Yan (SFC:AUS955) Guo
郭琰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:AUS955) Guo (郭琰), a licensed former licensee with CE reference AUS955. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Capital Partners (Asia-Pacific) Limited | Rep | Type 9 — Asset management | 2019-01-02 | 2025-12-31 |
| LGT Capital Partners (Asia-Pacific) Limited | Rep | Type 1 — Dealing in securities | 2011-07-28 | 2025-12-31 |
| LGT Capital Partners (Asia-Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-07-28 | 2025-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-30 | 2011-05-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2011-03-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-24 | 2011-05-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2010-02-24 | 2011-03-10 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-24 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-02-24 | 2011-03-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2010-02-24 | 2010-12-06 |