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GUO Biao

郭彪
CE AXK321Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

GUO Biao (CE number AXK321) is an individual licensed by the Hong Kong SFC. First licensed on 2011-06-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerShanxi Securities International Asset Management Limited
山證國際資產管理有限公司
RepresentativeShanxi Securities International Futures Limited
山證國際期貨有限公司
RepresentativeShanxi Securities International Limited
山證國際證券有限公司

Licence Record (7)

2023-10-03 – present Current
Shanxi Securities International Futures Limited Rep
RA 2
2019-10-16 – present Current
Shanxi Securities International Limited Rep
RA 1
2019-01-15 – present Current
Shanxi Securities International Asset Management Limited RO
RA 4 RA 5 RA 9
2015-11-23 – 2016-05-01
Yue Xiu Asset Management Limited RO
RA 4
2015-03-03 – 2016-05-01
Yue Xiu Asset Management Limited Rep
RA 9
2011-08-29 – 2015-03-09
Yue Xiu Securities Company Limited Rep
RA 4 RA 5
2011-06-07 – 2011-07-13
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 4

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/AXK321