SFC Licences of GU Shiyi 顧詩意
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 | 18 January 2021 | |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 6 | 11 September 2017 | 31 December 2020 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 4 | 11 September 2017 | 31 December 2020 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 11 September 2017 | 31 December 2020 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 11 September 2017 | 31 December 2020 |
| STI Asset Management Limited | RE | 9 | 29 November 2016 | 31 August 2017 |
| STI Asset Management Limited | RE | 4 | 29 November 2016 | 31 August 2017 |