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MAO Zhe

毛哲
CE BNT074Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

MAO Zhe (CE number BNT074) is an individual licensed by the Hong Kong SFC. First licensed on 2018-10-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (3)

2024-05-24 – present Current
Guotai Junan Securities (Hong Kong) Limited RO
RA 1 RA 4
2021-09-09 – 2024-05-24
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2018-10-31 – 2020-05-11
Huatai Financial Holdings (Hong Kong) Limited Rep
RA 1 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/BNT074