SFC Licences of GUO Rui 郭睿
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 | RE | 9 | 14 April 2016 | |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 | RE | 4 | 14 April 2016 | |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 | RE | 1 | 14 April 2016 | |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 4 | 15 July 2015 | 13 April 2016 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 1 | 15 July 2015 | 13 April 2016 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RE | 4 | 10 March 2014 | 08 July 2015 |