Xiong, Liting 熊力頲
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 | GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED | Rep | Advising on securities | 2011-01-28 | 2011-06-03 | Rep | Asset management | 2011-01-28 | 2011-06-03 | RO | Dealing in securities | 2013-05-09 | 2013-11-09 | RO | Advising on futures contracts | 2014-02-26 | 2014-10-31 | RO | Advising on securities | 2014-02-26 | 2015-09-08 | RO | Asset management | 2014-02-26 | 2015-09-08 | RO | Dealing in securities | 2014-02-26 | 2015-09-08 | RO | Advising on securities | 2016-08-30 | 2021-12-03 | RO | Asset management | 2016-08-30 | 2021-12-03 | RO | Dealing in securities | 2016-08-30 | 2021-12-03 |
| 2 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Advising on futures contracts | 2017-10-10 | 2019-01-02 | Rep | Advising on securities | 2017-10-10 | 2019-01-02 | Rep | Dealing in futures contracts | 2017-10-10 | 2019-01-02 | Rep | Dealing in securities | 2017-10-10 | 2019-01-02 | RO | Advising on futures contracts | 2019-01-02 | 2021-12-03 | RO | Advising on securities | 2019-01-02 | 2021-12-03 | RO | Dealing in futures contracts | 2019-01-02 | 2021-12-03 | RO | Dealing in securities | 2019-01-02 | 2021-12-03 |
| 3 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Dealing in securities | 2017-10-10 | 2021-02-19 | Rep | Advising on corporate finance | 2017-10-30 | 2021-02-19 | RO | Advising on corporate finance | 2021-02-19 | 2021-08-19 | RO | Dealing in securities | 2021-02-19 | 2021-12-03 |
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