Liting Xiong
熊力頲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Liting Xiong (熊力頲), a licensed former licensee with CE reference AWT047. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2021-02-19 | 2021-12-03 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-02-19 | 2021-08-19 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-02 | 2021-12-03 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-01-02 | 2021-12-03 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2019-01-02 | 2021-12-03 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-01-02 | 2021-12-03 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-10-30 | 2021-02-19 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-10 | 2021-02-19 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-10 | 2019-01-02 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-10-10 | 2019-01-02 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-10 | 2019-01-02 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 5 — Advising on futures contracts | 2017-10-10 | 2019-01-02 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-30 | 2021-12-03 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-08-30 | 2021-12-03 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 9 — Asset management | 2016-08-30 | 2021-12-03 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2014-02-26 | 2015-09-08 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-02-26 | 2015-09-08 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2014-02-26 | 2014-10-31 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 9 — Asset management | 2014-02-26 | 2015-09-08 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2013-05-09 | 2013-11-09 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-28 | 2011-06-03 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-01-28 | 2011-06-03 |