SFC Licences of GU Andrew Ye Yan 顧燁彥

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

Institution	Role	Licences	Start date	End date
Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司	RO	9	30 September 2022
Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司	RO	1	20 October 2020
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司	RE	9	15 September 2017	02 April 2019
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司	RE	5	19 July 2017	02 April 2019
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司	RE	2	19 July 2017	02 April 2019
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司	RE	4	19 July 2017	02 April 2019
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司	RE	1	19 July 2017	02 April 2019
SG Securities (HK) Limited 法國興業證券(香港)有限公司	RE	1	08 December 2015	12 May 2017
CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司	RE	9	16 March 2015	12 October 2015
CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司	RE	4	16 March 2015	12 October 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司	RE	5	14 February 2013	07 May 2013
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司	RE	2	14 February 2013	07 May 2013
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司	RE	1	19 July 2012	07 May 2013
J.P. Morgan Broking (Hong Kong) Limited	RE	5	14 July 2008	25 March 2010
J.P. Morgan Broking (Hong Kong) Limited	RE	4	14 July 2008	25 March 2010
J.P. Morgan Broking (Hong Kong) Limited	RE	2	18 June 2008	25 March 2010
J.P. Morgan Broking (Hong Kong) Limited	RE	1	18 June 2008	25 March 2010
Bear Stearns Asia Limited 貝爾斯登亞洲有限公司	RE	2	30 April 2008	23 November 2009
Bear Stearns Asia Limited 貝爾斯登亞洲有限公司	RE	1	12 March 2008	23 November 2009
Barclays Capital Asia Limited 巴克萊亞洲有限公司	RE	1	09 April 2007	29 February 2008
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	1	01 February 2005	09 March 2007