SFC licenceholder AZE518 GUAN Bo 關博

Licences

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

Updated: 03 April 2020

Institution Role Licences Start date End date
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [1] (Dealing in Securities), [9] (Asset Management) 21 November 2016
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 11 October 2016 21 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 14 August 2015 21 October 2016
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities) 14 August 2015 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 14 August 2015 10 October 2016
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 18 September 2013 06 June 2015
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 19 March 2012 06 June 2015
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 19 March 2012 06 June 2015