SFC Licenceholders of Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司
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Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| AU Yiu Fai 區耀輝 | RE | 9 | 07 June 2011 | 01 July 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 |
| 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 |
| 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 |
| CHEN Lixian 陳藜賢 | RE | 9 | 21 September 2023 | |
| CHEN Wuhao 陳吳昊 | RE | 9 | 11 January 2024 | |
| CHEN Yijin 陳義進 | RE | 4 | 29 August 2008 | 30 September 2010 |
| CHEN Yijin 陳義進 | RE | 9 | 25 June 2007 | 30 September 2010 |
| CHEN Yijing 陳毅菁 | RE | 1 | 25 July 2017 | 12 March 2021 |
| 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 |
| CHEUNG Chun Kin 張俊堅 | RE | 1 | 26 June 2017 | |
| CHEUNG Chun Kin 張俊堅 | RE | 9 | 26 June 2017 | |
| CHEUNG Kam Hong 張淦康 | RE | 9 | 09 October 2019 | 26 November 2019 |
| 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 |
| CHEUNG Lai Yan Charles 張禮仁 | RO | 4 | 01 April 2003 | 30 March 2004 |
| CHEUNG Yuk Chu, Helen 張昱珠 | RE | 9 | 24 November 2020 | 11 August 2022 |
| CHEUNG Yuk Chu, Helen 張昱珠 | RE | 4 | 24 November 2020 | 11 August 2022 |
| CHEUNG Yuk Chu, Helen 張昱珠 | RE | 1 | 24 November 2020 | 11 August 2022 |
| CHEUNG Yuk Kit 張毓杰 | RE | 9 | 30 September 2020 | 02 May 2023 |
| CHEUNG Yuk Kit 張毓杰 | RE | 4 | 30 September 2020 | 02 May 2023 |
| CHIU Simon Siu Hung 趙少洪 | RO | 9 | 20 May 2016 | 31 December 2023 |
| CHIU Simon Siu Hung 趙少洪 | RO | 4 | 20 May 2016 | 31 December 2023 |
| CHIU Simon Siu Hung 趙少洪 | RO | 1 | 20 May 2016 | 31 December 2023 |
| 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 |
| CHIU Yuen 趙玄 | RE | 9 | 28 September 2021 | 08 October 2021 |
| CHOY Tak Sum 蔡德森 | RE | 9 | 28 February 2023 | |
| CHOY Tak Sum 蔡德森 | RE | 1 | 16 February 2022 | 21 June 2022 |
| CHOY Tak Sum 蔡德森 | RE | 4 | 16 February 2022 | 21 June 2022 |
| CHOY Tak Sum 蔡德森 | RO | 1 | 21 June 2022 | |
| CHOY Tak Sum 蔡德森 | RO | 4 | 21 June 2022 | |
| CHU Man Fai 朱文輝 | RE | 9 | 26 October 2021 | 20 June 2022 |
| CHU Man Fai 朱文輝 | RO | 9 | 20 June 2022 | 13 June 2023 |
| CHU Man Fai 朱文輝 | RE | 4 | 20 June 2022 | 13 June 2023 |
| CHU Man Fai 朱文輝 | RE | 1 | 20 June 2022 | 13 June 2023 |
| DAI Baiquan 戴柏泉 | RE | 9 | 15 August 2019 | |
| DAI Baiquan 戴柏泉 | RE | 9 | 05 December 2018 | 16 July 2019 |
| DING Chenying 丁陳穎 | RE | 9 | 28 December 2023 | |
| GAN Tian 甘添 | RE | 9 | 03 August 2005 | 01 February 2008 |
| GAO Haifeng 高海峰 | RE | 9 | 02 November 2021 | 15 March 2022 |
| GAO Haifeng 高海峰 | RO | 9 | 15 March 2022 | |
| 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 | |
| HE Siyang 賀司洋 | RE | 9 | 15 August 2018 | 17 July 2020 |
| HE Siyang 賀司洋 | RE | 4 | 15 August 2018 | 17 July 2020 |
| HE Siyang 賀司洋 | RE | 1 | 15 August 2018 | 17 July 2020 |
| HONG Mei 洪梅 | RE | 9 | 23 November 2012 | 20 April 2020 |
| HONG Mei 洪梅 | RE | 4 | 23 November 2012 | 20 April 2020 |
| HUANG Qijun 黃奇俊 | RE | 9 | 26 July 2006 | 12 March 2010 |
| HUANGFU Chun 皇甫淳 | RE | 9 | 05 January 2024 | |
| HUNG Kwok Chuen 熊國全 | RE | 9 | 15 January 2015 | |
| HUNG Kwok Chuen 熊國全 | RE | 1 | 11 June 2014 | |
| JIANG Jinzhi 蔣錦志 | RE | 9 | 10 January 2005 | 27 May 2005 |
| JIANG Wanning 江皖宁 | RE | 9 | 08 October 2020 | 10 February 2023 |
| JIANG Wanning 江皖宁 | RE | 9 | 13 February 2018 | 16 July 2019 |
| KAN Lai Ping, Pinky 簡麗萍 | RE | 9 | 11 November 2004 | 11 November 2006 |
| KWONG Sau King, Janet 江秀琼 | RE | 9 | 26 April 2016 | 28 February 2019 |
| KWONG Sau King, Janet 江秀琼 | RE | 4 | 26 April 2016 | 28 February 2019 |
| KWONG Sau King, Janet 江秀琼 | RE | 1 | 26 April 2016 | 28 February 2019 |
| LAI Billy Yee Piu 黎以標 | RE | 9 | 10 October 2018 | |
| LAM Ying 林迎 | RE | 9 | 03 July 2006 | 26 February 2009 |
| LAM Ying 林迎 | RE | 4 | 24 November 2006 | 26 February 2009 |
| LAU Ho To 劉浩濤 | RE | 9 | 18 January 2008 | 14 November 2008 |
| LAU Tat Shing 劉達誠 | RE | 1 | 19 November 2014 | 28 April 2017 |
| LAU Tat Shing 劉達誠 | RE | 9 | 12 January 2015 | 28 April 2017 |
| LAW Chi Pang 羅志鵬 | RE | 9 | 17 October 2011 | 02 May 2014 |
| LAW Chi Pang 羅志鵬 | RE | 9 | 03 May 2007 | 07 May 2011 |
| LEE Wing Yan 李泳欣 | RE | 9 | 27 July 2007 | 07 May 2011 |
| LEI Qiang 雷強 | RO | 9 | 19 May 2023 | |
| LEI Qiang 雷強 | RE | 9 | 21 November 2022 | 19 May 2023 |
| LEI Qiang 雷強 | RO | 4 | 21 November 2022 | |
| LEI Qiang 雷強 | RO | 1 | 21 November 2022 | |
| LI Guangjie 李光杰 | RE | 9 | 08 March 2006 | 06 July 2018 |
| 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 |
| LI Xun 李尋 | RE | 9 | 03 May 2019 | 20 August 2023 |
| LI Xun 李尋 | RE | 4 | 03 May 2019 | 20 August 2023 |
| LI Xun 李尋 | RE | 1 | 03 May 2019 | 20 August 2023 |
| LI Yunchang 李云昌 | RE | 9 | 22 November 2017 | 16 July 2020 |
| LI Zhao 李招 | RE | 9 | 12 September 2011 | 29 July 2013 |
| LI Zhao 李招 | RE | 4 | 12 September 2011 | 29 July 2013 |
| LIANG Qijian 梁启健 | RE | 9 | 09 June 2022 | 01 March 2023 |
| LIANG Qijian 梁启健 | RE | 4 | 09 June 2022 | 01 March 2023 |
| LIANG Qijian 梁启健 | RE | 1 | 09 June 2022 | 01 March 2023 |
| LING Ka Kin 凌嘉鍵 | RE | 9 | 07 May 2013 | 28 April 2017 |
| LIU Jingyang 柳景洋 | RE | 9 | 17 February 2023 | |
| LIU Jingyang 柳景洋 | RE | 4 | 04 March 2022 | |
| LIU Jingyang 柳景洋 | RE | 1 | 04 March 2022 | |
| 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 | |
| LIU Siqi 劉思齊 | RE | 9 | 15 February 2023 | 24 January 2024 |
| LIU Siqi 劉思齊 | RO | 9 | 24 January 2024 | |
| LIU Xiaotao 劉曉韜 | RE | 9 | 27 May 2011 | 01 May 2013 |
| LONG Xiaobo 龍 小波 | RE | 9 | 04 September 2006 | 27 September 2006 |
| LU Lu 呂露 | RE | 9 | 10 July 2006 | |
| LU Shengxi 盧聖喜 | RE | 9 | 04 September 2006 | 27 September 2006 |
| LU Shengxi 盧聖喜 | RE | 9 | 22 October 2003 | 11 March 2004 |
| LU Xiaolu 盧曉璐 | RE | 9 | 15 September 2022 | |
| LUI David 雷昌年 | RE | 9 | 04 May 2007 | 16 April 2011 |
| LUK Chun Kin 陸晉建 | RE | 9 | 12 December 2011 | 24 September 2012 |
| LUO Zhongyan 羅忠雁 | RE | 4 | 11 February 2015 | 12 June 2017 |
| LUO Zhongyan 羅忠雁 | RE | 9 | 11 February 2015 | 12 June 2017 |
| LYU QI 呂奇 | RE | 9 | 20 February 2018 | 02 February 2019 |
| MA Kai 馬凱 | RO | 4 | 23 December 2015 | 23 September 2020 |
| MA Kai 馬凱 | RO | 9 | 23 December 2015 | 23 September 2020 |
| MA Kai 馬凱 | RE | 9 | 11 November 2013 | 23 December 2015 |
| MA Kai 馬凱 | RE | 4 | 11 November 2013 | 23 December 2015 |
| MAI Siwei 麥斯韋 | RE | 9 | 01 June 2011 | 19 October 2011 |
| 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 |
| 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 |
| MAN Chi Ho 文志豪 | RE | 9 | 31 December 2010 | 13 October 2013 |
| MAN Chi Tak, Judith 文智德 | RE | 9 | 27 October 2003 | 12 December 2003 |
| MEI Xiaoyue 梅瀟月 | RE | 9 | 11 April 2023 | 30 June 2023 |
| MING Liang 明亮 | RE | 9 | 21 May 2008 | 06 December 2017 |
| MING Liang 明亮 | RE | 4 | 29 August 2008 | 06 December 2017 |
| MOK Wai Man, Derek 莫偉民 | RE | 9 | 22 January 2008 | 15 December 2010 |
| MOK Wai Man, Derek 莫偉民 | RE | 4 | 14 March 2008 | 15 December 2010 |
| 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 |
| NG King Kwong 吳景光 | RE | 9 | 24 October 2012 | 11 November 2014 |
| NG King Kwong 吳景光 | RE | 4 | 24 October 2012 | 11 November 2014 |
| NG Kwong Kei 吳廣基 | RE | 9 | 01 February 2008 | 16 December 2008 |
| OU Junnuo Daniel 歐浚鍩 | RE | 4 | 09 September 2022 | |
| OU Junnuo Daniel 歐浚鍩 | RE | 9 | 09 September 2022 | |
| OU Junnuo Daniel 歐浚鍩 | RE | 1 | 09 September 2022 | |
| OUYANG Shu 歐陽姝 | RE | 9 | 22 January 2024 | |
| POON Kai Chung 潘繼宗 | RE | 9 | 03 March 2017 | 16 August 2017 |
| POON Kai Chung 潘繼宗 | RO | 9 | 16 August 2017 | 30 November 2020 |
| QI Haiying 祁海英 | RO | 9 | 31 March 2017 | |
| QI Haiying 祁海英 | RO | 4 | 31 March 2017 | |
| QI Haiying 祁海英 | RO | 1 | 31 March 2017 | |
| QI Haiying 祁海英 | RE | 9 | 15 November 2016 | 31 March 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 |
| REN Qiang 任強 | RE | 9 | 22 May 2019 | 01 August 2021 |
| REN Qiang 任強 | RE | 4 | 22 May 2019 | 01 August 2021 |
| REN Qiang 任強 | RE | 1 | 22 May 2019 | 01 August 2021 |
| SAN TO Hok Kwan 申屠學軍 | RO | 9 | 23 October 2003 | 07 March 2006 |
| 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 |
| SHUM Chi Kau, Christ 岑智球 | RE | 4 | 29 November 2004 | 03 May 2010 |
| SHUM Chi Kau, Christ 岑智球 | RE | 9 | 01 April 2003 | 03 May 2010 |
| SHUM Chi Kau, Christ 岑智球 | RE | 4 | 01 April 2003 | 30 December 2003 |
| SUN Yumeng 孫雨朦 | RE | 9 | 06 February 2018 | |
| SUNG On Na 宋安娜 | RE | 1 | 27 May 2011 | 10 August 2020 |
| SUNG On Na 宋安娜 | RE | 4 | 27 May 2011 | 10 August 2020 |
| SUNG On Na 宋安娜 | RE | 9 | 27 May 2011 | 10 August 2020 |
| SZE Yuk Man 施旭雯 | RE | 9 | 28 January 2008 | 03 May 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 |
| TANG Wenjie 唐文婕 | RE | 9 | 14 November 2023 | 29 February 2024 |
| TANG Wenjie 唐文婕 | RE | 1 | 14 November 2023 | 29 February 2024 |
| 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 |
| 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 |
| TSANG Chun Kit 曾駿傑 | RO | 9 | 21 November 2019 | |
| TSANG Chun Kit 曾駿傑 | RO | 4 | 21 November 2019 | |
| TSANG Chun Kit 曾駿傑 | RE | 9 | 27 August 2019 | 21 November 2019 |
| TSANG Chun Kit 曾駿傑 | RE | 4 | 27 August 2019 | 21 November 2019 |
| TSANG Kwok Yuk 曾國鈺 | RE | 9 | 23 April 2018 | 31 October 2020 |
| TSANG Maggie Man-Ying 曾敏瑩 | RE | 9 | 20 October 2021 | 16 January 2022 |
| WANG Junhong 汪俊紅 | RO | 9 | 05 December 2023 | |
| WANG Ruiqi 王睿琦 | RO | 9 | 02 May 2023 | |
| WANG Ruiqi 王睿琦 | RE | 4 | 12 April 2022 | |
| WANG Ruiqi 王睿琦 | RE | 1 | 12 April 2022 | |
| WANG Yanxu 王延旭 | RE | 4 | 01 April 2022 | 10 January 2023 |
| WANG Yanxu 王延旭 | RE | 1 | 01 April 2022 | 10 January 2023 |
| WANG Zhongyu 王鍾煜 | RE | 4 | 17 July 2019 | 09 September 2020 |
| WANG Zhongyu 王鍾煜 | RE | 1 | 17 July 2019 | 09 September 2020 |
| WANG Zhongyu 王鍾煜 | RE | 9 | 10 June 2019 | 09 September 2020 |
| WENG Fang 翁放 | RE | 9 | 28 September 2018 | 20 April 2020 |
| WENG Xiyun 翁錫贇 | RE | 9 | 03 January 2012 | 25 November 2013 |
| WENG Xiyun 翁錫贇 | RE | 4 | 03 January 2012 | 25 November 2013 |
| WONG Chung Mun 黃仲文 | RE | 9 | 05 September 2018 | 05 September 2018 |
| WONG Chung Mun 黃仲文 | RO | 9 | 05 September 2018 | 24 May 2023 |
| WOO Peter 吳培魏 | RE | 9 | 25 November 2008 | 01 April 2009 |
| WU Kaiping 吳凱平 | RE | 9 | 26 July 2004 | 26 January 2005 |
| WU Yang 吳泱 | RE | 4 | 19 January 2010 | 01 April 2010 |
| XIAO Yinan 肖易南 | RE | 9 | 29 May 2023 | |
| XIE Bo 解波 | RE | 9 | 21 September 2020 | 07 October 2022 |
| XIE Liuyi 謝柳毅 | RE | 9 | 04 September 2006 | 27 September 2006 |
| XU Lei | RO | 9 | 16 November 2017 | 06 August 2019 |
| XU Lei | RE | 9 | 30 June 2017 | 16 November 2017 |
| XU Qiumeng 徐秋梦 | RE | 9 | 23 September 2021 | 10 October 2022 |
| XU Shiyang 徐詩阳 | RE | 9 | 07 December 2015 | 26 September 2019 |
| XU Shiyang 徐詩阳 | RE | 4 | 07 December 2015 | 26 September 2019 |
| XU Shiyang 徐詩阳 | RE | 1 | 07 December 2015 | 26 September 2019 |
| XU Xiuqi 徐綉琦 | RE | 1 | 30 August 2023 | |
| XU Xiuqi 徐綉琦 | RE | 9 | 08 November 2022 | |
| XU Xiuqi 徐綉琦 | RE | 4 | 08 November 2022 | |
| YANG Bohan 楊博函 | RE | 1 | 09 October 2013 | 24 February 2014 |
| YANG Lili 楊麗麗 | RE | 9 | 15 February 2023 | |
| YAU Wai Kuen, Stephen 邱偉權 | RE | 1 | 19 December 2013 | 27 January 2014 |
| 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 |
| YEUNG Pui Yan 楊佩恩 | RE | 9 | 20 December 2018 | |
| YEUNG Pui Yan 楊佩恩 | RE | 1 | 30 January 2019 | |
| YEUNG Pui Yan 楊佩恩 | RE | 4 | 30 January 2019 | |
| 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 |
| YIM Fung 閻峰 | RO | 4 | 01 April 2003 | 30 March 2004 |
| 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 |
| YUAN Junping 袁軍平 | RO | 4 | 07 March 2011 | 04 September 2017 |
| YUAN Junping 袁軍平 | RO | 1 | 07 March 2011 | 04 September 2017 |
| YUAN Junping 袁軍平 | RE | 4 | 30 September 2008 | 07 March 2011 |
| YUAN Junping 袁軍平 | RO | 9 | 30 September 2008 | 04 September 2017 |
| YUAN Junping 袁軍平 | RE | 9 | 28 July 2005 | 30 September 2008 |
| YUEN Pui Sze 袁佩詩 | RE | 9 | 23 May 2006 | 27 September 2021 |
| ZHANG Dingxin 張丁馨 | RE | 9 | 26 October 2021 | 10 February 2023 |
| ZHANG Tianliang 張天亮 | RE | 4 | 25 August 2023 | |
| ZHANG Tianliang 張天亮 | RE | 9 | 25 August 2023 | |
| ZHANG Tianliang 張天亮 | RE | 1 | 25 August 2023 | |
| ZHANG Yu 張玉 | RE | 9 | 16 June 2023 | |
| ZHAO Danyang 趙丹陽 | RE | 9 | 24 December 2003 | 05 January 2005 |
| ZHENG Bowen 鄭博文 | RE | 9 | 10 December 2021 | |
| ZHENG Xiaofen 鄭晓芬 | RE | 9 | 25 April 2017 | 15 November 2018 |
| ZHU Qian 朱茜 | RE | 1 | 07 April 2022 | 10 January 2023 |
| ZHU Qian 朱茜 | RE | 4 | 07 April 2022 | 10 January 2023 |
| ZHU Qizhi 朱奇志 | RO | 9 | 12 June 2008 | 01 June 2009 |
| ZHU Qizhi 朱奇志 | RE | 9 | 20 April 2005 | 12 June 2008 |
| ZUO Zijian 左子劍 | RE | 9 | 15 February 2023 |