Du, Dan (SFC:AOT340) 杜丹
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GUOYUAN ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Asset management | 2007-11-28 | 2010-05-18 |
| 2 | GUOYUAN FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2008-03-05 | 2008-09-05 | Rep | Advising on futures contracts | 2008-09-05 | 2010-05-18 |
| 3 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-05-04 | 2007-10-10 | RO | Dealing in securities | 2007-10-10 | 2010-05-18 | RO | Advising on securities | 2007-10-23 | 2010-05-18 |
| 4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2018-04-10 | 2018-07-16 | Rep | Asset management | 2018-04-10 | 2018-07-16 | Rep | Dealing in securities | 2018-04-10 | 2018-07-16 | RO | Advising on securities | 2018-07-16 | 2023-12-14 | RO | Asset management | 2018-07-16 | 2023-12-14 | RO | Dealing in securities | 2018-07-16 | 2023-12-14 |
| 5 | Soochow Securities International Asset Management Limited | RO | Advising on securities | 2012-12-27 | 2018-03-22 | RO | Asset management | 2012-12-27 | 2018-03-22 |
| 6 | Soochow Securities International Brokerage Limited | Rep | Advising on securities | 2012-03-09 | 2012-05-03 | Rep | Dealing in securities | 2012-03-09 | 2012-05-03 | RO | Advising on securities | 2012-05-03 | 2018-03-22 | RO | Dealing in securities | 2012-05-03 | 2018-03-22 |
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