2010-09-30
APD345 CHEN Yijin 陳義進 RE Asset Management 2007-06-25 2010-09-30
APH871 LEE Wing Yan 李泳欣 RE Asset Management 2007-07-27 2011-05-07
APS297 NG King Kwong 吳景光 RE Advising on Securities 2012-10-24 2014-11-11
APS297 NG King Kwong 吳景光 RE Asset Management 2012-10-24 2014-11-11
APW215 NG Kwong Kei 吳廣基 RE Asset Management 2008-02-01 2008-12-16
APW348 HUNG Kwok Chuen 熊國全 RE Dealing in Securities 2014-06-11
APW348 HUNG Kwok Chuen 熊國全 RE Asset Management 2015-01-15
AQD647 LAU Ho To 劉浩濤 RE Asset Management 2008-01-18 2008-11-14
AQE308 SZE Yuk Man 施旭雯 RE Asset Management 2008-01-28 2010-05-03
AQO169 MAN Chi Ho 文志豪 RE Asset Management 2010-12-31 2013-10-13
AQS482 MING Liang 明亮 RE Advising on Securities 2008-08-29 2017-12-06
AQS482 MING Liang 明亮 RE Asset Management 2008-05-21 2017-12-06
ARR530 TONG Ka Lai 唐嘉麗 RE Dealing in Securities 2014-08-29 2016-06-12
ARR530 TONG Ka Lai 唐嘉麗 RE Advising on Securities 2014-08-29 2016-06-12
ARR530 TONG Ka Lai 唐嘉麗 RE Asset Management 2016-02-12 2016-06-12
ARW530 YE Yingcong 叶英聰 RE Dealing in Securities 2016-05-25 2018-06-25
ARW530 YE Yingcong 叶英聰 RE Advising on Securities 2016-05-25 2018-06-25
ARW530 YE Yingcong 叶英聰 RE Asset Management 2016-05-25 2018-06-25
ATX173 WU Yang 吳泱 RE Advising on Securities 2010-01-19 2010-04-01
AUJ127 MAI Siwei 麥斯韋 RE Asset Management 2011-06-01 2011-10-19
AUW342 LIU Shuk Hin 廖淑軒 RE Dealing in Securities 2017-06-16
AUW342 LIU Shuk Hin 廖淑軒 RE Advising on Securities 2017-06-16
AUW342 LIU Shuk Hin 廖淑軒 RE Asset Management 2017-06-16
AWH555 YANG Bohan 楊博函 RE Dealing in Securities 2013-10-09 2014-02-24
AXC175 CHAO Ruo Han 趙若涵 RE Dealing in Securities 2014-01-15 2017-09-17
AXC175 CHAO Ruo Han 趙若涵 RE Asset Management 2014-11-03 2017-09-17
AXG319 NAN Nan 南楠 RE Dealing in Securities 2016-05-27 2018-09-01
AXG319 NAN Nan 南楠 RE Advising on Securities 2016-05-27 2018-09-01
AXG319 NAN Nan 南楠 RE Asset Management 2016-05-27 2018-09-01
AXI167 LIU Xiaotao 劉曉韜 RE Asset Management 2011-05-27 2013-05-01
AXI168 SUNG On Na 宋安娜 RE Dealing in Securities 2011-05-27
AXI168 SUNG On Na 宋安娜 RE Advising on Securities 2011-05-27
AXI168 SUNG On Na 宋安娜 RE Asset Management 2011-05-27
AXS848 CHEN Yijing 陳毅菁 RE Dealing in Securities 2017-07-25
AXS848 CHEN Yijing 陳毅菁 RE Advising on Securities 2017-07-25
AXS848 CHEN Yijing 陳毅菁 RE Asset Management 2017-07-25
AXT532 CAI Xiaoye 蔡晓曄 RE Dealing in Securities 2012-07-25 2013-10-06
AXT532 CAI Xiaoye 蔡晓曄 RE Advising on Securities 2011-08-03 2013-10-06
AXT532 CAI Xiaoye 蔡晓曄 RE Asset Management 2011-08-03 2012-07-30
AYA531 CHEUNG Chun Kin 張俊堅 RE Dealing in Securities 2017-06-26
AYA531 CHEUNG Chun Kin 張俊堅 RE Asset Management 2017-06-26
AYB049 LI Zhao 李招 RE Advising on Securities 2011-09-12 2013-07-29
AYB049 LI Zhao 李招 RE Asset Management 2011-09-12 2013-07-29
AYS791 WENG Xiyun 翁錫贇 RE Advising on Securities 2012-01-03 2013-11-25
AYS791 WENG Xiyun 翁錫贇 RE Asset Management 2012-01-03 2013-11-25
BAM634 HONG Mei 洪梅 RE Advising on Securities 2012-11-23
BAM634 HONG Mei 洪梅 RE Asset Management 2012-11-23
BCC071 LI Xiaowei 李晓蔚 RE Dealing in Securities 2013-10-17
BCC071 LI Xiaowei 李晓蔚 RE Advising on Securities 2013-10-17
BCC071 LI Xiaowei 李晓蔚 RE Asset Management 2017-05-26
BDA213 GUO Rui 郭睿 RE Dealing in Securities 2016-04-14
BDA213 GUO Rui 郭睿 RE Advising on Securities 2016-04-14
BDA213 GUO Rui 郭睿 RE Asset Management 2016-04-14
BEZ255 LUO Zhongyan 羅忠雁 RE Advising on Securities 2015-02-11 2017-06-12
BEZ255 LUO Zhongyan 羅忠雁 RE Asset Management 2015-02-11 2017-06-12
BFB179 QI Haiying 祁海英 RE Dealing in Securities 2016-11-15 2017-03-31
BFB179 QI Haiying 祁海英 RO Dealing in Securities 2017-03-31
BFB179 QI Haiying 祁海英 RE Advising on Securities 2016-11-15 2017-03-31
BFB179 QI Haiying 祁海英 RO Advising on Securities 2017-03-31
BFB179 QI Haiying 祁海英 RE Asset Management 2016-11-15 2017-03-31
BFB179 QI Haiying 祁海英 RO Asset Management 2017-03-31
BGE017 HE Siyang 賀司洋 RE Dealing in Securities 2018-08-15
BGE017 HE Siyang 賀司洋 RE Advising on Securities 2018-08-15
BGE017 HE Siyang 賀司洋 RE Asset Management 2018-08-15
BGQ334 XU Shiyang 徐詩阳 RE Dealing in Securities 2015-12-07
BGQ334 XU Shiyang 徐詩阳 RE Advising on Securities 2015-12-07
BGQ334 XU Shiyang 徐詩阳 RE Asset Management 2015-12-07
BJK477 ZHENG Xiaofen 鄭晓芬 RE Asset Management 2017-04-25 2018-11-15
BJU776 XU Lei RE Asset Management 2017-06-30 2017-11-16
BJU776 XU Lei RO Asset Management 2017-11-16
BLF179 LI Yunchang 李云昌 RE Asset Management 2017-11-22
BLP777 WENG Fang 翁放 RE Asset Management 2018-09-28
BME539 SUN Yumeng 孫雨朦 RE Asset Management 2018-02-06
BMH757 JIANG Wanning 江皖宁 RE Asset Management 2018-02-13
BMI920 LYU QI 呂奇 RE Asset Management 2018-02-20
BNW181 DAI Baiquan 戴柏泉 RE Asset Management 2018-12-05

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