Guo, Yan (SFC:AUS955) 郭琰
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 | LGT CAPITAL PARTNERS (ASIA-PACIFIC) LIMITED | Rep | Advising on securities | 2011-07-28 | Rep | Dealing in securities | 2011-07-28 | Rep | Asset management | 2019-01-02 |
| 2 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2010-02-24 | 2011-03-24 | Rep | Dealing in securities | 2010-02-24 | 2011-05-16 | Rep | Advising on securities | 2011-03-30 | 2011-05-16 |
| 3 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2010-02-24 | 2010-12-06 | Rep | Dealing in futures contracts | 2010-02-24 | 2010-12-06 |
| 4 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2010-02-24 | 2011-03-10 | Rep | Dealing in futures contracts | 2010-12-06 | 2011-03-24 |
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