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GUO Rui

郭睿
CE BDA213Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

GUO Rui (CE number BDA213) is an individual licensed by the Hong Kong SFC. First licensed on 2014-03-10. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerShenwan Hongyuan Securities (H.K.) Limited
申萬宏源證券(香港)有限公司

Licence Record (5)

2025-11-05 – present Current
Shenwan Hongyuan Securities (H.K.) Limited RO
RA 1 RA 4
2024-11-27 – 2025-11-05
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2016-04-14 – 2024-08-30
Guotai Junan Assets (Asia) Limited Rep
RA 1 RA 4 RA 9
2015-07-15 – 2016-04-13
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2014-03-10 – 2015-07-08
MUFG Securities Asia 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/BDA213