Guggenheim Securities (Hong Kong) Limited

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Take me back:

Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2011	⚥	SFC ID	Role	From	Until
1	Conrod, David Lucas (SFC:ARO526)		M	ARO526	RO	2009-03-13	2010-03-22
2	Hui, Karen Wai Yee 許慧怡		F	ALF483	Rep	2009-07-14	2010-09-17
3	Lam, Norris Man Ngar 林曼雅		F	ARO521	RO	2009-03-13	2010-09-17

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