Guanye Cao
曹冠業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Guanye Cao (曹冠業), a licensed former licensee with CE reference ALI370. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Point Asset Management Limited 中保資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-12-18 | 2018-06-18 |
| China Point Asset Management Limited 中保資產管理有限公司 |
RO | Type 9 — Asset management | 2017-12-18 | 2018-06-18 |
| China Point Asset Management Limited 中保資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-12 | 2017-12-18 |
| China Point Asset Management Limited 中保資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-10-12 | 2017-12-18 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-28 | 2015-07-28 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 9 — Asset management | 2013-08-28 | 2015-07-28 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-07 | 2007-08-27 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-11-29 | 2007-08-27 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 9 — Asset management | 2006-11-29 | 2007-08-27 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-12 | 2006-10-13 |
| Amundi Asset Management | Rep | Type 4 — Advising on securities | 2004-10-12 | 2006-10-13 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-12 | 2006-10-13 |
| Amundi Asset Management | Rep | Type 9 — Asset management | 2004-10-12 | 2006-10-13 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2004-10-12 | 2006-10-13 |