GU Erdong

顧爾東

CE AZT025Licensed IndividualResponsible OfficerSFO licence active

GU Erdong (CE number AZT025) is an individual licensed by the Hong Kong SFC. First licensed on 2012-06-26. 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 2 firms.

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 (2)

Capacity	Company / Institution
Responsible Officer	TFI Asset Management Limited 天風國際資產管理有限公司
Responsible Officer	TFI Securities and Futures Limited 天風國際證券與期貨有限公司

Licence Record (9)

2019-11-27 – present Current

TFI Asset Management Limited RO

RA 4 RA 5 RA 9

2019-08-26 – present Current

TFI Securities and Futures Limited RO

RA 1

2019-06-05 – 2019-08-26

TFI Securities and Futures Limited Rep

RA 1

2019-05-09 – 2019-05-10

Jingdong Securities Limited Rep

RA 1 RA 4 RA 9

2018-06-11 – 2019-04-30

Changchun Securities Limited RO

RA 1 RA 4 RA 9

2017-08-10 – 2018-03-29

Foresee Global Asset Management (HK) Limited RO

RA 9

2016-07-27 – 2017-08-10

Foresee Global Asset Management (HK) Limited Rep

RA 9

2014-12-30 – 2015-12-17

China Industrial Securities International Asset Management Limited Rep

RA 9

2012-06-26 – 2014-12-19

Guosen Securities (HK) Brokerage Company, Limited Rep

RA 1 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/AZT025