Jung Rong Guo
郭忠榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jung Rong Guo (郭忠榮), a licensed former licensee with CE reference AHN977. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orion Investment Management Limited | Rep | Type 1 — Dealing in securities | 2009-11-17 | 2010-05-05 |
| Orion Investment Management Limited | Rep | Type 4 — Advising on securities | 2009-11-17 | 2010-05-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2008-12-13 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2008-12-13 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-20 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2008-05-20 | 2008-09-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-10 | 2008-04-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-04-10 | 2008-04-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-13 | 2008-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2007-01-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2007-01-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |