SFC Licences of GUO Yan 郭琰
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
LGT Capital Partners (Asia-Pacific) Limited | RE | 9 | 02 January 2019 | |
LGT Capital Partners (Asia-Pacific) Limited | RE | 4 | 28 July 2011 | |
LGT Capital Partners (Asia-Pacific) Limited | RE | 1 | 28 July 2011 | |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 4 | 30 March 2011 | 16 May 2011 |
Morgan Stanley Hong Kong Securities Limited | RE | 2 | 06 December 2010 | 24 March 2011 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 24 February 2010 | 16 May 2011 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 24 February 2010 | 24 March 2011 |
Morgan Stanley Hong Kong Securities Limited | RE | 1 | 24 February 2010 | 10 March 2011 |
Morgan Stanley Hong Kong Futures Limited | RE | 2 | 24 February 2010 | 06 December 2010 |
Morgan Stanley Hong Kong Futures Limited | RE | 7 | 24 February 2010 | 06 December 2010 |