Zili Guo
郭自力
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zili Guo (郭自力), a licensed former licensee with CE reference APZ594. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2021-06-23 | 2024-03-15 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-02-18 | 2021-06-01 |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-09 | 2021-06-01 |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-01-09 | 2021-06-01 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-22 | 2019-01-09 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-10-22 | 2019-01-09 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-12 | 2018-07-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-04-12 | 2018-07-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-04-12 | 2018-07-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-20 | 2018-04-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-20 | 2018-04-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-10-20 | 2018-04-12 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2016-06-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-09 | 2011-04-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-11-09 | 2011-04-18 |