Guosen Securities (HK) Capital Company Limited is a Hong Kong SFC licensed corporation (CE number AUX600). First licensed on 2010-06-30. Its SFC licence is currently active. It is licensed for 2 regulated activities: Type 1 (Securities dealing), Type 6 (Corporate finance).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2010-06-30 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2010-06-30 |
| CE No. | Name | Chinese |
|---|---|---|
| AAW465 | LAU Siu Ki | 劉紹基 |
| AES254 | WAN Joseph Jason | 尹宸賢 |
| AOX827 | ZHANG Chenghong | 張成弘 |
| CE No. | Name | Chinese |
|---|---|---|
| BEK861 | HUANG Xin | 黃鑫 |
| BEW516 | ZHAO Chen | 趙晨 |
| BGN049 | KWOK Wang Hei | 郭宏禧 |
| BJH264 | MA Yanting | 馬燕婷 |
| BLC345 | OUYANG Chang | 歐陽昌 |
| BMQ161 | ZHANG Kai | 張凱 |
| BNF486 | RONG Yanping | 戎烟平 |
| BOG853 | CHEN Zhe | 陈哲 |
| BPT415 | CHEN Lian Fu | 陈连福 |
| BQI799 | CHEN Yilin | 陈怡琳 |
| BSU359 | SHAO Heling | 邵鶴令 |
| BTG698 | ZHANG Yuan | 張源 |
| BTN309 | WANG Guojian | 王国键 |
| BUE063 | FENG Jinge | 豐藎鴿 |
| BVJ930 | TANG Jingyao | 唐經堯 |
| BVL019 | WU Kaizhen | 吳凱臻 |
| BVQ364 | LIU Yongqi | 劉永奇 |
| BVQ365 | CAI Qilong | 蔡其龙 |
| BVQ632 | TANG Haiqin | 湯海琴 |
| BVQ741 | ZHANG Weiquan | 張偉權 |
| BVQ960 | LUO Fuqi | 羅傅琪 |
| BVQ967 | GUO Yu | 郭昱 |
| BVQ969 | LEI Jie | 雷介 |
| BVQ989 | ZHOU Hao | 周浩 |
| BVS697 | ZHOU Yaofei | 周耀飛 |
| BVS708 | ZHU Jinfeng | 朱錦峰 |
| BVS985 | XIA Tao | 夏濤 |
| BVT105 | YANG Xiaoxia | 楊曉霞 |
| BVU461 | LUO Zixuan | 羅子煊 |
| BVU940 | FU Minke | 傅敏珂 |
| BVU941 | LU Jing | 卢婧 |
| BWH291 | CHEN Zhenyu | 陳振瑜 |
| BWH642 | ZHANG Kehua | 張珂華 |
| BWH646 | LING Junhang | 凌駿航 |
| BWI174 | SHEN Yang | 沈洋 |
| BWI610 | ZHOU Keren | 周可人 |
| BWI836 | LI Jianguo | 李建國 |
| BWI878 | HE Jialuo | 何家洛 |
| BWI880 | YOU Yingli | 游瑩莉 |
| BWI886 | CHEN Yueyang | 陳越陽 |
| BWI888 | LI Chengyi | 李承毅 |
| BWJ882 | ZOU JiuLing | 邹九零 |
| BWJ977 | ZHANG Weike | 張偉科 |
| BWJ978 | ZHU Xiaoqing | 朱曉晴 |
| BWK170 | LUAN Xiaofei | 栾小飛 |
| BWK451 | YAN Junjie | 闫俊杰 |
| BWK601 | YUAN Jianbo | 袁劍波 |
| BWK618 | HAO Tian | 郝恬 |
| BWK723 | WU Weiwei | 吳偉偉 |
| BWM143 | ZHOU Bo | 周波 |
| BWN389 | ZHU Mengying | 朱夢瑩 |
| BWQ627 | YE Liping | 叶力萍 |
| BWS178 | ZHANG Lin | 章林 |
| BXG907 | SHI Yuting | 石宇婷 |
| BXG908 | ZHANG Donghao | 張東浩 |
| BXH172 | HUANG Zixin | 黃子忻 |
| BXH700 | LIU Yaxin | 劉雅昕 |
| BXH872 | XU Qing | 徐氫 |
| BXH873 | LUO Yunpeng | 羅雲鵬 |
| BXH959 | YU Yingye | 余英燁 |
| BXH963 | XIAO Yuxiang | 肖玉祥 |
| BXI917 | LIU Zhibo | 劉智博 |
| BXJ490 | HU Yinqi | 胡殷祺 |
| BXJ568 | FAN Chao | 范超 |
| BXJ569 | ZHOU Xin | 周欣 |
| BXL007 | HONG Yun | 洪運 |
| BXL011 | CHEN Yuqing | 陳宇清 |
| BXL292 | WEI Yi | 魏祎 |
| BXL898 | HUANG Sen | 黃森 |
| BXL899 | XU Minhui | 許敏慧 |
| BXN267 | LIU Jian | 劉劍 |
| BXN272 | HUA Fuxiu | 花福秀 |
| BXQ477 | HE Likun | 何立坤 |
| BXQ478 | LIU Dengcheng | 劉登橙 |
| BXR697 | WEI Wenxuan | 衛文軒 |
| BXS172 | LUO Zijian | 羅子健 |
| BXS624 | WEN Xingjie | 文星杰 |
| BXS747 | LI Yiyang | 李宜洋 |
| BXX786 | YU Xingxing | 虞星星 |