SFC Licences of GUO Zili 郭自力

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

Institution	Role	Licences	Start date	End date
UBS Securities Hong Kong Limited	RE	6	23 June 2021	15 March 2024
CMB International Securities Limited 招銀國際證券有限公司	RE	1	18 February 2019	01 June 2021
CMB International Capital Limited 招銀國際融資有限公司	RO	6	09 January 2019	01 June 2021
CMB International Capital Limited 招銀國際融資有限公司	RO	1	09 January 2019	01 June 2021
CMB International Capital Limited 招銀國際融資有限公司	RE	6	22 October 2018	09 January 2019
CMB International Capital Limited 招銀國際融資有限公司	RE	1	22 October 2018	09 January 2019
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RO	6	12 April 2018	31 July 2018
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RO	4	12 April 2018	31 July 2018
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RO	1	12 April 2018	31 July 2018
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	6	20 October 2016	12 April 2018
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	4	20 October 2016	12 April 2018
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	1	20 October 2016	12 April 2018
UBS Securities Hong Kong Limited	RE	6	07 June 2012	25 June 2016
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	6	09 November 2007	18 April 2011
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	1	09 November 2007	18 April 2011