SFC Licenceholders of Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司

Addresses
26/F-28/F Low Block Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong
香港中環皇后大道中181號新紀元廣埸26-28樓
16/F, Low Block, Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong
香港中環皇后大道中181號新紀元廣埸16字樓
RM 2406, 24/F, Low Block, Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong
香港2406室, 24樓新紀元廣場中環皇后大道中181號
14/F, Man Yee Building, 68 Des Voeux Road Central, Hong Kong
香港德輔道中68號萬宜大廈14樓
Email
[email protected]
Website
www.gtja.com.hk

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Licenceholders Role Licences Start date End date
CHOY Tak Sum 蔡德森 RO 4 21 June 2022
CHOY Tak Sum 蔡德森 RO 1 21 June 2022
CHU Man Fai 朱文輝 RO 9 20 June 2022
CHU Man Fai 朱文輝 RE 4 20 June 2022
CHU Man Fai 朱文輝 RE 1 20 June 2022
LIANG Qijian 梁启健 RE 9 09 June 2022
LIANG Qijian 梁启健 RE 4 09 June 2022
LIANG Qijian 梁启健 RE 1 09 June 2022
WANG Ruiqi 王睿琦 RE 4 12 April 2022
WANG Ruiqi 王睿琦 RE 1 12 April 2022
ZHU Qian 朱茜 RE 4 07 April 2022
ZHU Qian 朱茜 RE 1 07 April 2022
WANG Yanxu 王延旭 RE 4 01 April 2022
WANG Yanxu 王延旭 RE 1 01 April 2022
GAO Haifeng 高海峰 RO 9 15 March 2022
LIU Jingyang 柳景洋 RE 4 04 March 2022
LIU Jingyang 柳景洋 RE 1 04 March 2022
ZHENG Bowen 鄭博文 RE 9 10 December 2021
ZHANG Dingxin 張丁馨 RE 9 26 October 2021
XU Qiumeng 徐秋梦 RE 9 23 September 2021
CHEUNG Yuk Chu, Helen 張昱珠 RE 1 24 November 2020
CHEUNG Yuk Chu, Helen 張昱珠 RE 9 24 November 2020
CHEUNG Yuk Chu, Helen 張昱珠 RE 4 24 November 2020
JIANG Wanning 江皖宁 RE 9 08 October 2020
CHEUNG Yuk Kit 張毓杰 RE 9 30 September 2020
CHEUNG Yuk Kit 張毓杰 RE 4 30 September 2020
XIE Bo 解波 RE 9 21 September 2020
TSANG Chun Kit 曾駿傑 RO 9 21 November 2019
TSANG Chun Kit 曾駿傑 RO 4 21 November 2019
DAI Baiquan 戴柏泉 RE 9 15 August 2019
LI Xun 李尋 RE 9 03 May 2019
LI Xun 李尋 RE 4 03 May 2019
LI Xun 李尋 RE 1 03 May 2019
YEUNG Pui Yan 楊佩恩 RE 4 30 January 2019
YEUNG Pui Yan 楊佩恩 RE 1 30 January 2019
YEUNG Pui Yan 楊佩恩 RE 9 20 December 2018
LAI Billy Yee Piu 黎以標 RE 9 10 October 2018
WONG Chung Mun 黃仲文 RO 9 05 September 2018
SUN Yumeng 孫雨朦 RE 9 06 February 2018
CHEUNG Chun Kin 張俊堅 RE 9 26 June 2017
CHEUNG Chun Kin 張俊堅 RE 1 26 June 2017
LIU Shuk Hin 廖淑軒 RE 9 16 June 2017
LIU Shuk Hin 廖淑軒 RE 4 16 June 2017
LIU Shuk Hin 廖淑軒 RE 1 16 June 2017
QI Haiying 祁海英 RO 1 31 March 2017
QI Haiying 祁海英 RO 9 31 March 2017
QI Haiying 祁海英 RO 4 31 March 2017
CHIU Simon Siu Hung 趙少洪 RO 1 20 May 2016
CHIU Simon Siu Hung 趙少洪 RO 9 20 May 2016
CHIU Simon Siu Hung 趙少洪 RO 4 20 May 2016
GUO Rui 郭睿 RE 9 14 April 2016
GUO Rui 郭睿 RE 4 14 April 2016
GUO Rui 郭睿 RE 1 14 April 2016
HUNG Kwok Chuen 熊國全 RE 9 15 January 2015
HUNG Kwok Chuen 熊國全 RE 1 11 June 2014
LU Lu 呂露 RE 9 10 July 2006
CHOY Tak Sum 蔡德森 RE 4 16 February 2022 21 June 2022
CHOY Tak Sum 蔡德森 RE 1 16 February 2022 21 June 2022
CHU Man Fai 朱文輝 RE 9 26 October 2021 20 June 2022
YOU Jijiao 游際佼 RE 9 18 January 2022 13 May 2022
YOU Jijiao 游際佼 RE 4 18 January 2022 13 May 2022
YOU Jijiao 游際佼 RE 1 18 January 2022 13 May 2022
GAO Haifeng 高海峰 RE 9 02 November 2021 15 March 2022
TSANG Maggie Man-Ying 曾敏瑩 RE 9 20 October 2021 16 January 2022
CHEN Yijing 陳毅菁 RE 4 25 July 2017 12 March 2021
CHEN Yijing 陳毅菁 RE 9 25 July 2017 12 March 2021
CHEN Yijing 陳毅菁 RE 1 25 July 2017 12 March 2021
YIM Fung 閻峰 RO 1 23 September 2009 16 November 2020
YIM Fung 閻峰 RO 4 29 November 2004 16 November 2020
YIM Fung 閻峰 RO 9 01 April 2003 16 November 2020
LI Xiaowei 李晓蔚 RE 9 26 May 2017 13 November 2020
LI Xiaowei 李晓蔚 RE 4 17 October 2013 13 November 2020
LI Xiaowei 李晓蔚 RE 1 17 October 2013 13 November 2020
TSANG Kwok Yuk 曾國鈺 RE 9 23 April 2018 31 October 2020
MA Kai 馬凱 RO 9 23 December 2015 23 September 2020
MA Kai 馬凱 RO 4 23 December 2015 23 September 2020
LI Yunchang 李云昌 RE 9 22 November 2017 16 July 2020
TSANG Chun Kit 曾駿傑 RE 4 27 August 2019 21 November 2019
TSANG Chun Kit 曾駿傑 RE 9 27 August 2019 21 November 2019
XU Lei RO 9 16 November 2017 06 August 2019
DAI Baiquan 戴柏泉 RE 9 05 December 2018 16 July 2019
JIANG Wanning 江皖宁 RE 9 13 February 2018 16 July 2019
LYU QI 呂奇 RE 9 20 February 2018 02 February 2019
WONG Chung Mun 黃仲文 RE 9 05 September 2018 05 September 2018
NAN Nan 南楠 RE 9 27 May 2016 01 September 2018
NAN Nan 南楠 RE 4 27 May 2016 01 September 2018
NAN Nan 南楠 RE 1 27 May 2016 01 September 2018
YE Yingcong 叶英聰 RE 1 25 May 2016 25 June 2018
YE Yingcong 叶英聰 RE 4 25 May 2016 25 June 2018
YE Yingcong 叶英聰 RE 9 25 May 2016 25 June 2018
MING Liang 明亮 RE 4 29 August 2008 06 December 2017
MING Liang 明亮 RE 9 21 May 2008 06 December 2017
XU Lei RE 9 30 June 2017 16 November 2017
CHAO Ruo Han 趙若涵 RE 9 03 November 2014 17 September 2017
CHAO Ruo Han 趙若涵 RE 1 15 January 2014 17 September 2017
LAU Tat Shing 劉達誠 RE 9 12 January 2015 28 April 2017
LAU Tat Shing 劉達誠 RE 1 19 November 2014 28 April 2017
LING Ka Kin 凌嘉鍵 RE 9 07 May 2013 28 April 2017
QI Haiying 祁海英 RE 1 15 November 2016 31 March 2017
QI Haiying 祁海英 RE 4 15 November 2016 31 March 2017
QI Haiying 祁海英 RE 9 15 November 2016 31 March 2017
TONG Ka Lai 唐嘉麗 RE 9 12 February 2016 12 June 2016
TONG Ka Lai 唐嘉麗 RE 4 29 August 2014 12 June 2016
TONG Ka Lai 唐嘉麗 RE 1 29 August 2014 12 June 2016
CHIU Simon Siu Hung 趙少洪 RE 9 08 April 2016 20 May 2016
CHIU Simon Siu Hung 趙少洪 RE 4 08 April 2016 20 May 2016
CHIU Simon Siu Hung 趙少洪 RE 1 08 April 2016 20 May 2016
MA Kai 馬凱 RE 4 11 November 2013 23 December 2015
MA Kai 馬凱 RE 9 11 November 2013 23 December 2015
NG King Kwong 吳景光 RE 4 24 October 2012 11 November 2014
NG King Kwong 吳景光 RE 9 24 October 2012 11 November 2014
AU Yiu Fai 區耀輝 RE 4 07 June 2011 01 July 2014
AU Yiu Fai 區耀輝 RE 1 07 June 2011 01 July 2014
AU Yiu Fai 區耀輝 RE 9 07 June 2011 01 July 2014
LAW Chi Pang 羅志鵬 RE 9 17 October 2011 02 May 2014
YANG Bohan 楊博函 RE 1 09 October 2013 24 February 2014
CAI Xiaoye 蔡晓曄 RE 1 25 July 2012 06 October 2013
CAI Xiaoye 蔡晓曄 RE 4 03 August 2011 06 October 2013
CAI Xiaoye 蔡晓曄 RE 9 03 August 2011 30 July 2012
TONG Leung Kwing 唐良炯 RE 9 09 June 2010 08 March 2012
TONG Leung Kwing 唐良炯 RE 4 09 June 2010 08 March 2012
LAW Chi Pang 羅志鵬 RE 9 03 May 2007 07 May 2011
CHEUNG Lai Yan Charles 張禮仁 RO 1 23 September 2009 08 March 2011
CHEUNG Lai Yan Charles 張禮仁 RO 4 29 November 2004 08 March 2011
CHEUNG Lai Yan Charles 張禮仁 RO 9 01 April 2003 08 March 2011
MOK Wai Man, Derek 莫偉民 RE 4 14 March 2008 15 December 2010
MOK Wai Man, Derek 莫偉民 RE 9 22 January 2008 15 December 2010
TANG Davina Tak-wai 鄧德慧 RE 9 27 December 2006 24 April 2010
TANG Davina Tak-wai 鄧德慧 RE 4 27 December 2006 24 April 2010
WOO Peter 吳培魏 RE 9 25 November 2008 01 April 2009
LAU Ho To 劉浩濤 RE 9 18 January 2008 14 November 2008
MAK Chak Hung 麥澤鴻 RO 4 08 January 2007 14 November 2008
MAK Chak Hung 麥澤鴻 RO 9 05 June 2006 14 November 2008
GAN Tian 甘添 RE 9 03 August 2005 01 February 2008
KAN Lai Ping, Pinky 簡麗萍 RE 9 11 November 2004 11 November 2006
MAK Chak Hung 麥澤鴻 RE 4 05 June 2006 13 June 2006
MAK Chak Hung 麥澤鴻 RE 9 11 May 2006 05 June 2006
SAN TO Hok Kwan 申屠學軍 RO 9 23 October 2003 07 March 2006
JIANG Jinzhi 蔣錦志 RE 9 10 January 2005 27 May 2005
CHEUNG Lai Yan Charles 張禮仁 RO 4 01 April 2003 30 March 2004
YIM Fung 閻峰 RO 4 01 April 2003 30 March 2004
SAN TO Hok Kwan 申屠學軍 RE 9 01 April 2003 23 October 2003
SAN TO Hok Kwan 申屠學軍 RE 4 01 April 2003 26 September 2003