SFC licenceholder AHI943 ZHU Qizhi 朱奇志

Licences

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

Institution Role Licences Start date End date
CMB International Securities Limited 招銀國際證券有限公司 RO 1 (Dealing in Securities) 2010-06-15 2013-04-12
CMB International Asset Management Limited 招銀國際資產管理有限公司 RO 4 (Advising on Securities), 9 (Asset Management) 2010-05-26 2013-04-12
CMB International Capital Holdings Corporation Limited RO 1 (Dealing in Securities) 2009-07-15 2011-05-05
CMB International Capital Holdings Corporation Limited RE 1 (Dealing in Securities) 2009-06-17 2009-07-15
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 RO 9 (Asset Management) 2008-06-12 2009-06-01
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 RE 9 (Asset Management) 2005-04-20 2008-06-12
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RO 1 (Dealing in Securities) 2003-05-07 2009-06-01
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RO 7 (Providing Automated Trading Services) 2003-05-07 2003-08-26
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 7 (Providing Automated Trading Services) 2003-04-25 2003-05-07
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 1 (Dealing in Securities) 2003-04-01 2003-05-07
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 9 (Asset Management), 4 (Advising on Securities), 6 (Advising on Corporate Finance) 2003-04-01 2003-04-25