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BAO Quan

包全
CE APX218Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

BAO Quan (CE number APX218) is an individual licensed by the Hong Kong SFC. First licensed on 2007-11-13. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCNI Global Assets Management Limited
中國北方環球資產管理有限公司
Responsible OfficerCNI Securities Group Limited
中國北方證券集團有限公司

Licence Record (6)

2015-06-02 – present Current
CNI Global Assets Management Limited RO
RA 9
2011-06-28 – present Current
CNI Securities Group Limited RO
RA 1 RA 2 RA 4
2010-05-10 – 2010-06-24
CNI Securities Group Limited Rep
RA 1
2009-06-30 – 2010-08-18
GBS International Financial Limited Rep
RA 2
2007-11-13 – 2009-06-10
Wing Fung Securities Limited Rep
RA 1
2007-11-13 – 2009-06-10
Wing Fung Futures Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/APX218