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
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 1 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 6 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