Dan Du
杜丹
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dan Du (杜丹), a licensed former licensee with CE reference AOT340. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-07-16 | 2023-12-14 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-07-16 | 2023-12-14 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 — Asset management | 2018-07-16 | 2023-12-14 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-10 | 2018-07-16 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-10 | 2018-07-16 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2018-04-10 | 2018-07-16 |
| Soochow Securities International Asset Management Limited 東吳證券國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2012-12-27 | 2018-03-22 |
| Soochow Securities International Asset Management Limited 東吳證券國際資產管理有限公司 |
RO | Type 9 — Asset management | 2012-12-27 | 2018-03-22 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 1 — Dealing in securities | 2012-05-03 | 2018-03-22 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 4 — Advising on securities | 2012-05-03 | 2018-03-22 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-09 | 2012-05-03 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 4 — Advising on securities | 2012-03-09 | 2012-05-03 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-09-05 | 2010-05-18 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-03-05 | 2008-09-05 |
| Guoyuan Asset Management (Hong Kong) Limited 國元資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2007-11-28 | 2010-05-18 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-10-23 | 2010-05-18 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-10-10 | 2010-05-18 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-04 | 2007-10-10 |