Guoxi Chen
陳國喜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Guoxi Chen (陳國喜), a licensed Responsible Officer with CE reference ARG394. Currently licensed at 1 firm(s): Zhongtai International Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Zhongtai International Asset Management Limited 中泰國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-07-18 | present |
| Zhongtai International Asset Management Limited 中泰國際資產管理有限公司 |
RO | Type 9 — Asset management | 2023-07-18 | present |
| Zhongtai International Asset Management Limited 中泰國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2022-05-16 | 2023-07-18 |
| Zhongtai International Asset Management Limited 中泰國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2022-05-16 | 2023-07-18 |
| Hartford Capital Limited 華普資本有限公司 |
Rep | Type 9 — Asset management | 2019-12-19 | 2021-02-15 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-05-20 | 2018-09-16 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2015-05-20 | 2018-09-16 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2011-04-11 | 2011-09-24 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-14 | 2009-10-01 |